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`

`RFID
`Handbook
`
`Fundamentals and Applications in Contactless Smart
`Cards and Identification
`
`Second Edition
`
`Klaus Finkenzeller
`Giesecke & Devrient GmbH, Munich, Germany
`
`Translated by
`Rachel Waddington
`Member of the Institute of Translation and Interpreting
`
`~ WILEY
`
`2
`
`

`

`First published under the title RF/D-Handbuch, 2 Aufiage by Carl Hanser Verlag
`© Carl Hanser Verlag, Munich/FRG, 1999 All rights reserved
`Authorized translation from the 2nd edition in the original German language
`published by Carl Hanser Verlag, Munich/FRG
`
`Copyright © 2003
`
`John Wiley & Sons Ltd, The Atrium, Southern Gate, Chichester,
`West Sussex POI9 8SQ, England
`
`Telephone (+44) 1243 779777
`
`Email (for orders and customer service enquiries): cs-books@wiley.co.uk
`Visit our Home Page on www.wileyeurope.com or www.wiley.com
`
`Reprinted September 2003, March 2004
`
`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 under the terms of a
`licence issued by the Copyright Licensing Agency Ltd, 90 Tottenham Court Road, London WIT 4LP,
`UK, without the permission in writing of the Publisher. Requests to the Publisher should be addressed to
`the Permissions Department, John Wiley & Sons Ltd, The Atrium, Southern Gate, Chichester, West
`Sussex PO19 8SQ, England, or emailed to permreq@wiley.co.uk, or faxed to (+44) 1243 770620.
`
`This publication is designed to provide accurate and authoritative information in regard to the subject
`matter covered. It is sold on the understanding that the Publisher is not engaged in rendering professional
`services. If professional advice or other expert assistance is required, the services of a competent
`professional should be sought.
`
`Other Wiley Editorial Offices
`
`John Wiley & Sons Inc., 111 River Street, Hoboken, NJ 07030, USA
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`Wiley also publishes its books in a variety of electronic formats. Some content that appears
`in print may not be available in electronic books.
`
`Library of Congress Cataloging-in-Publication Data
`
`Finkenzeller, Klaus.
`[RFID Handbuch. English)
`RFID handbook : fundamentals and applications in contactless smart cards and
`identifcation/Klaus Finkenzeller; translated by Rachel Waddington. -
`2nd ed.
`p. cm.
`Includes bibliographical references and index.
`ISBN 0-470-84402-7 (alk. paper)
`1. Inventory control - Automation. 2. Radio frequency identification systems. 3. Smart.
`cards.
`I. Title.
`
`TS160.F5513 2003
`658.7'87 -
`dc21
`
`2002192439
`
`British Library Cataloguing in Publication Data
`
`A catalogue record for this book is available from the British Library
`
`ISBN 0-470-84402-7
`
`Typeset in 10/12pt Times by Laserwords Private Limited, Chennai, India
`Printed and bound in Great Britain by Antony Rowe Ltd, Chippenham, Wiltshire
`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.
`
`3
`
`

