USOO7620212B1
`
`(12) United States Patent
`Allen et al.
`
`(10) Patent No.:
`(45) Date of Patent:
`
`US 7.620,212 B1
`Nov. 17, 2009
`
`(54) ELECTRO-OPTICAL SENSOR
`(75) Inventors: Jeffrey G. Allen, Albuquerque, NM
`(US); Stephen P. Corcoran, Corrales,
`NM (US); David M. Gabel,
`Albuquerque, NM (US); Damien M.
`Gonzales, Albuquerque, NM (US);
`Robert M. Harbour, Santa Fe, NM
`(US); Shonn P. Hendee, Albuquerque,
`NM (US); Kristin A. Nixon,
`Albuquerque, NM (US); Robert E.
`Ostrom, Albuquerque, NM (US);
`Robert K. Rowe, Corrales, NM (US);
`Timothy Rowe, Cambridge, MA (US)
`(73) Assignee: Lumidigm, Inc., Albuquerque, NM (US)
`(*) Notice:
`Subject to any disclaimer, the term of this
`patent is extended or adjusted under 35
`U.S.C. 154(b) by 963 days.
`(21) Appl. No.: 10/640,503
`(22) Filed:
`Aug. 12, 2003
`Related U.S. Application Data
`(60) Provisional application No. 60/460,247, filed on Apr.
`4, 2003, provisional application No. 60/403,453, filed
`on Aug. 13, 2002, provisional application No. 60/403,
`452, filed on Aug. 13, 2002, provisional application
`No. 60/403,593, filed on Aug. 13, 2002, provisional
`application No. 60/403.461, filed on Aug. 13, 2002,
`provisional application No. 60/403,449, filed on Aug.
`13, 2002.
`(51) Int. Cl.
`(2006.01)
`G06K 9/00
`(52) U.S. Cl. ..................... 382/115; 340/5.53: 340/5.83;
`713/186
`(58) Field of Classification Search ......... 382/115-127;
`340/5.1, 5.2, 5.52, 5.53, 5.8–5.86: 902/3;
`356/71; 713/186
`See application file for complete search history.
`
`(56)
`
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`Primary Examiner Aaron W Carter
`(74) Attorney, Agent, or Firm Townsend, Townsend & Crew
`LLP
`
`(57)
`
`ABSTRACT
`
`Methods and systems are provided that extend the function
`ality of electro-optical sensors. A device has a multiple light
`Sources, a light detector, and a processor configured to oper
`ate the light sources and the light detector to perform distinct
`functions. At least one of the distinct functions includes a
`biometric identification function in which light is propagated
`from the plurality of light Sources through presented material.
`The propagated light is received with the light detector, with
`the presented material being identified from the received
`light. Another of the distinct functions includes a nonidenti
`fication function performed with the light sources and the
`light detector.
`
`19 Claims, 16 Drawing Sheets
`
`302
`
`304
`
`306
`
`
`
`308
`
`310
`
`314
`
`Collect tissue spectrum
`
`Compare tissue spectrum
`with stored spectra
`
`Spectral match
`
`Yes
`
`Look up enrollement criteria
`
`Enrollment type?
`
`320
`
`Allow or deny access
`in accordance
`with default
`
`Deny access
`
`
`
`
`
`Allow access
`
`312
`
`316
`
`Update enrollment spectrum
`
`1
`
`APPLE 1006
`
`

`

`US 7,620,212 B1
`Page 2
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`

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`Steuer et al., “A New Optical Technique for Monitoring Hematocrit
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`Webb, Paul, “Temperatures of Skin, Subcutaneous Tissue, Muscle
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`Brochure entitled “Determination of Delivered Therapy Through
`Measurement of Effective Clearance', Feresenius USA, Dec. 1994, 1
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`U.S. Appl. No. 1 1/115,075. Office Action, 9 pages, May 1, 2007.
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`U.S. Appl. No. 1 1/115,101, Office Action, 17 pages, May 9, 2007.
`* cited by examiner
`
`4
`
`

`

`U.S. Patent
`U.S. Patent
`
`Nov. 17, 2009
`Nov. 17, 2009
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`Sheet 1 of 16
`Sheet 1 of 16
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`US 7.620,212 B1
`US 7,620,212 B1
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`
`
`30
`
`30
`
`5
`
`

