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`J
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`Europaisches Patentamt
`European Patent Office
`Office europeen des brevets
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`E P 0 9 2 4 6 5 5 A 2
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`EUROPEAN PATENT A P P L I C A T I O N
`
`ation:
`(43) Date of publication:
`23.06.1999 Bulletin 1999/25
`
`(21) Application number: 98120627.9
`
`(22) Date of filing: 02.11.1998
`
`(51) |nt. CI.6: G07C 9/00, G07F 7/10
`
`(84) Designated Contracting States:
`AT BE CH CY DE DK ES Fl FR GB GR IE IT LI LU
`MC NL PT SE
`Designated Extension States:
`AL LT LV MK RO SI
`
`(30) Priority: 22.12.1997 US 995328
`
`(71 ) Applicant: TRW Inc.
`Redondo Beach, California 90278 (US)
`
`(72) Inventors:
`• Hsu, Shi-Ping
`Pasadena, CA 91107 (US)
`
`• Evans, Bruce W.
`Redondo Beach, CA 90277 (US)
`• Messenger, Arthur F.
`Redondo Beach, CA 90278 (US)
`• Zsolnay, Denes L.
`Rolling Hills Estates, CA 90274 (US)
`
`(74) Representative:
`Schmidt, Steffen J., Dipl.-lng.
`Wuesthoff & Wuesthoff,
`Patent- und Rechtsanwalte,
`Schweigerstrasse 2
`81541 Munchen (DE)
`
`(54)
`
`Controlled access to doors and machines using fingerprint matching
`
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`A system and related method for controlling
`(57)
`access to building doors or to machines, such as auto-
`matic teller machines (ATMs). The system combines
`high-speed fingerprint matching with another form of
`identification carried or memorized by a user (1 0) of the
`system. In one disclosed embodiment of the invention,
`the user (10) carries or wears an identification badge
`(18) that includes a transponder for sending preliminary
`identification data to an access controller (14) as the
`user approaches a door (12) through which access is
`controlled. The controller (14) uses the preliminary
`identification data, such as an account number or
`employee number, to access a fingerprint database (44)
`and retrieve reference fingerprint data previously stored
`there during an enrollment procedure. If the user's iden-
`tification includes a "smart card," the reference finger-
`print data may stored in the card instead of in the
`database (44). The retrieved reference fingerprint data
`are then compared, in a fingerprint correlator (46), with
`a subject fingerprint image obtained from the user (10)
`through a fingerprint sensor (16) located near, or inte-
`grated into the door (12). A successful match in the cor-
`relator (46) verifies the preliminary identification data
`and results in access to the door or machine being
`granted to the user. In another form of the invention, the
`user carries a conventional machine-readable card,
`which is placed in a card reader (32) to obtain the pre-
`liminary identification data.
`
`Printed by Xerox (UK) Business Services
`2.16.7/3.6
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`ASSA ABLOY Ex. 1003 - Page 1
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`IPR2022-01094 - U.S. Patent No. 8,620,039
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`EP 0 924 655 A2
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`2
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`Description
`
`BACKGOUND OF THE INVENTION
`
`s
`
`This invention relates generally to personal
`[0001]
`identification or verification systems and, more particu-
`larly, to systems that automatically verify a person's
`identity before granting access to a secured area of a
`company building, or to a secured machine of some
`kind, such as a bank automatic teller machine (ATM). 10
`For building access, employees are typically required to
`wear or carry identification badges, which are either
`inspected by security guards or are read by machines
`installed at access doors. Access to some areas of
`buildings may also require the employee to key in a lock 15
`combination, or supply a secret password.
`[0002] Access to an ATM also requires an identifica-
`tion card, which is scanned by the machine to determine
`the identity of the customer who was issued the card. In
`an effort to ensure that the person presenting the card 20
`is the customer to whom it was issued, a personal iden-
`tification number (PIN) must also be entered into the
`machine. Access to highly secured computer systems
`presents similar problems and usually requires some
`form of identification used in conjunction with a secret 25
`code number or password.
`[0003] The principal weakness of systems of the gen-
`eral type described above is that identification cards
`may be lost or stolen, and secret codes may be stolen,
`guessed or determined by trial and error. Accordingly, 30
`there has been a trend toward systems that obviate the
`need to carry identification cards or to memorize secret
`codes or passwords.