`

`Verlag
`
`ie
`
`Gate, Chichester,
`
`in a retrieval system or
`ying, recording, scanning or
`: t 1988 or under the terms of a
`t Road, London WIT 4LP,
`blisher should be addressed to
`11 Gate, Chichester, West
`to ( +44) 1243 770620.
`
`on in regard to the subject
`;aged in rendering professional
`rvices of a competent
`
`Australia
`
`ripark, Singapore 129809
`
`anada M9W ILi
`
`:ent that appears
`
`rds and
`I ed.
`
`ystems. 3. Smart.
`
`2002192439
`
`shire
`unable forestry
`,n.
`
`Contents
`
`PREFACE
`UST OF ABBREVIATIONS
`
`1
`
`Introduction
`1.1 Automatic Identification Systems
`1. 1.1 Barcode systems
`1.1.2 Optical character recognition
`1.1.3 Biometric procedures
`1.1.3.1 Voice identification
`1.1.3.2 Fingerprinting procedures (dactyloscopy)
`1.1.4 Smart cards
`1.1.4.l Memory cards
`1.1.4.2 Microprocessor cards
`1.1.5 RFID systems
`1.2 A Comparison of Different ID Systems
`1.3 Components of an RFID System
`
`2 Differentiation Features of RFID Systems
`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
`ID-1 format, contactless smart cards
`2.2.7
`2.2.8 Smart label
`2.2.9 Coil-on-chip
`2.2.10 Other formats
`2.3 Frequency, Range and Coupling
`Information Processing in the Transponder
`2.4
`2.4.1 Low-end systems
`2.4.2 Mid-range systems
`2.4.3 High-end systems
`2.5 Selection Criteria for RFID Systems
`2.5.1 Operating frequency
`2.5.2 Range
`
`xiii
`xv
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`1
`2
`2
`3
`4
`4
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`11
`II
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`26
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`4
`
`

`

`vi
`
`CONTENTS
`
`2.5.3 Security requirements
`2.5.4 Memory capacity
`
`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 .1.5 Acoustomagnetic
`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 (cid:157)
`reader
`3.2.2 Electromagnetic backscatter coupling
`3.2.2.1 Power supply to the transponder
`3.2.2.2 Data transmission (cid:157)
`reader
`3.2.3 Close coupling
`3.2.3.1 Power supply to the transponder
`3.2.3.2 Data transfer transponder (cid:157)
`reader
`3.2.4 Electrical coupling
`3.2.4.1 Power supply of passive transponders
`3.2.4.2 Data transfer transponder (cid:157)
`reader
`3.2.5 Data transfer reader (cid:157)
`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 FDX/HDX and SEQ systems
`3.3.1.3 Data transmission transponder (cid:157)
`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 offield strength H(x) in conductor loops
`4.1.1.2 Optimal antenna diameter
`4.1.2 Magnetic flux and magnetic flux density
`Inductance L
`4.1.3
`4.1.3.1
`Inductance of a conductor loop
`4.1.4 Mutual inductance M
`4.1.5 Coupling coefficient k
`4.1.6 Faraday's law
`4.1.7 Resonance
`4.1.8 Practical operation of the transponder
`4.1.8.1 Power supply to the transponder
`4.1.8.2 Voltage regulation
`
`27
`28
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`35
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`5
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`

`

`CONTENTS
`
`CONTENTS
`
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`78
`78
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`systems
`
`>ps
`
`4.1.9
`
`Interrogation field strength Hmin
`Energy range of transponder systems
`4.1.9.1
`Interrogation zone of readers
`4.1.9.2
`4.1.10 Total transponder -
`reader system
`4.1.10.1 Transformed transponder impedance z' T
`Influencing variables of z'T
`4.1.10.2
`4.1.10.3 Load modulation
`4.1.11 Measurement of system parameters
`4.1.11.1 Measuring the coupling coefficient k
`4.1.11.2 Measuring the transponder resonant frequency
`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
`4.1.12.4 Fitting transponders in metal
`4.2 Electromagnetic Waves
`The generation of electromagnetic waves
`4.2.1
`Transition from near field to far field in conductor loops
`4.2.1.l
`4.2.2 Radiation density S
`Characteristic wave impedance and field strength E
`4.2.3
`4.2.4
`Polarisation of electromagnetic waves
`Reflection of electromagnetic waves
`4.2.4.1
`4.2.5 Antennas
`4.2.5.1 Gain and directional effect
`4.2.5 .2
`EIRP and ERP
`4.2.5.3
`Input impedance
`Effective aperture and scatter aperture
`4.2.5.4
`Effective length
`4.2.5 .5
`4.2.5 .6 Dipole antennas
`4.2.5.7 Yagi-Uda antenna
`Patch or microstrip antenna
`4.2.5.8
`4.2.5.9
`Slot antennas
`Practical operation of microwave transponders
`Equivalent circuits of the transponder
`4.2.6.1
`Power supply of passive transponders
`4.2.6.2
`4.2.6.3
`Power supply of active transponders
`4.2.6.4 Reflection and cancellation
`Sensitivity of the transponder
`4.2.6.5
`4.2.6.6 Modulated backscatter
`4.2.6.7 Read range
`4.3 Surface Waves
`The creation of a surface wave
`4.3.1
`4.3.2 Reflection of a surface wave
`4.3.3
`Functional diagram of SAW transponders (Figure 4 . 95)
`4.3.4
`The sensor effect
`Reflective delay lines
`4.3.4.1
`4.3.4.2 Resonant sensors
`
`4.2.6
`
`vii
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`6
`
`