`

`U.S. Patent
`U.S. Patent
`
`Nov. 17, 2009
`Nov. 17, 2009
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`Sheet 2 of 16
`Sheet 2 of 16
`
`US 7.620,212 B1
`US 7,620,212 B1
`
`
`
`52
`52
`
`50
`50
`
`48
`46
`48460
`
`44
`44
`
`42
`gn
`
`-
`
`32
`
`
`
`40
`40
`
`39
`39
`
`37
`37
`
`51
`51
`
`49
`49
`
`47
`47
`
`36
`36
`
`45
`45
`
`43
`43
`
`41
`41
`
`FIG. 2
`FIG. 2
`
`6
`
`

`

`U.S. Patent
`U.S. Patent
`
`Nov. 17, 2009
`Nov. 17, 2009
`
`Sheet 3 of 16
`Sheet 3 of 16
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`US 7.620,212 B1
`US 7,620,212 B1
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`
`
`
`
`FIG. 3
`FIG.3
`
`7
`
`

`

`U.S. Patent
`U.S. Patent
`
`Nov. 17, 2009
`Nov. 17, 2009
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`Sheet 4 of 16
`Sheet 4 of 16
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`US 7.620,212 B1
`US 7,620,212 B1
`
`
`
`
`
`FIG. 4
`FIG. 4
`
`8
`
`

`

`U.S. Patent
`U.S. Patent
`
`Nov. 17, 2009
`Nov. 17, 2009
`
`Sheet 5 of 16
`Sheet 5 of 16
`
`US 7.620,212 B1
`US 7,620,212 B1
`
`
`
`CtCt
`
`( 9 9 9
`
`wehl
`
`{OO9
`omomon)
`
`=
`p-—-4---f---f-
`
`Lo )
`
`71
`
`i——<——
`
`80
`
`FIG.S
`FIG. 5
`
`9
`
`
`
`
`

`

`U.S. Patent
`U.S. Patent
`
`Nov. 17, 2009
`Nov. 17, 2009
`
`Sheet 6 of 16
`Sheet6 of 16
`
`US 7.620,212 B1
`US 7,620,212 B1
`
`80
`80
`
`86
`86
`
`82
`82
`
`*
`85
`
`82
`82
`
`84
`
`81
`81
`
`FIG. 6
`FIG.6
`
`10
`
`

`

`U.S. Patent
`U.S. Patent
`
`Nov. 17, 2009
`Nov. 17, 2009
`
`Sheet 7 of 16
`Sheet 7 of 16
`
`US 7.620,212 B1
`US 7,620,212 B1
`
`91
`
`91/
`
`95
`95
`
`93
`9
`3
`
`95
`95
`
`93
`93
`
`
`
`V | V V V V V
`po| |
`
`
`O OO O OO! O O
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`O OO O OC O O 95
`OOIOO O1|O OO
`:
`2-
`)
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`
`wot
`
`OOOO 10 O*/ O ©
`
`
`
` Lan
`
`
`Ann_]
`
`93
`93
`
`95
`95
`
`93
`93
`
`FIG. 7A
`FIG. 7A
`
`11
`
`

`

`U.S. Patent
`U.S. Patent
`
`Nov. 17, 2009
`Nov. 17, 2009
`
`Sheet 8 of 16
`Sheet 8 of 16
`
`US 7.620,212 B1
`US 7,620,212 B1
`
`90
`90
`
`
`
`
`
`FIG 7B
`FIG. 7B
`
`12
`
`

`

`U.S. Patent
`U.S. Patent
`
`Nov. 17, 2009
`Nov. 17, 2009
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`Sheet 9 of 16
`Sheet 9 of 16
`
`US 7.620,212 B1
`US 7,620,212 B1
`
`
`
`
`
`FIG. 8A
`
`13
`
`

`

`U.S. Patent
`U.S. Patent
`
`Nov. 17, 2009
`Nov. 17, 2009
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`Sheet 10 of 16
`Sheet 10 of 16
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`US 7.620,212 B1
`US 7,620,212 B1
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`
`
`112
`
`
`
`104
`
`14
`
`

`

`U.S. Patent
`U.S. Patent
`
`Nov. 17, 2009
`Nov. 17, 2009
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`Sheet 11 of 16
`Sheet 11 of 16
`
`US 7.620,212 B1
`US 7,620,212 B1
`
`
`
`
`
`FIG. 8C
`FIG. 8C
`
`15
`
`15
`
`

`

`U.S. Patent
`U.S. Patent
`
`Nov. 17, 2009
`Nov. 17, 2009
`
`Sheet 12 of 16
`Sheet 12 of 16
`
`US 7.620,212 B1
`US 7,620,212 B1
`
`O-O-G -
` 0-8-~
`132
`\
`132
`s
`
`132
`132
`
`
`120
`120
`
`O) >
`
`120
`120
`
`O~
`
`O
`
`O
`
`FIG. 8D
`FIG. 8D
`
`16
`
`