`Fingerprint matching falls into this category
`[0004]
`and has been used or proposed for building access, but 35
`has not been widely adopted because of the need for
`relatively expensive computer equipment to perform the
`matching process to a desired level of precision. In the
`past, fingerprint matching systems have been relatively
`slow. Even with the availability of high-speed computer 40
`processors, a fingerprint matching system that must
`compare a sensed fingerprint image with many possible
`stored reference images will not operate fast enough to
`provide rapid access to a building.
`[0005] Accordingly, the need still exists for a system of 45
`building and machine access that avoids the pitfalls of
`the prior art techniques. The present invention satisfies
`this need.
`
`SUMMARY OF THE INVENTION
`
`[0006] The present invention resides in a combination
`of fingerprint matching and a carried form of personal
`identification, for access to buildings or machines such
`as automatic teller machines (ATMs). Briefly, and in
`general terms, the system of the invention comprises
`means for inputting a preliminary identification of a user
`of the system; a fingerprint database containing refer-
`
`50
`50
`
`ss
`
`2
`
`ence fingerprint data for every user of the system, in
`association with an identification of the user; means for
`retrieving from the fingerprint database reference fin-
`gerprint data corresponding to the preliminary identifi-
`cation of the user; a fingerprint sensor for generating a
`fingerprint image of the user prior to granting access;
`and a fingerprint correlator for comparing the subject
`fingerprint image with the retrieved reference fingerprint
`data, and generating a match signal if there is a match
`to within a desired degree of accuracy. The match signal
`is used to grant the user access to the door or machine.
`In one embodiment of the invention, the means
`[0007]
`for inputting a preliminary identification includes means
`for reading an identification medium carried by each
`user and having a transponder capable of transmitting
`identification data in response to receipt of a polling sig-
`nal; and a polling transceiver for sending polling signals
`periodically and receiving any response signals from a
`transponder carried by a user approaching the secured
`building or machine. In another embodiment, the identi-
`fication medium carried by each user includes a
`machine readable card; and the means for reading the
`identification medium includes a card reader capable of
`reading the machine readable card to extract prelimi-
`nary identification data.
`[0008] As used to provide access to a secured build-
`ing, the system further comprises a door release actua-
`tor triggered by the match signal. Preferably, the
`fingerprint sensor is integrated into the door for conven-
`ience of use.
`[0009] As used to provide access to a bank automatic
`teller machine (ATM), the system's means for reading
`an identification medium includes a bank card reader
`integral with the ATM. The fingerprint sensor is also
`integrated into the ATM.
`[0010] The invention may also be defined in terms of
`a method for controlling access to a secured building or
`machine, comprising the steps of reading preliminary
`identification data supplied by a user seeking access;
`sensing the user's fingerprint prior to granting access,
`and generating a fingerprint image; retrieving from a fin-
`gerprint database reference fingerprint data corre-
`identification data;
`the preliminary
`to
`sponding
`comparing the reference fingerprint data with the sub-
`ject fingerprint image to verify the preliminary identifica-
`tion data and, if there is match, generating a match
`signal; and granting access to the secured building or
`machine if a match signal is generated.
`In a preferred form of the method, the identifi-
`[0011]
`cation medium carried by each user includes a trans-
`and
`the
`step of
`ponder,
`reading preliminary
`identification data includes transmitting a polling signal,
`receiving the polling signal in the transponder, and
`transmitting from the transponder a reply that includes
`user identification data. In an alternative form of the
`method, the identification medium carried by each user
`includes a machine-readable card, and the step of read-
`ing data from an identification medium includes reading
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`In accordance with the present invention, a
`[0016]
`high-speed fingerprint matching device is used in con-
`junction with a personal identification medium carried by
`each user seeking access to a building or machine. The
`personal identification medium provides a preliminary
`identity of the user and the fingerprint matching device
`provides rapid verification or confirmation of the identity.
`FIG. 1 shows a user, indicated by reference
`[0017]
`numeral 10, approaching a door 12 to a secured build-
`ing. An access control unit 14 is installed near the door
`12 and includes an integral fingerprint sensor 16. The
`user 1 0 is shown wearing an identification badge 1 8. In
`accordance with a preferred embodiment of the inven-
`tion, the access control unit 14 transmits polling signals,
`indicated by line 20, and the badge 18 includes an inte-
`gral transponder, which receives the polling signals and
`transmits a response that includes a coded employee
`number or, more generally, a user number, as indicated
`by line 22.
