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The technological trajectory of the automatic identification industry: the application of the systems of innovation (SI) framework for the characterisation and prediction of the auto-ID industry Katina Michael University of Wollongong

Michael, Katina, The technological trajectory of the automatic identification industry: the application of the systems of innovation (SI) framework for the characterisation and prediction of the auto-ID industry, PhD thesis, School of Information Technology and Computer Science, University of Wollongong, 2003. http://ro.uow.edu/theses/309 This paper is posted at Research Online. http://ro.uow.edu.au/theses/309

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THE TECHNOLOGICAL TRAJECTORY OF THE AUTOMATIC IDENTIFICATION INDUSTRY

The Application of the Systems of Innovation (SI) Framework for the Characterisation and Prediction of the Auto-ID Industry

A thesis submitted in fulfilment of the requirements for the award of the degree

DOCTOR OF PHILOSOPHY

from

UNIVERSITY OF WOLLONGONG

by

KATINA MICHAEL, BIT (UTS)

School of Information Technology & Computer Science 2003

Certification I, Katina Michael, declare that this thesis, submitted in fulfilment of the requirements for the award of Doctor of Philosophy, in the School of Information Technology and Computer Science, University of Wollongong, is wholly my own work unless otherwise referenced or acknowledged. The document has not been submitted for qualifications at any other academic institution.

Katina Michael 5 May 2003

ii

Dedication To the memory of Michael Michael (1962-1995) and Andrew Michael (1978-1999).

Yea, though I walk through the valley of the shadow of death, I will fear no evil; For you are with me Your rod and your staff, they comfort me. Psalm 23:4

iii

Table of Contents Certification Dedication List of Tables, Diagrams and Exhibits Acronyms and Abbreviations Abstract Acknowledgments List of Publications, Conferences and Seminars

ii iii xi xiii xxi xxii xxiii

1.

Introduction 1.1. Automatic Identification 1.1.1. Auto-ID Technologies 1.1.2. Auto-ID Applications 1.1.3. The Significance of Auto-ID 1.1.4. Auto-ID Innovation 1.2. Previous Research 1.2.1. Current Knowledge 1.2.2. The Emergence of the Auto-ID Paradigm 1.2.3. The Gap in the Literature 1.2.4. The Auto-ID Trajectory 1.3. Purpose 1.3.1. Aims and Objectives 1.4. Conceptual Framework and Methodology 1.4.1. Systems of Innovation 1.4.2. Case Studies 1.4.3. Underlying Assumptions 1.4.4. Outline

1 1 1 2 2 2 3 4 5 6 7 7 8 9 9 10 10 11

2.

Literature Review 2.1. Fundamental Definitions in the Innovation Process 2.1.1. Invention, Innovation and Diffusion 2.1.1.1. Invention: Mutation, Recombination, Hybrid 2.1.1.2. Innovation: Radical versus Incremental 2.1.2. The Innovation Process: Product versus Process 2.2. Setting the Stage- Karl Marx on Technology 2.3. Neoclassical Economic Theory (1870 - 1960) 2.3.1. Joseph Alois Schumpeter 2.4. Evolutionary Economic Theory (1980 - 1990) 2.4.1. Typical Research Style 2.4.2. Fundamental Concepts 2.4.2.1. Technological Trajectories 2.4.2.2. Selection Environment and Other Terms

13 15 15 15 16 17 18 19 19 20 22 23 24 25 iv

Table of Contents

2.5.

2.6.

2.7. 2.8. 3.

The Emergence of the Systems of Innovation Approach (1990 - ) 2.5.1. The Value of the SI Approach 2.5.2. Typical Research Style 2.5.2.1. SI Empirical Studies at the SIS or TS Level Auto-ID Technology Studies 2.6.1. Bar Code 2.6.2. Magnetic-stripe Card 2.6.3. Smart Card 2.6.4. Biometrics 2.6.5. RF/ID Tags and Transponders 2.6.6. Auto-ID and Other Technologies 2.6.7. Landmark Studies on Auto-ID and Innovation Studies Forecasting 2.7.1. From “Electronic Banks” to “Digital Money” Conclusion