`

`viii
`
`CONTENTS
`
`Impedance sensors
`4.3.4.3
`Switched sensors
`
`4.3.5
`
`5 Frequency Ranges and Radio Licensing Regulations
`5.1 Frequency Ranges Used
`Frequency range 9-135 kHz
`5.1.1
`Frequency range 6.78MHz
`5.1.2
`Frequency range 13.56 MHz
`5.1.3
`Frequency range 27.125 MHz
`5.1.4
`Frequency range 40.680MHz
`5.1.5
`Frequency range 433.920 MHz
`5.1.6
`Frequency range 869.0MHz
`5.1.7
`Frequency range 915.0 MHz
`5.1.8
`Frequency range 2.45 GHz
`5.1.9
`5.1.10 Frequency range 5.8 GHz
`5.l.11 Frequency range 24.125 GHz
`5.1.12 Selection of a suitable frequency for inductively coupled RFID systems
`5.2 European Licensing Regulations
`CEPT/ERC REC 70-03
`5.2.1
`5.2.1.1 Annex 1: Non-specific short range devices
`5.2.1.2 Annex 4 : Railway applications
`5.2.1.3 Annex 5: Road transport and traffic telematics
`5.2.1.4 Annex 9: Inductive applications
`5.2.1.5 Annex 11: RFID applications
`Frequency range 868 MHz
`5.2.1.6
`EN 300 330: 9 kHz-25 MHz
`Carrier power -
`limit values for H field transmitters
`5.2.2.1
`Spurious emissions
`5.2.2.2
`EN 300 220-1, EN 300 220-2
`5.2.3
`EN 300 440
`5.2.4
`5.3 National Licensing Regulations in Europe
`5.3 .1 Germany
`5.4 National Licensing Regulations
`USA
`5.4.1
`Future development: USA-Japan-Europe
`5.4.2
`
`5.2.2
`
`6 Coding and Modulation
`6.1 Coding in the Baseband
`6.2 Digital Modulation Procedures
`6.2. I Amplitude shift keying (ASK)
`2 FSK
`6.2.2
`2 PSK
`6.2.3
`6.2.4 Modulation procedures with subcarrier
`
`7 Data Integrity
`7.1 The Checksum Procedure
`
`157
`159
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`CONTENTS
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`CONTENTS
`
`7.1.1
`Parity checking
`7.1.2
`LRC procedure
`7.1.3
`CRC procedure
`7.2 Multi-Access Procedures - Anticollision
`7.2.1
`Space division multiple access (SDMA)
`7.2.2
`Frequency domain multiple access (FDMA)
`7.2.3
`Time domain multiple access (TDMA)
`7.2.4
`Examples of anticollision procedures
`7.2.4.l ALOHA procedure
`7.2.4.2
`Slotted ALOHA procedure
`7.2.4.3
`Binary search algorithm
`
`8 Data Security
`8.1 Mutual Symmetrical Authentication
`8.2 Authentication Using Derived Keys
`8.3 Encrypted Data Transfer
`8.3.l
`Stream cipher
`
`9
`
`:itions
`
`,pied RFID systems
`
`as
`
`,atics
`
`ransmitters
`
`157
`159
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`161
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`195
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`9.1.3
`
`9.2.2
`
`Standardisation
`9.1 Animal Identification
`9.1.1
`ISO 11784 - Code structure
`9.1.2
`ISO 11785 - Technical concept
`9.1.2.1
`Requirements
`9.1.2.2
`Full/half duplex system
`9.1.2.3
`Sequential system
`ISO 14223 - Advanced transponders
`9.1.3.1
`Part 1 - Air interface
`9.1.3.2
`Part 2 - Code and command structure
`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
`ISO 14443 - Proximity coupling smart cards
`9.2.2.1
`Part 1 - Physical characteristics
`9.2.2.2
`Part 2 - Radio frequency interference
`9.2.2.3
`Part 3 -
`Initialisation and anticollision
`9.2.2.4
`Part 4 - Transmission protocols
`ISO 15693 - Vicinity coupling smart cards
`9.2.3.1
`Part 1 - Physical characteristics
`9.2.3.2
`Part 2 - Air interface and initialisation
`ISO 1 0373 - Test methods for smart cards
`9.2.4.1
`Part 4: Test procedures for dose coupling smart cards
`9.2.4.2
`Part 6: Test procedures for proximity coupling smart cards
`9.2.4.3
`Part 7 : Test procedure for vicinity coupling smart cards
`
`9.2.3
`
`9.2.4
`
`ix
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`8
`
`