`[0018] When the user 10 reaches the door, he or she
`places a finger on the fingerprint sensor 16. An alterna-
`tive location for the sensor is, as indicated at 16', inte-
`gral a push plate 24 on an inwardly opening door, or
`beneath a pull handle (not shown) on an outwardly
`25 opening door. The user has only to pause a fraction of a
`second while fingerprint verification takes place. Then
`the access control unit 14 sends a control signal over
`line 28 to a door release actuator 30, which unlocks the
`door 12 and allows the user 10 to enter. The access
`30 control unit 14 also includes an integral card reader 32,
`for use by those that do not have a transponder badge
`28, or whose badge is not working for some reason.
`Transponder badge technology, sometimes known as
`RF-ID (radio-frequency identification), has been dis-
`35 cussed in the technical literature.
`[001 9] An alternative to the use of a badge 28 is to
`have each user 10 enter an identification code in a key-
`pad (not shown) near the door 12. The preliminary iden-
`tification is, in effect, memorized and supplied by the
`40 user 10 instead of being stored in the badge 28. Verifi-
`cation is still performed by fingerprint matching.
`[0020] FIG. 2 shows the principal components of the
`access control unit 14 in block diagram form, including
`an identification polling transceiver 40, a door controller
`45 42, a fingerprint database 44, and a fingerprint correla-
`tor 46. The polling transceiver 40 continually transmits
`polling signals, indicated by line 20. As the user 10
`approaches, his or her badge 18 detects the polling sig-
`nal and transmits a reply signal that includes the user's
`identification number or user number, as indicated by
`line 22. The user number is forwarded to the door con-
`troller 42, over line 48, and, as indicated by line 50, is
`used to access the fingerprint database 44. The data-
`base is basically a table that associates each user
`55 number with a stored fingerprint image, or with selected
`distinctive attributes or features of the user's fingerprint
`image. The database may also contain other informa-
`tion about the user, such as a history of access to the
`
`data from a card reader in which the machine-readable
`card is placed by the user. If the machine-readable card
`is a "smart card," it may hold its own reference finger-
`print data as well as preliminary identification data.
`[001 2] As used to provide access to a protected build-
`ing, the method of granting access includes unlocking a
`door to the building, and the step of sensing the user's
`fingerprint is performed by a sensor integrated into the
`door for convenience of use. As used to provide access
`to a machine, the method step of reading data from an
`identification medium includes reading an identity card
`in the machine.
`It will be appreciated from the foregoing sum-
`[0013]
`mary that the present invention represents a significant
`advance in techniques for controlling access to secured
`buildings and machines. In particular, the invention pro-
`vides a high level of security because of its use of fin-
`gerprint matching, but does not sacrifice speed or
`convenience of operation because preliminary identifi-
`cation is provided by the user and fingerprint matching
`can, therefore, be achieved rapidly. In the preferred form
`of the invention as used for building access, the combi-
`nation of fingerprint matching and radio-frequency iden-
`tification transponders allows users to pass rapidly
`through a controlled door by simply placing a finger
`momentarily on a sensor that can be integrated into the
`door structure. Other aspects and advantages of the
`invention will become apparent from the following more
`detailed description, taken in conjunction with the
`accompanying drawings.
`
`BRIEF DESCRIPTION OF THE DRAWINGS
`
`[0014]
`
`FIG. 1 is diagrammatic view showing one technique
`for obtaining access to a secured building in
`accordance with the present invention;
`FIG. 2 is a block diagram showing the principal
`components of the invention as used in the tech-
`nique shown in FIG. 1 ;
`FIG. 3 is a block diagram similar to FIG. 2, but as
`used for access to an automatic teller machine
`(ATM) or other machine; and
`FIG. 4 is a block diagram showing a fingerprint
`enrollment process as used in either of the systems
`of FIGS. 2 and 3.