Research Design 3.1 Research Paradigm 3.1.1. Qualitative Strategy 3.2 Research Design 3.2.1. The Architecture 3.2.2. The Narrative Approach 3.2.2.1. Audience 3.2.2.2. Encoding 3.2.2.3. Quoting 3.3 Methodology 3.3.1. Multiple Embedded Case Study 3.3.2. Literal Replication 3.3.3. Case Study Protocol 3.3.4. External Validity 3.4. Data Collection 3.4.1. Systems of Innovation Bounds 3.4.2. Construct Validity 3.4.3. Multiple Sources of Evidence 3.4.3.1. Documentation 3.4.3.2. Archival Records 3.4.3.3. e-Research 3.5. Data Analysis 3.5.1. The Data Management Process 3.5.2. Toward Naturalistic Generalisations 3.5.3. Content Analysis 3.5.3.1. Coding 3.5.3.2. Pictures as Content 3.5.4. Reliability 3.6. Conclusion

26 27 29 31 32 33 33 34 37 38 39 40 41 44 47 50 50 50 50 50 52 53 53 54 54 55 58 61 62 63 63 66 67 67 69 70 71 71 73 73 74 75 75 76

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Table of Contents

4.

Historical Background: From Manual to Auto-ID 4.1. Manual Identification 4.1.1. Identification Techniques Throughout the Ages 4.1.2. The Misuse of Manual ID 4.2. Advances in Record Keeping 4.2.1. The Census- Registering the Population 4.2.2. The Notion of a Personal Document File 4.3. The Evolution of the Citizen ID Number 4.3.1. Case: The U.S. Social Security Administration (SSA) 4.3.1.1. The SSN Gathers Momentum 4.3.1.2. The Computerisation of Records 4.3.1.3. Problems with Government Citizen Identifiers 4.4. The Rise of Automatic Identification Techniques 4.4.1. The Commercialisation of Identification 4.4.2. Too Many IDs? 4.4.2.1. Numbers Everywhere 4.5. Conclusion

77 77 77 78 80 80 81 84 84 85 86 87 88 88 89 90 91

5.

The Development of Auto-ID Technologies 5.1. Bar Codes 5.1.1. Revolution at the Check-out Counter 5.1.2. The Importance of Symbologies 5.1.3. Bar Code Limitations 5.2. Magnetic-Stripe Cards 5.2.1. The Virtual Banking Revolution (24x7) 5.2.2. Encoding the Magnetic-strip 5.2.3. Magnetic-stripe Drawbacks 5.3. Smart Cards 5.3.1. The Evolution of the Chip-in-a-Card 5.3.2. Memory and Microprocessor Cards 5.3.3. Standards and Security 5.4. Biometrics 5.4.1. Leaving Your Mark 5.4.2. Biometric Diversity 5.4.2.1. Fingerprint Recognition 5.4.2.2. Hand Recognition 5.4.2.3. Face Recognition 5.4.2.4. Iris Recognition 5.4.2.5. Voice Recognition 5.4.3. Is There Room for Error? 5.5. RF/ID Tags and Transponders 5.5.1. Non-contact ID 5.5.2. Active versus Passive Tags and Transponders 5.5.2.1. RF/ID Components Working Together 5.6. Evolution or Revolution? 5.6. Conclusion

92 92 92 94 97 97 98 100 102 103 103 106 108 110 110 112 114 115 115 116 117 117 118 118 120 121 122 125

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Table of Contents

6.

The Dynamics of the Auto-ID Innovation System 6.1. Definition of Stakeholders 6.2. Bar Code: The Auto-ID Pioneer Technology 6.2.1. Committees, Subcommittees and Councils 6.2.2. Public Policy 6.2.3. Spreading the Word 6.2.4. Clusters of Knowledge and a Growing Infrastructure 6.2.5. Setting Standards 6.2.6. Legal Aspects 6.3. Magnetic-Stripe Card: the Consolidating Force 6.3.1. Retail and Banking Associations Join Forces 6.3.2. From Exclusivity to Interoperability 6.3.3. The ATM Economic Infrastructure 6.3.3.1. The Global Inter-bank Network 6.3.4. Calculated Social Change 6.3.5. A Patchwork of Statutes 6.3.6. Incremental Innovations 6.3.7. Collaborative Research 6.4. Smart Card: the Next Generation 6.4.1. Social Specialisation of Labour 6.4.2. Firm-to-Firm Collaboration 6.4.3. Geographic Clustering 6.4.3.1. Private Enterprise and University 6.4.3.2. Consortiums and Alliances 6.4.4. Communicating Information 6.4.5. The Importance of ISO 6.4.5.1. Specifications 6.4.6. Legal, Regulatory and Policy Issues 6.5. Biometrics: In Search of a Full-Proof Solution 6.5.1. An Emerging Technology 6.5.2. From Proprietary to Open Standards 6.5.2.1. BioAPI 6.5.3. Consortiums and Associations 6.5.4. Government and Industry Links with Academia 6.5.5. Legislation and New Technologies 6.5.6. Privacy: Friend or Foe? 6.5.7. End-User Resistance 6.6. RF/ID Tags and Transponders: The New Arrival 6.6.1. A Time to Grow, a Time to Nurture 6.6.2. Standardisation: Opposing Forces at Hand 6.6.2.1. From Industry-Specific to Global Standards 6.6.2.2. Organisations Supporting Change 6.6.3. Abiding to Regulations 6.6.3.1. Frequency Ranges and Radio Regulations 6.6.3.2. Application-specific Regulations 6.6.4. The Importance of Collaboration 6.6.4.1. Collaboration within the Firm 6.6.4.2. Private Enterprise and University Collaboration 6.6.5. Patent Explosion