`

`x
`
`CONTENTS
`
`ISO 69873 - Data Carriers for Tools and Clamping Devices
`9.3
`ISO 1037 4 - Container Identification
`9.4
`9.5 VDI 4470 - Anti-theft Systems for Goods
`Part 1 - Detection gates -
`inspection guidelines for customers
`9.5.1
`9.5.1.1 Ascertaining the false alarm rate
`9.5 .1.2 Ascertaining the detection rate
`Forms in VDI 4470
`9.5.1.3
`Part 2 - Deactivation devices, inspection guidelines for customers
`9.5.2
`Item Management
`ISO 18000 series
`9.6.1
`9.6.2 GTAG initiative
`9.6.2.1 GTAG transport layer (physical layer}
`9.6.2.2 GTAG communication and application layer
`
`9.6
`
`10 The Architecture of Electronic Data Carriers
`10.1 Transponder with Memory Function
`10.l.l HF interface
`load modulation with subcarrier
`10.1.l.l Example circuit -
`10.l. l.2 Example circuit - HF interface for ISO 14443 transponder
`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 Writable transponder
`10.1.3.3 Transponder with cryptological function
`10.1.3.4 Segmented memory
`10.1.3.5 MIFARE® application directory
`10.1.3.6 Dual port EEPROM
`10.2 Microprocessors
`10.2.l Dual interface card
`10.2.1.1 MIFARE® plus
`10.2.1.2 Modern concepts for the dual interface card
`10.3 Memory Technology
`10.3.1 RAM
`10.3.2 EEPROM
`10.3.3 FRAM
`10.3.4 Performance comparison FRAM - EEPROM
`10.4 Measuring Physical Variables
`10.4.1 Transponder with sensor functions
`10.4.2 Measurements using microwave transponders
`I 0.4.3 Sensor effect in surface wave transponders
`
`11 Readers
`11.1 Data Flow in an Application
`11.2 Components of a Reader
`
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`9
`
`