`
`DESCRIPTION OF THE PREFERRED EMBODI-
`MENTS
`
`[001 5] As shown in the drawings for purposes of illus-
`tration, the present invention pertains to a system for
`controlling access to secured building or machines. In
`the past, the use of identification cards or badges, in
`possible combination with secret codes or passwords,
`has not been reliable because of the possibility of theft
`of the cards and codes.
`
`10
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`15
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`20
`
`so
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`3
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`door 12, but only the user's stored fingerprint image is of
`concern to the invention. In case multiple users
`approach the door simultaneously, means must be pro-
`vided to prevent interference between the signals from
`each transponder, and to select the fingerprint of the
`person who will next try to enter the door 12. This can
`be achieved simply by limiting the transmitted signal
`strength of the polling transceiver 40 and badge trans-
`ponders 1 8, so that the exchange of signals between
`transponder and transceiver occurs only when they are
`in close proximity. Alternatively or additionally, standard
`signal multiplexing techniques (based on time, fre-
`quency or modulation diversity) could be used to elimi-
`nate interference, and the strength of the transponder
`signal received at the transceiver could be used to
`select the closest transponder.
`[0021 ] At about the same time that the door controller
`42 retrieves a reference fingerprint from the database
`44, the controller also issues a "start" command to the
`fingerprint correlator 46, as indicated by line 52. The fin-
`gerprint sensor 16 is activated and scans the user's fin-
`gerprint. The correlator 46 then rapidly compares the
`subject fingerprint from the sensor 16, received over
`line 54, with the reference fingerprint features received
`from the database 44 over line 56. If the correlator 46
`determines that there is a match, a match signal is
`transmitted to the door controller 42 over line 58, and
`the controller generates an "open" signal on line 28 to
`the door release actuator 30.
`[0022] Like most automated secured entry systems,
`the invention does not prevent the practice of "tailgat-
`ing," where another person follows the one who has
`been authorized to enter the doorway. This problem can
`be addressed in other ways, such as by sounding an
`alarm upon the detection of multiple entries, using
`photo-detectors or similar devices.
`The fingerprint correlator 46 performs the
`[0023]
`matching function very rapidly by using special-purpose
`hardware in the form of an application-specific inte-
`grated circuit (ASIC), which employs a high degree of
`parallel processing to search an entire fingerprint image
`for instances of distinctive reference features that have
`been previously stored in the fingerprint database 44. A
`specific form of the fingerprint correlator that can
`achieve the desired speed of matching is disclosed in a
`patent application by Bruce W. Evans et al., entitled
`"Fingerprint Feature Correlator," filed concurrently with
`this application. The Evans et al. patent application is
`hereby incorporated by reference into this specification.
`A correlator constructed in accordance with the princi-
`ples described in the Evans et al. specification is capa-
`ble of verifying a user's identity in less than a second,
`and closer to half a second if only one reference finger-
`print image has to be compared with a sensed finger-
`print image
`[0024] FIG. 3 is a diagram similar to FIG. 2, but show-
`ing the principal components of a system used to
`access a computer 60, such as a bank automatic teller
`
`5
`
`10
`
`machine (ATM). Instead of the door controller 42, the
`corresponding component in FIG. 3 is an access con-
`troller 42', and instead of the polling transceiver 40 this
`system has a bank card reader 62 or a similar device for
`reading some type of identification card. The card may
`be encoded with data using a magnetic stripe, bar
`codes, or any other means. Alternatively, the card may
`be a "smart card" that includes an electronically reada-
`ble memory. The user places his or her card in the
`reader 62, which retrieves an account number or other
`type of identification unique to the user, and passes this
`data to the access controller 42' over line 48. As in the
`door entry system of FIG. 2, the access controller 42'
`uses the account number, on line 50, to access the fin-
`15 gerprint database 44 and obtain a user reference finger-
`print on line 56 from the database. The controller 42'
`also sends a "start" signal on line 58 to the fingerprint
`correlator 46, which compares the reference fingerprint
`with a subject fingerprint image supplied from the sen-
`sor 1 6 over line 54. If the correlator 46 finds a match, the
`correlator sends a signal over line 58 to the access con-
`troller 42', which transmits an appropriate signal to the
`computer 60 on line 28, indicating that access has been
`granted. In the case of an ATM machine, the computer
`25 60 initiates a dialog with the user, who may then con-
`duct banking transactions, such as cash withdrawal or
`deposit transactions. If the computer 60 is for some non-
`banking purpose, the grant of access may be for any
`defined purpose, such as the authorization to read from
`30 or write to files under control of the computer.