127 127 129 129 132 133 134 136 138 139 139 140 141 142 143 146 148 150 151 151 153 154 155 156 157 158 159 160 163 163 165 166 167 168 169 172 174 176 176 178 179 180 181 181 182 183 183 184 186 vii

Table of Contents

6.7.

6.6.6. Necessary Product Improvements 6.6.6.1. Consumer Fears 6.6.7. Once Labelled Conspiracy Theories Conclusion

187 189 190 192

7.

Ten Cases in the Selection and Application of Auto-ID 7.1. Bar code Product Innovation 7.1.1. Case 1: Retail 7.1.1.1. RF/ID Complementary or Replacement? 7.1.2. Case 2: Education 7.1.2.1. Smart Card or Hybrid Card 7.2. Magnetic-stripe Card Product Innovation 7.2.1. Case 3: Financial Services 7.2.1.1. Are Magnetic-stripe Cards Outdated? 7.2.1.1.1. Electronic Purse to Cashless Society 7.2.1.1.2. Biometrics and Beyond 7.2.2. Case 4: Transportation 7.2.2.1. The Smart Choice for Contactless Ticketing 7.3. Smart Cards Product Innovation 7.3.1. Case 5: Telecommunications 7.3.1.1. Smart versus “Dumb” Cards 7.3.2. Case 6: Health Care 7.3.2.1. Privacy Concerns over Smart Card 7.4. Biometric Product Innovations 7.4.1. Case 7: Government Services 7.4.1.1. Towards Integrated Auto-ID Systems 7.4.2. Case 8: Entertainment 7.4.2.1. Card Technologies Welcome 7.5. RF/ID Product Innovations 7.5.1. Case 9: Animal Tracking and Monitoring 7.5.1.1. Traditional Manual Identification for Animals 7.5.2. Case 10: Human Security and Monitoring 7.5.2.1. The Importance of the ID Number 7.6. Conclusion

193 194 196 197 199 201 203 205 206 208 210 211 213 218 219 222 224 226 227 231 233 237 238 239 240 243 244 250 252

8.

The Auto-ID Trajectory: Converging Disciplines 8.1. The Rise of Wearable Computing 8.1.1. 1G Wearables: Mobile Phones, PDAs and Pagers 8.1.1.1. Industrial Application 8.1.2. 2G Wearables: E-Wallets and Wristwatches 8.1.2.1. Medical Application 8.1.3. 3G Wearables: Smart Clothes and Accessories 8.1.3.1. Military Application 8.2. The Paradigm Shift- From Wearable to Implantable Devices 8.2.1. The Role of Auto-ID 8.2.2. The Impact of Mobility 8.2.3. Global Positioning System (GPS) Tracking

254 255 256 258 260 262 263 265 266 268 270 272 viii

Table of Contents

8.3.

8.4. 8.5. 8.6 9.