`

`U.S. Patent
`U.S. Patent
`
`Nov. 17, 2009
`Nov. 17, 2009
`
`Sheet 13 of 16
`Sheet 13 of 16
`
`US 7.620,212 B1
`US 7,620,212 B1
`
`140
`
`140
`
`B 142
`C 142
`@
`
`Pd)
`
`O
`
`FIG. 8E
`FIG. 8E
`
`O0
`
`i0
`
`17
`
`

`

`U.S. Patent
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`Nov. 17, 2009
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`Sheet 14 of 16
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`US 7.620,212 B1
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`330
`
`34OB
`
`332
`
`334
`
`336
`
`340A
`338
`
`Processor(s (S)
`
`Input
`Devices
`
`Output
`Devices
`
`Storage
`Devices
`
`Computer
`Readable
`Storage Media
`
`Computer
`Readable
`Storage
`Media Reader
`
`342
`
`
`
`Comm.
`System
`
`Processing
`Acceleration
`
`348
`
`
`
`350
`
`Working
`Memory
`Operating
`System
`
`Other Code
`(Programs)
`
`346
`
`
`
`Biometric
`Sensor
`
`344
`
`356
`
`352
`
`FIG. 9
`
`354
`
`18
`
`

`

`U.S. Patent
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`Nov. 17, 2009
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`Sheet 15 of 16
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`US 7.620,212 B1
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`502
`
`504
`
`506
`
`508
`
`510
`
`514
`
`516
`
`518
`
`522
`
`524
`
`? 500
`
`Collect personal information
`
`Acquire spectral data
`
`Preprocess spectral data
`
`Check goodness of Spectra
`
`Data consistent
`with calibration
`data Set?
`
`
`
`
`
`
`
`Evaluate
`consistency from
`metrics
`
`Not consistent
`
`Match with existing
`enrolled entries?
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`Enrollment authorized
`
`Store data In enrollment database
`
`FIG 10
`
`520
`
`Supervisor examines
`close match
`
`19
`
`

`

`U.S. Patent
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`Nov. 17, 2009
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`Sheet 16 of 16
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`US 7.620,212 B1
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`302
`
`304
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`306
`
`308
`
`310
`
`314
`
`
`
`
`
`
`
`Collect tissue spectrum
`
`Compare tissue spectrum
`with stored spectra
`
`320
`
`Spectral match
`
`YeS
`
`NO
`
`Allow or deny access
`in accordance
`with default
`
`Look up enrollement criteria
`
`Enrollment type?
`
`
`
`Deny access
`
`Allow access
`
`312
`
`316
`
`N Update enrollment spectrum
`
`FIG 11
`
`20
`
`