`In the machine access application of the inven-
`[0025]
`tion, the use of fingerprint matching in conjunction with
`a conventional bank card or other identification card
`provides a higher level of security without the need to
`35 memorize secret codes or passwords. Door or building
`access using the technique of the invention has the
`same general advantage: a higher level of security, with-
`out the need for secret codes or passwords, and yet
`without sacrificing speed or convenience or access.
`40 When used in conjunction with automatic badge sens-
`ing systems, like RF-ID, the invention provides high
`security with virtually no inconvenience or delay to the
`user. If "smart card" technology is used for door or
`machine access, the card may also be used to store f in-
`45 gerprint reference data for the user. Fingerprint match-
`ing at the door or machine would then match the sensed
`fingerprint image with fingerprint reference data read
`from the user's card. The need to maintain potentially
`large fingerprint databases at the door would then be
`so avoided.
`[0026] FIG. 4 illustrates an enrollment procedure that
`is required for any of the configurations described
`above. It has been assumed in the foregoing description
`that the fingerprint database 44 contains reference f in-
`55 gerprint image data for each user, employee, or cus-
`tomer using the system, and that the reference
`fingerprint data are associated with corresponding user
`numbers, or employee or customer account numbers.
`
`20
`
`4
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`The enrollment procedure requires that each user enroll
`by presenting a finger to the fingerprint sensor 16,
`which generates a fingerprint image for a fingerprint
`enrollment analyzer 64. At the same time, the user's
`identity has to be independently verified, by some 5
`means other than fingerprint matching, as indicated in
`block 66, and the user also presents an account
`number, employee number or similar identity number. If
`the user does not have such a number, one is assigned
`at this stage. The account number is stored in the data- w
`base 44 in association with the user's fingerprint image
`data. The fingerprint correlator 46 described in the pat-
`ent specification of Bruce W. Evans et al. referred to
`above, also includes an analysis section that extracts
`distinctive features from a fingerprint image, in the form 15
`of reference "patches" of the image that contain one or
`more distinctive bifurcations of ridges or valleys in the
`fingerprint image. In the system of the present inven-
`tion, it is these reference patches, and their positions,
`that are stored in the fingerprint database 44, or directly 20
`on the user's identification card, if "smart card" technol-
`ogy is used, for later retrieval and use in the correlator
`46.
`It will be appreciated from the foregoing that
`[0027]
`the present invention represents a significant advance 25
`in the field of automatic security systems controlling
`access to buildings or machines. In particular, the com-
`bination of an identity medium, such as a badge or card,
`to identify the user, and fingerprint matching to verify the
`identity, results in a highly secure but highly convenient 30
`approach to access control. It will also be appreciated
`that, although specific embodiments of the invention
`have been described in detail for purposes of illustra-
`tion, various modifications may be made without depart-
`invention. 35
`ing from the spirit and scope of the
`Accordingly, the invention should not be limited except
`as by the appended claims.
`
`Claims
`
`1 . A system for controlling access to a secured build-
`ing or machine, the apparatus comprising:
`
`40
`
`45
`
`means for inputting a preliminary identification
`of a user of the system;
`a fingerprint database containing reference fin-
`gerprint data for every user of the system, in
`association with an identification of the user;
`means for retrieving from the fingerprint data-
`base reference fingerprint data corresponding
`to the preliminary identification of the user;
`a fingerprint sensor for generating a subject fin-
`gerprint of the user prior to granting access;
`and
`a fingerprint correlator for comparing the sub- 55
`ject fingerprint image with the retrieved refer-
`ence fingerprint data, and generating a match
`signal if there is a match to within a desired
`
`so
`
`degree of accuracy;
`wherein the match signal is used to grant
`access to the door or machine.
`
`2. A system as defined in claim 1 , wherein:
`the means for inputting a preliminary identifica-
`tion includes means for reading an identifica-
`tion medium carried by each user and having a
`transponder capable of transmitting identifica-
`tion data in response to receipt of a polling sig-
`nal; and
`the means for reading an identification medium
`includes a polling transceiver for sending poll-
`ing signals periodically and receiving any
`response signals from a transponder carried by
`a user approaching the secured building or
`machine.