8.2.4. Towards a Unique Identifier for UPT Case Study: Auto-ID Adapted for Medical Implants 8.3.1. Biochips for Diagnosis and Smart Pills for Drug Delivery 8.3.2. Cochlear Implants- Helping the Deaf to Hear 8.3.3. Retina Implants- on a Mission to Help the Blind to See 8.3.4. Tapping into the Heart and Brain 8.3.4.1. Attempting to Overcome Paralysis 8.3.4.2. Granting a Voice to the Speech-impaired Onward the Quest for Immortality 8.4.1. Towards Electrophoresis 8.4.1.1. The Soul Catcher Chip The Evolutionary Paradigm Conclusion

Evolving Trends and Patterns 9.1. Major Findings 9.1.1. The Auto-ID Industry as a Technology System (TS) 9.1.1.1. Auto-ID Technologies Share Same Trajectory 9.1.2. The Auto-ID Innovation Process 9.1.3. The Auto-ID Selection Environment 9.1.4. Auto-ID Device Migration, Integration and Convergence 9.1.4.1. Migration from Magnetic-stripe to Smart Cards 9.1.4.2. Migration from Bar Codes to RF/ID 9.1.4.3. Integration- the Rise of Multi-Technology Cards 9.1.4.4. Converging Auto-ID Technologies 9.1.5. Towards a Model of Coexistence 9.2. Minor Findings 9.2.1. The Suitability of SI in Studying Clusters of Technologies 9.2.2. The Requirement for Interaction Between Stakeholders 9.2.3. Increasing Level of Invasiveness in Auto-ID Techniques 9.2.4. The Wireless Communications Advantage 9.2.5. The Need to Forecast Auto-ID Innovation 9.2.6. Extensive Bibliography and Online Resources 9.3. Trends and Patterns Emerging from the Case Studies 9.3.1. Information Centralisation- Big Brother Plays “Eyes Spy” 9.3.1.1. Preserving Privacy in a Technological Society 9.3.2. Mandatory Proof of Identity 9.3.2.1. The Prospect of National ID Chip Implants 9.3.3. Regulating an Unexplored Technology 9.3.4. Social Consequences 9.3.5. The Potential for Health Risks 9.3.6. Religious Advocates Object to the “Mark” 9.3.7. From the ENIAC to High-Tech Gadgetry 9.3.7.1. Shifting Cultural Values 9.3.8. Ethics and a Growing Moral Dilemma 9.3.8.1. Beyond Chip Implants 9.4. The Evolution of the Electrophoresis Trajectory 9.4.1. Towards Ubiquitous Computing

275 276 277 279 280 282 283 284 286 288 289 291 294 295 295 295 296 298 300 302 303 305 306 306 308 310 310 310 312 313 314 315 315 316 317 318 319 321 323 324 325 328 328 330 331 332 332 ix

Table of Contents

9.4.1.1. The Human as an Electrophorus 9.4.2. Have We Really Thought About the Consequences? 10.

Conclusion 10.1. Principal Conclusions 10.1.1. The Evolutionary Paradigm 10.1.2. Forecasting Technological Innovation 10.1.3. Technology is Autonomous 10.2. Major Implications 10.2.1. Reinterpreting the Meaning of Progress 10.2.2. Managing Technological Innovation 10.2.3. Who is in Control? 10.2.4. Back to the Future 10.3. Research Scope 10.3.1. Links to Earlier Findings 10.3.2. To Whom Do These Findings Apply? 10.3.3. Limitations 10.4. Recommendations 10.4.1. Further Research 10.4.2. Actions 10.5 Conclusion

Bibliography Online Resources

334 335 338 338 338 339 340 341 341 342 343 344 345 345 345 345 347 347 348 349 352 428

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List of Tables, Diagrams and Exhibits Tables 1.1 1.2 1.3 2.1 2.2 2.3 2.4 2.5 3.1 3.2 5.1 5.2 5.3 5.4 5.5 5.6 5.7 6.1 6.2 6.3 6.4 6.5 6.6 7.1 7.2 7.3 8.1 9.1 9.2

Significant Previous Research in Auto-ID Technology Multiple Embedded Case Studies Underlying Assumptions of the Research Types of Inventions Types of Innovations Important Terms and Concepts Evolving Thought in Artificial Intelligence Synergy of Forecasters Levels of Investigation Journals and Magazines Used for Collecting Documents Timeline of the History of Auto-ID Magnetic-strip Track Description Magnetic Stripe Card Types Significant Chip Card Patents After 1974 History of Fingerprint Identification Biometric Comparison Chart Biometric Techniques and Criteria Used for Verification Bar Code Questions Along the Innovation Path Different Levels of Standards U.S. Federal Law Statutes Xico “Firsts” in Magnetic Stripe Technology RF/ID Standards and Committees Recently granted patents in the U.S.A. Auto-ID Campus Card Innovations Major Health Card Projects Biometric Systems in North America Brain Implants Futuristic Scenario The Auto-ID Innovation Process Auto-ID Technology Migration, Integration and Convergence Trends