`

`1.
`ELECTRO-OPTICAL SENSOR
`
`US 7,620,212 B1
`
`2
`attempts to answer the question of “do I know you?” The
`biometric measurement device collects a set of biometric data
`and from this information alone it assesses whether the per
`son is a previously seen (“authorized”) individual. Systems
`that perform the one-to-many identification task, Such as the
`FBI's Automatic Fingerprint Identification System (AFIS),
`are generally very expensive (S10 million or more) and
`require many minutes to detect a match between an unknown
`sample and a large database containing hundreds of thou
`sands or millions of entries. The one-to-one mode of biomet
`ric analysis answers the question of “are you who you say
`you are?” This mode is used in cases where an individual
`makes a claim of identity using a user name, a personal
`identification number (PIN) or other code, a magnetic card, or
`other means, and the device collects a set of biometric data
`which it uses to confirm the identity of the person. “Identifi
`cation' will be used in this document to denote both identi
`fication and Verification tasks.
`Although in general the one-to-many identification task is
`more difficult than one-to-one, the two tasks become the same
`as the number of recognized or authorized users for a given
`biometric device decreases to just a single individual. Situa
`tions in which a biometric identification task has only a small
`number of entries in the authorization database are quite
`common. For example, biometric access to a residence, to a
`personal automobile, to a personal computer, to a cellular
`telephone, and to other Such personal devices typically
`require an authorization database of just a few people.
`Biometric identification and verification is useful in many
`applications. Examples include Verifying identity prior to
`activating machinery or gaining entry to a secure area.
`Another example would be identification of an individual for
`matching that individual to records on file for that individual,
`Such as for matching hospital patient records especially when
`the individual's identity is unknown. Biometric identification
`is also useful to match police records at the time a suspect is
`apprehended, but true identity of the Suspect is not known.
`Additional uses of biometric identification or verification
`include automotive keyless start and entry applications,
`secure computer and network access applications, automated
`financial transaction applications, authorized handgun use
`applications, and time-and-attendance applications. In gen
`eral, protected property will be the term used to describe all of
`the goods, places, services, and information that may require
`biometric authorization to access.
`In addition to performing a biometric identification or veri
`fication and ensuring that the sample being measured is living
`tissue, there may also exist a need to determine an estimate of
`the age, sex, and other demographic characteristics of the
`person under test as part of the biometric determination task.
`For example, the U.S. Federal Trade Commission recently
`established a commission to examine the issue of remotely
`determining age of a person who is attempting to access a web
`site in order to block access by children to inappropriate sites.
`The Commission on Online Child Protection (COPA) heard
`testimony on Jun. 9, 2000 that indicated that then-known
`biometric techniques could not be used to aid the determina
`tion of a person’s age based on any known biometric features.
`
`CROSS-REFERENCES TO RELATED
`APPLICATIONS
`
`This application is a nonprovisional of and claims the
`benefit of the filing date of each of the following provisional
`applications under 35 U.S.C. S 119(e): U.S. Prov. Pat. Appl.
`No. 60/403,453, entitled “BIOMETRIC ENROLLMENT
`SYSTEMS AND METHODS.” filed Aug. 13, 2002 by Robert
`10
`K. Rowe et al.; U.S. Prov. Pat. Appl. No. 60/403.452, entitled
`“BIOMETRIC CALIBRATION AND DATA ACQUISI
`TIONSYSTEMS AND METHODS.” filed Aug. 13, 2002 by
`Robert K. Rowe et al.; U.S. Prov. Pat. Appl. No. 60/403.593,
`entitled BIOMETRIC SENSORS ON PORTABLE ELEC
`15
`TRONIC DEVICES.” filed Aug. 13, 2002 by Robert K. Rowe
`et al.; U.S. Prov. Pat. Appl. No. 60/403.461, entitled
`“ULTRA-HIGH-SECURITY IDENTIFICATION SYS
`TEMS AND METHODS.” filed Aug. 13, 2002 by Robert K.
`Rowe et al.; U.S. Prov. Pat. Appl. No. 60/403,449, entitled
`“MULTIFUNCTION BIOMETRIC DEVICES.” filed Aug.
`13, 2002 by Robert K. Rowe et al; and U.S. Prov. Pat. Appl.
`No. 60/460,247, entitled “NONINVASIVE ALCOHOL
`MONITOR, filed Apr. 4, 2003 by Robert K. Rowe et al. The
`entire disclosure of each of these six provisional applications
`is incorporated herein by reference for all purposes.
`This application is also related to the following commonly
`assigned applications and patents, the entire disclosure of
`each of which is incorporated herein by reference for all
`purposes: U.S. Pat. No. 6,560,352, entitled “APPARATUS
`30
`AND METHOD OF BIOMETRIC IDENTIFICATION OR
`VERIFICATION OF INDIVIDUALS USING OPTICAL
`SPECTROSCOPY, filed Apr. 11, 2001 by Robert K. Row.et
`al.; U.S. patent application Ser. No. 09/415,594, entitled
`APPARATUS AND METHOD FOR IDENTIFICATION
`OF INDIVIDUALS BY NEAR-INFRARED SPECTRUM
`filed Oct. 8, 1999; U.S. patent application Ser. No. 09/874,
`740, entitled “APPARATUS AND METHOD OF BIOMET
`RIC DETERMINATION USING SPECIALIZED OPTI
`CAL SPECTROSCOPY SYSTEM filed Jun. 5, 2001; U.S.
`40
`patent application Ser. No. 10/262.403, entitled “SPECTRO
`SCOPIC CROSS-CHANNEL METHOD AND APPARA
`TUS FOR IMPROVED OPTICAL MEASUREMENTS OF
`TISSUE, filed Sep. 30, 2002 by Robert K. Rowe et al.; and
`U.S. patent application Ser. No. 10/407,589, entitled
`45
`METHODS AND SYSTEMS FORBIOMETRIC IDENTI
`FICATION OF INDIVIDUALSUSING LINEAR OPTICAL
`SPECTROSCOPY, filed Apr. 3, 2003 by Robert K. Rowe et
`al.
`
`25
`
`35
`
`50
`
`55
`
`BACKGROUND OF THE INVENTION
`
`This application relates generally to electro-optical sen
`sors. More specifically, this application relates to electro
`optical sensors for use in biometric analysis of optical spectra
`of tissue.
`Biometric determination is generally defined as the process
`of measuring and using one or more physical or behavioral
`features or attributes to gain information about identity, age,
`or sex of a person, animal, or other biological entity. As well,
`in order to ensure security, the biometric determination task
`may include further tasks that ensure that the sample being
`measured is authentic and being measured on a living being.
`This latter test is referred to as a determination of liveness.
`There are two common modes in which biometric deter
`minations of identity occur: one-to-many (identification) and
`one-to-one (verification). One-to-many identification
`
`60
`
`BRIEF SUMMARY OF THE INVENTION
`
`Embodiments of the invention thus provide methods and
`systems that extend the functionality of electro-optical sen
`sors. In a first set of embodiments, a device is provided having
`such extended functionality. The device includes a plurality
`oflight Sources, a light detector, and a processor configured to
`operate the light sources and the light detector to perform a
`
`65
`
`21
`
`