`
`3. A system as defined in claim 1 , wherein:
`each user carries a machine readable card;
`and
`the means for inputting a preliminary identifica-
`tion includes a card reader capable of reading
`the machine readable card to extract prelimi-
`nary identification data.
`
`4. A system as defined in claim 1 , wherein:
`the system provides access to a secured build-
`ing; and
`the system further comprises a door release
`actuator triggered by the match signal.
`
`5. A system as defined in claim 4, wherein the finger-
`print sensor is integrated into the door for conven-
`ience of use.
`
`6. A system as defined in claim 1 , wherein:
`the system provides access to a bank auto-
`matic teller machine (ATM); and
`the means for inputting a preliminary identifica-
`tion includes a bank card reader integral with
`the ATM; and
`the fingerprint sensor is also integrated into the
`ATM.
`
`7. A method for controlling access to a secured build-
`ing or machine, the method comprising:
`
`reading preliminary identification data supplied
`by a user seeking access;
`sensing the user's fingerprint prior to granting
`access, and generating a subject fingerprint
`image;
`retrieving from a fingerprint database reference
`
`5
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`fingerprint data corresponding to the prelimi-
`nary identification data;
`comparing the reference fingerprint data with
`the subject fingerprint image to verify the pre-
`liminary identification data and, if there is
`match, generating a match signal; and
`granting access to the secured building or
`machine if a match signal is generated.
`
`8. A method as defined in claim 7, wherein:
`
`s
`
`10
`
`the step of reading preliminary identification
`data includes transmitting a polling signal to a
`transponder carried by the user, receiving the
`polling signal in the transponder, transmitting 15
`from the transponder a reply that includes user
`identification data.
`
`9. A method as defined in claim 7, wherein:
`
`20
`
`each user carries a machine-readable card;
`and
`the step of reading preliminary identification
`data includes reading data from a card reader
`in which the machine-readable card is placed 25
`by the user.
`
`10. A method as defined in claim 7, wherein:
`
`the method provides access to a protected 30
`building; and
`the step of granting access includes unlocking
`a door to the building.
`
`11. A method as defined in claim 10, wherein the step 35
`of sensing the user's fingerprint is performed by a
`sensor integrated into the door for convenience of
`use.
`
`12. A method as defined in claim 7, wherein:
`
`40
`
`the method provides access to a protected
`machine; and
`the step of reading preliminary identification
`data includes reading an identity card in the 45
`machine.
`
`50
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`55
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`ASSA ABLOY Ex. 1003 - Page 6
`ASSA ABLOY AB v. CPC Patent Technologies Pty Ltd.
`IPR2022-01094 - U.S. Patent No. 8,620,039
`
`
`
`EP 0 924 655 A2
`
`F I G . 1
`
`40
`
`IDENTIFICATION
`POLLING
`TRANSCEIVER
`
`4 8 ' USER NO.
`^ 4 2
`C I
`DOOR
`CONTROLLER
`
`10-
`
`POLLING
`2 0 - ^ SIGNAL
`
`USER NO.
`
`O P E N
`
`44
`
`FINGERPRINT
`DATABASE
`
`USER NOS.
`REF. PRINTS
`
`28
`
`i START
`
`MATCH 58
`
`h *
`
`r
`
`
`
`USER REF. PRINT
`^ - 4 6
`
`56
`
`30
`
`DOOR RELEASE
`ACTUATOR
`
`FINGERPRINT
`CORRELATOR
`
`F I G . 2
`
`54
`
`SUBJECT PRINT
`
`FINGERPRINT
`S E N S O R
`
`16
`
`7
`
`ASSA ABLOY Ex. 1003 - Page 7
`ASSA ABLOY AB v. CPC Patent Technologies Pty Ltd.
`IPR2022-01094 - U.S. Patent No. 8,620,039
`
`
`
`EP 0 924 655 A2
`
`62
`
`
`r
`BANK OR
`OTHER ID. CARD
`READER
`
`48-
`
`42'-
`
`ACCOUNT
`NO. OR ID.
`ACC.
`NO.
`
`A C C E S S
`CONTROLLER
`
`START
`
`50
`
`■56
`
`28-
`
`58-
`
`-44
`
`