Diagrams 1.1 Diagram Schematic of Objectives Relating to Chapters 2.1 Organisation of the Literature Review 2.2 Levels of Innovation Systems Frameworks 3.1 Overall Research Design 3.2 Multiple Embedded Case Studies 3.3 Case Studies Ordered to Show the Human Evolution 3.4 How Analytical Generalisations will be Determined 3.5 Case Study Protocol 3.6 Systems of Innovation Dimensions 3.7 Some Biometric Technology Provider Web Sites Visited 3.8 Original Categorisation of Data Collected 5.1 Trends in Auto-ID: Migration, Integration and Convergence 6.1 The Auto-ID Technology System (TS) Stakeholder Model 6.2 The Auto-ID System of Innovation Dimensions Across Phases of Change 9.1 Traditional Understanding of Auto-ID- Separate Life Cycle Curves 9.2 Life Cycle Curve of the Evolution of the Auto-ID Industry

3 10 11 15 17 23 45 46 62 68 94 101 102 104 111 112 113 129 137 147 149 179 187 201 225 228 290 298 303 8 14 31 52 56 57 60 61 64 70 72 124 128 192 296 297

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List of Tables, Diagrams & Exhibits

Exhibits 1.1 Manual versus Automatic Identification Techniques 2.1 The Innovation Process of the Smart Card 4.1 Different Types of Tattoos 4.2 The Jewish People Ordered to Wear the Star of David Badge 4.3 Prisons in New York in 1913 Required Fingerprint Records 4.4 The Original Social Security Card 4.5 Multiple ID Papers, Cards, Numbers and Passwords for Individuals 5.1 Bar Codes and Magnetic-Stripe Cards Revolutionise the Check-out Counter 5.2 Examples of Early Smart Cards Prior to the 1990s 5.3 Sensar Iris Recognition Systems Integrated with Smart Card Technology 5.4 Biometric Device Suite: Fingerprint, Hand, Iris and Facial Recognition 5.5 Automated Fingerprint Recognition 5.6 RF/ID Tags, Tokens, Keys, Cards and Transponders 5.7 Examples of Migration, Integration and Convergence Patterns 6.1 Some of the Bar Code Standards-Related Organisations 6.2 Smart Card Forums and Associations 7.1 Levels of Investigation in the Embedded Case Studies 7.2 Bar Code Applications 7.3 Magnetic-Stripe Applications 7.4 Different Types of E-Tickets 7.5 The Diverse Range of Smart Card Applications 7.6 Concern for Security Means a Variety of Biometric Applications Proliferate 7.7 Integrated Manual and Auto-ID Systems for Government Solutions 7.8 RF/ID Transponders and Tags used for Livestock Management 7.9 RF/ID Tags and Transponders used in Human Tracking Applications 8.1 First Generation Wearables and Luggables 8.2 Wearable Computers in Industrial Applications 8.3 Second Generation Wearables: E-Wallets and Wireless Wristwatches 8.4 The Vivago WristCare Home System 8.5 Smart Clothes and Accessories 8.6 Implantable Devices for Humans 8.7 Applied Digital Solutions- the Digital Angel and Verichip 8.8 The Wherify Solution with Other GPS-enabled Equipment 8.9 The Smart Pill Demonstration 8.10 Various Medical Implant Applications 8.11 The Human Electrophorus 9.1 Stakeholders in the Auto-ID Innovation Process 9.2 Government Applications United by Integrated Auto-ID Solutions 9.3 Convergence at the Application Level using Smart Card Technology 9.4 Reader Equipment Points to Auto-ID Techniques Coexisting 9.5 Some of the Auto-ID Stakeholders Consulted 9.6 Marketing Campaigns that Point to Electrophoresis 9.7 Science Fiction Film Genre Pointing to the Rise of the Electrophorus 9.8 The Functions of the 1987 Proposed Australian National ID Card 9.9 Evidence for the Mark of the Beast as Presented on GreaterThings.com 9.10 The New Fashion: Body Bar Code Tattoos, Piercing and Chipification 9.11 The Process of Transformation 10.1 The Human Evolution