`

`3
`plurality of distinct functions. At least one of the distinct
`functions comprises a biometric identification function in
`which light is propagated from the plurality of light sources
`through presented material. The propagated light is received
`with the light detector, with the presented material being
`identified from the received light. Another of the distinct
`functions comprises a nonidentification function performed
`with the light sources and the light detector.
`In some of these embodiments, the light detector may
`comprise a plurality of light detectors, which may further
`comprise an array of light detectors. In one embodiment, the
`nonidentification function comprises a liveness function to
`determine whether the presented material is alive. Such a
`determination may be used in some instances as part of pro
`viding operation of an optical Switch having multistate func
`tionality. In another embodiment, the nonidentification func
`tion comprises a nonbiometric function. For example, the
`nonidentification function may comprise operation of an opti
`cal communications port with the light sources and the light
`detector.
`In a second set of embodiments, a portable electronic
`device having extended functionality is provided. The por
`table electronic device comprises an electronic arrangement
`for performing a standard function of the portable electronic
`device, a biometric sensor, and a processor. The biometric
`sensor includes a plurality of light sources and a light detector
`disposed relative to the light sources to detect light from the
`light sources that has propagated through tissue. The proces
`sor is configured to operate the electronic arrangement to
`perform the standard function and to operate the biometric
`sensor. Light is propagated from the plurality of light sources
`through the tissue and the propagated light is received with
`the light detector. The tissue is identified from the received
`light.
`Examples of functions that may be performed by the elec
`tronic arrangement include functions of a cellular telephone,
`a personal digital assistant, an electronic fob, and a watch. In
`Some instances, the processor may be further configured to
`operate the biometric sensor to perform a nonbiometric func
`tion. For example, the biometric sensor may be operated to
`perform a spectrometer function, Such as a stress-detection
`function, a lie-detector function, a tanning-meter function, a
`complexion-monitor function, a toxicity-monitor function,
`an alcohol-monitor function, a bilirubin-monitor function, a
`hemoglobin-monitor function, a fruit-ripeness-monitor func
`tion, a counterfeit-document detection function, or a color
`match function. In other instances, the nonbiometric function
`may use an illumination capacity of the plurality of light
`Sources and use a detection capacity of the light detector. Such
`as in performing an ambient-light-sensor function, an enter
`tainment function, a personal-security function, a Smoke
`detector function, a motion-detection function, or an optical
`strobe function. In some embodiments, the nonbiometric
`function may use an illumination capacity of the plurality of
`light sources, such as to provide an optical-ringer function, a
`flashlight function, or an optical-pointer function. In other
`embodiments, the nonbiometric function may use a detection
`capacity of the light detector, Such as to provide a trickle
`charge function or a light-meter function.
`In a third set of embodiments, a method is provided for
`managing enrollment in a biometric identification system that
`accommodates extended functionality. A database is main
`tained that comprises spectrally derived biometric identifica
`tion information for at least one individual and an identifica
`tion of personalized settings for the at least one individual.
`Collected spectral data are correlated with the spectrally
`derived biometric identification information for the at least
`
`40
`
`45
`
`50
`
`55
`
`60
`
`65
`
`US 7,620,212 B1
`
`10
`
`15
`
`25
`
`30
`
`35
`
`4
`one individual. Parameters of an object are adjusted in accor
`dance with the personalized settings. The at least one indi
`vidual may comprise a plurality of individuals. In some
`instances, changes to the parameters made by the at least one
`individual may be tracked so that the personalized settings
`may be modified in accordance with the changes.
`In a fourth set of embodiments, a method is provided for
`identifying a physiological state of an individual. Electro
`magnetic radiation is propagated into tissue of the individual.
`A measured spectral variation is received in the form of
`electromagnetic radiation scattered from the tissue of the
`individual. The measur