`

`CONTENTS
`
`CONTENTS
`
`ievices
`
`for customers
`
`es for customers
`
`ayer
`
`subcarrier
`14443 transponder
`
`:ard
`
`265
`265
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`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
`11.2.1.4 Microwave system for SAW transponders
`11.2.2 Control unit
`11.3 Low Cost Configuration - Reader IC U2270B
`11.4 Connection of Antennas for Inductive Systems
`11.4.1 Connection using current matching
`11.4.2
`Supply via coaxial cable
`11.4.3
`The inAuence of the Q factor
`1 1.5 Reader Designs
`11.5.1
`11.5.2
`11.5.3
`
`OEM readers
`Readers for industrial use
`Portable readers
`
`12 The Manufacture of Transponders and Contactless
`Smart Cards
`12.1 Glass and Plastic Transponders
`12.1.1 Module manufacture
`12.1.2 Semi-finished transponder
`12.1.3 Completion
`12.2 Contactless Smart Cards
`12.2.1 Coil manufacture
`12.2.2 Connection technique
`12.2.3 Lamination
`
`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
`13.2.6 Example projects
`13.2.6.l Korea -
`seoul
`13.2.6.2 Germany - Liineburg, Oldenburg
`13.2.6.3 EU Projects -
`ICARE and CALYPSO
`13.3 Ticketing
`13.3.l Lufthansa miles & more cord
`13.3.2 Ski tickets
`
`xi
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`10
`
`

`

`xii
`
`CONTENTS
`
`13.4 Access Control
`13.4.1 Online systems
`13.4.2 Offline systems
`13.4.3 Transponders
`13.5 Transport Systems
`Eurobalise S21
`13.5.1
`International container transport
`13.5.2
`13.6 Animal Identification
`13.6.1 Stock keeping
`13.6.2 Carrier pigeon races
`13.7 Electronic Immobilisation
`13.7.1 The functionality of an immobilisation system
`13.7.2 Brief success story
`Predictions
`13.7.3
`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
`Industrial production
`13.10.2
`13.10.2.1 Benefits from the use of RFID systems
`13.10.2.2 The selection of a suitable RFID system
`13.10.2.3 Example projects
`13.11 Medical Applications
`
`14 Appendix
`14.1 Contact Addresses, Associations and Technical Periodicals
`14.1.1
`Industrial associations
`14.1.2 Technical journals
`14.1.3
`RFID on the internet
`14.2 Relevant Standards and Regulations
`Sources for standards and regulations
`14.2.1
`14.3 References
`14.4 Printed Circuit Board Layouts
`14.4.1 Test card in accordance with ISO 14443
`Field generator coil
`14.4.2
`
`INDEX
`
`357
`357
`358
`360
`361
`361
`363
`364
`364
`367
`371
`372
`375
`376
`376
`376
`378
`379
`381
`381
`385
`387
`388
`389
`392
`
`394
`394
`394
`398
`399
`400
`405
`406
`412
`412
`413
`
`419
`
`11
`
`

`

`LIST OF ABBREVIATIONS
`
`. 3 GHz)
`
`93)
`(German Association of
`
`p Card (see ISO 15693)
`
`gulation)
`
`: elektronics N.V.
`:ecurity Locking
`
`instruments
`D systems
`
`1
`Introduction
`
`In recent years automatic identification procedures (Auto-ID) have become very popular
`in many service industries, purchasing and distribution logistics, industry, manufactur(cid:173)
`ing 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 contactless 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 actively involved in the development and sale of RFID
`systems indicates that this is a market that should be taken seriously. Whereas global
`sales of RFID systems were approximately 900 million $US in the year 2000 it is
`estimated that this figure will reach 2650 million $US in 2005 (Krebs, n.d.). The RFID
`market therefore belongs to the fastest growing sector of the radio technology industry,
`including mobile phones and cordless telephones, (Figure 1.1).
`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, telecommuni(cid:173)
`cations, manufacturing technology and many related areas.
`As an introduction, the following section gives a brief overview of different auto(cid:173)
`matic ID systems that perform similar functions to RFID (Figure 1.2).
`
`RF!D H(md/>l)ok: Fundamentals and Applicntio11., in Contactless Smart Cards and Identification. Klaus Finkenzeller
`e 2003 John Wiley & Sons, Ltd
`ISBN: 0-470-84402-7
`
`12
`
`