1 18 78 79 83 85 90 98 105 110 112 114 120 125 136 154 193 195 205 214 219 229 236 242 249 258 259 261 262 264 267 269 274 278 286 293 300 302 307 309 311 312 314 320 326 329 334 344

xii

Acronyms and Abbreviations 2G 3G 4G AA AATA ABA ABC ABS ADC ADFA ADS ADSX AfB AFDC AFIM AFIS AFIRM AFMA AFPA AGV AHMA AI AI AIAG AIDC AIM AIM ALS AMD AMEX ANA ANSI APA APACS API API API APRIL APSCF AR ARPA ARPANET ASCII ASK ASR ATA ATA

Second Generation Third Generation Fourth Generation Aluminium Association American Air Transport Association American Banking Association American Blood Commission Acrylonitrile-Butadiene-Styrol (see smart cards) Automatic Data Capture Australian Defence Force Academy * see ADSX Applied Digital Solutions Association for Biometrics Aid to Families with Dependent Children Automated Fingerprint Recognition Machine Automated Fingerprint Identification System (see NAFIS also) Automated Fingerprint Image Reporting and Match American Furniture Manufacturers Association Australian Federal Police Association Automated Guided Vehicles American Hardware Manufacturers Association Application Identifier (bar code standards) Artificial Intelligence Automotive Industry Action Group Automatic Identification and Data Collection Advanced Informatics Medicine (in the Europe) Automatic Identification Manufacturers (in auto-ID) Amyotrophic Lateral Sclerosis Aged Macular Degeneration American Express Article Numbering Association American National Standards Institute American Pet Association Association of Payment and Clearing Services Application Programming Interface (see standards) Automatic Personal Identification (see auto-ID) American Paper Institute (bar code industry association) Army Personnel Rationalisation Individual Listings (in Britain) Asia Pacific Smart Card Forum Augmented Reality Advanced Research Projects Agency (see ARPANET also) Advanced Research Projects Agency Network American Standard Code for Information Interchange Amplitude Shift Keying Artificial Silicon Retina Air Transport Authority (see IATA also) American Trucking Association xiii

Acronyms and Abbreviations

ATM AVID AVIS Auto-ID BACS BART BCC BCD BCI BHSUG BIOTEST bit bpi BS BSE BSI BT BWG C2G CAD CAFE CANPASS CAO CATV CBA CBD CBDC CBEFF CCD CCMIS CCTV CD CDMA CDSA CEC CEN CENELEC CEPS CEPT CFIP ch. CHIPS CIBC CITeR CITI CJIS COS CPR CPU CRC CRM CRP CS CTO

Automatic Teller Machine American Veterinary Identification Devices Automotive Vehicle Identification System Automatic Identification Bankers Automated Clearing Services (in U.K.) Bay Area Rapid Transport (in San Francisco) Border Crossing Card (in U.S./ Mexico) Binary Coded Decimal Brain Computer Interaction Biometrics in Human Service User Group Biometric Testing Services binary digit Bits per Inch Base Station Bovine Spongiform Encephalopathy British Standards Institute British Telecom Bar Width Growth Citizen-to-Government Computer-Aided Design Conditional Access for Europe Canadian Passenger Accelerated Service System County Assistance Offices (in U.S.) Cable Television Canadian Bankers Association Central Business District Commercial Biometrics Developer’s Consortium Common Biometric Exchange File Format Charge-Coupled Device Chip Card-based Medical Information System Closed Circuit Television Cash Dispensers Code Division Multiple Access Common Data Security Architecture Chip Electronic Commerce Comité Européen de Normalisation European Committee for Electrotechnical Standardisation Common Electronic Purse Specifications Conférence Européene de Postes et Télécommunications Code of Fair Information Practice chapter Clearinghouse Interbank Payment System Canadian Imperial Bank of Commerce Centre for Identification Technology Research Centre for Information Technology Integration Criminal Justice Information Services Card Operating System Central Population Register Central Processing Unit Cyclic Redundancy Check Customer Relationship Management Central Register of Persons (Denmark) Composite Symbology Chief Technology Officer xiv

Acronyms and Abbreviations

CVM DARPA DCC DCS DECT DERA DNA DNI DOD dpi DPSS DSD DSS DTE DTR E-cash E-commerce EAN EAS EBT EC ECA EDI EDP EEG EEPROM EER EFT EFTS EFTPOS EIA EIN ELP EMI EMV ENIAC EPC EPS ERMS ERP ERP ESP ETSI ETTS EU FACT FAQ FAR FBI FCC FDA FedWire FIN FNMT