`

`2
`
`500
`
`400
`
`E
`en
`:::, 300
`~
`ai
`-"' cu
`E
`cii 200
`.D
`0 a
`
`100
`
`INTRODUCTION
`
`x Security/access control
`
`• Asset management
`
`1:,. Transportation
`
`... Supply chain management
`
`v Point of sale
`
`• Rental item tracking
`(cid:143) Toll collection
`ra Automobile immobilisers
`
`o Baggage handling
`
`• Animal tracking
`
`+ Real time location systems
`
`o Other
`
`0
`2000
`
`2001
`
`2003
`2002
`Year
`
`2004
`
`2005
`
`Figure 1.1 The estimated growth of the global market for RFID systems between 2000 and
`2005 in million $US, classified by application
`
`Figure 1.2 Overview of the most important auto-ID procedures
`
`1. 1 Automatic Identification Systems
`
`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 and
`Posten, 1992).
`
`13
`
`

`

`INTRODUCTION
`
`1.1 AUTOMATIC IDENTIFICATION SYSTEMS
`
`3
`
`x Security/access control
`
`• Asset management
`
`" Transportation
`• Supply chain management
`
`v Point of sale
`
`• Rental item tracking
`
`(cid:143) Toil collection
`
`"' Automobile immobilisers
`o Baggage handling
`
`• Animal tracking
`+ Real time location systems
`
`o Other
`
`:rn systems between 2000 and
`
`o-ID procedures
`
`tems
`
`entification systems over the
`for barcode systems totalled
`; of the l 990s (Vimich and
`
`The barcode is a binary code comprising a field of bar and gaps arranged in a
`parallel configuration. They are arranged according to a predetermined pattern and
`represent data elements that refer to an ~ssociated symbol_. The sequence, made_ up of
`wide and narrow bars and gaps, can be mterpreted nurnencally and alpbanumencaJLy.
`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, 1996). However, despite being identical in their
`physical design, th~re are considerable differences . between the code layouts in the
`approximately ten d1fferent barcode types currently m 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 repre ents a development of the UPC (Unjversal
`Product Code) from the USA, which was introduced in the USA as early as 1973.
`Today the UPC represent a ub et of the EAN code, and is therefore compatible with
`it (Vimich and Posten, 1992).
`The EAN code is made up of 13 digits: the country identifier, the company identifier,
`the manufacturer's item number and a check digit (Figure 1.3).
`In addition to the EAN code, the following barcodes are popular in other industrial
`fields (see Figure 1.4):
`
`• Code Codabar: medical/clinical applications, fields with high safety requirements.
`• Code 2/5 interleaved: automotive industry, goods storage, pallets, shipping con(cid:173)
`tainers and heavy industry.
`• Code 39: processing industry, logistics, universities and libraries.
`
`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
`
`Country Company identifier
`identifier
`
`Manufacturer's item
`number
`
`CD
`
`4 r o 1J2l3l4 l s o I s I 1 I s I o
`
`9
`
`FRG
`
`Company Name
`1 Road Name
`80001 Munich
`
`Chocolate Rabbit
`100 g
`
`Figure 1.3 Example of the structure of a barcode in EAN coding
`
`ISBN 0-4 71-98851-0
`
`Figure 1.4 This barcode is printed on the back of this book and
`contains the ISBN number of the book
`
`9 780471 988519
`
`14
`
`

`

`4
`
`INTRODUCTION
`
`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 read(cid:173)
`ing data visually in an emergency (or simply for checking) (Virnich and Posten, 1992).
`Today, OCR is used in production, service and administrative fields, and also in
`banks for the registration of cheques (personal data, such as name and 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.
`
`1 • 1 .3 Biometric procedures
`
`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 fingerprinting and handprinting proce(cid:173)
`dures, 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
`peaker verification (speaker recognition). In such systems, Lhe user talks into a micro(cid:173)
`phone linked to a computer. This equipment converts the spoken word
`into digital
`signals, which are evaluated by the identification software.
`The objective of speaker verification is to check tbe supposed identity of the person
`based upon thei( 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') .
`
`1.1.3.2 Fingerprinting procedures (dactyloscopy}
`
`Criminology has been using fingerprinting procedures for the identification of criminals
`since the early twentieth century. This process is based upon the comparison of papillae
`and dermal ridges of the fingertips, which can be obtained not only from the finger
`itself, but also from objects that the individual in question has touched.
`When fingerprinting procedures are used for personal identification, usually for
`entrance procedures, the fingertip is placed upon a special reader. The system calculates
`a data record from the pattern it has read and compares this with a stored reference
`pattern. Modem fingerprint ID systems require less than half a second to recognise
`and check a fingerprint. 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, 1995).
`
`15
`
`

`

`INTRODUCTION
`
`1.1 AUTOMATIC IDENTIFICATION SYSTEMS
`
`5
`
`~hines. The most important
`m and the possibility of read(cid:173)
`. (Virnich and Posten, 1992).
`1istrative fields, and also in
`s name and account number,
`
`rsally applicable because of
`ire in comparison with other
`
`ly) measurement procedures
`ems, biometry is the general
`unmistakable and individual
`ng and handprinting proce(cid:173)
`iris) identification.
`
`identify individuals using
`, the user talks into a micro(cid:173)
`~ spoken words into digital
`
`posed identity of the person
`,peech characteristics of the
`espond, then a reaction can
`
`oscopy)
`
`te identification of criminals
`1 the comparison of papillae
`:d not only from the finger
`has touched.
`I identification, usually for
`:ader. The system calculates
`his with a stored reference
`half a second to recognise
`fingerprint ID systems have
`iced on the reader is that of
`
`1. 1 .4 Smart cards
`
`A smarl card is an electronic data
`torage system, possibly with additional compuling
`capacity (microprocessor card), which -
`for convenience -
`is incorporated into a
`pla tic card the size of a credit card. The first smart card
`in the ·form of prepaid
`telephone smart card were launched in 1984. Smart cards are placed in a reader
`which makes a galvanic connection to the contact urfaces of the smart card using
`contact prings. The smart card is supplied with energy and a clock pulse from the
`reader via the contact urfaces. Data transfer between the reader a:nd the card takes
`place using a bidirectional serial interface (I/O port). It is possible to differentiate
`between two ba ic types of smart card based upon their internal functionality: the
`memory card and the microprocessor card.
`One of the primary advantage 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 information or financial transactions simpler, safer and
`cheaper. For this reason, 200 million smart cards were issued worldwide in 1992. In
`1995 this figure had 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 subsectors 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 -
`is accessed using a sequen(cid:173)
`usually an EEPROM -
`tial logic (state machine) (Figure 1.5). 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 applica(cid:173)
`tion 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
`
`Address and
`Security Logic
`
`EEPROM
`
`ROM
`
`Figure 1.5 Typical architecture of a memory card with security logic
`
`16
`
`

`

`6
`
`INTRODUCTION
`
`applications (Rankl and Effing, 1996). One example of this is the national insurance
`card used by the state pension system in Germany (Lemme, 1993).
`
`1. 1 .4.2 Microprocessor cards
`
`As the name suggests, microprocessor cards contain a microprocessor, which is con(cid:173)
`nected to a segmented memory (ROM, RAM and EEPROM segments).
`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 temporary working memory. Data stored in the
`RAM are lost when the supply voltage is disconnected (Figure 1.6).
`Microprocessor cards are very flexible. In modern smart card systems it is also
`possible to integrate different applications in a single card (multi-application). The
`application-specific parts of the programme are not loaded into the EEPROM until
`after manufacture and can be initiated via the operating system.
`Microprocessor cards are primarily used in security sensitive applications. Examples
`are smart cards for GSM mobile phones and the new EC (electronic cash) card . The
`option of programmin