Centre for Veterinary Medicine Defense Advanced Research Projects Agency Distribution Code Centre Digital Communication Services (also Digital Cellular System) Digital European Cordless Telephone Defence Evaluation Research Agency (in UK) deoxyribonucleic acid Documento Nacional de Identidad (Argentina) Department of Defence dots per inch Department of Public Social Services Direct Store Delivery Department of Social Services (in U.S.) Data Terminal Equipment Data Transfer Rate Electronic Cash Electronic Commerce European Article Number Electronic Article Surveillance Electronic Benefits Transfer Electronic Commerce Electronic Commerce Association Electronic Data Interchange Electronic Data Processing Electroencephalogram Electrical Erasable Programmable Read Only Memory Equal Error Rate Electronic Funds Transfer (see EFTPOS also) Electronic Funds Transfer Systems Electronic Funds Transfer at the Point of Sale Electronics Industry Association Event Identification Number (Peru) Evaluated List of Products Electromagnetic Interference Europay, MasterCard, and Visa Electronic Numerical Integrator and Computer Electronic Product Code Electronic Payment System Electronic Management System (in Britain) Enterprise Resource Planning (in manufacturing) Electronic Road Pricing (in Singapore) Extra Sensory Perception European Telecommunications Standards Institute European Transport & Telematics Systems European Union Federation of Automated Coding Technologies Frequently Asked Questions False Accept Error Rate Federal Bureau of Investigation Federal Communications Commission (in U.S.) Food and Drug Administration (in U.S.) Federal Reserve System French Identification Number Fábrica Nacional de Moneda y Timbre xv

Acronyms and Abbreviations

FPA FRAM FREFLEX FRR FSK FSU ft FTC FTC FTTC FTTN GA GAO GCA GHz GIN GIS GMA GMS GP GPRS GPS GR GSM HA-API HCI Hex HIBCC HIC hico high-tech HP HRS HRV HTML IACT IAFIS IAI IATA IBIA IBG IC ICC ICMA ICSA ID IDEA iDTV IEC IGSANS IMI IN INCITS INS

Flexible Packaging Association Ferroelectric Random Access Memory Force Reflecting Exoskeleton False Reject Error Rate Frequency Shift Keying Florida State University footnote Financial Transaction Card Federal Trade Commission (see bar codes) Fibre to the Curb Fibre to the Neighbourhood General Assistance General Accounting Office (in U.S.) Graphic Communications Association Gigahertz German Insurance Number Geographic Information Systems Grocery Manufacturers of America Generalised Matching Service (in U.K.) General Practitioner General Packet Radio Service Global Positioning System General Relief Global System for Mobile Communications Human Authentication Application Programming Interface Human-Computer Interaction Hexadecimal Health Industry Business Communication Council Health Insurance Commission (in Australia) High Coercivity High Technology Hewlett-Packard Human Recognition Services (in biometrics) Heart Rate Variability Hypertext Markup Language Information and Communication Technology Integrated Automated Fingerprint Identification System International Association for Identification International Air Transport Association International Biometric Association International Biometric Group Integrated Circuit Integrated Circuit Card (see IC also) International Card Manufacturers Association International Computer Security Association (in U.S.) Identity; Identification Identification Electronique des Animaux (in Europe) Interactive Digital Television International Electronic Commission Integrated Global Surveillance And Navigation System Information Management Institute Identification Number; Insurance Number InterNational Committee for Information Technology Standards Immigration & Naturalisation Service (see INSPASS also) xvi

Acronyms and Abbreviations

INSPASS I/O IP IP IPN IPRP IR IRR IRS IS IS ISBN ISO ISP ISV IT ITL IT&T IVHS IVR JIT JTC kHz LAN LDC LED LERTS LIS loco LOGMARS LoS LT m MAPS MARC MDC MEL MEMA MEMS MFC mHz MICR MIQR MISC MIT MLI mm MMS MPEG-3 MRT ms N-Geners NAB NAFIS

Immigration, Naturalisation Service Passenger Accelerated Service System Input/Output Intellectual Property (in patents) Internet Protocol Insured Persons Number (Switzerland) Information Policy Research Program Infrared Internal Rate of Return Internal Revenue Service International Standard Information System International Standard Book Number International Standards Organisation Internet Service Provider Independent Software Vendor Information Technology Information Technology Laboratory Information Technology and Telecommunications Intelligent Vehicle Highway Systems Interactive Voice Response Just-in-Time Joint Technical Committee Kilohertz Local Area Network Lesser Developed Countries Light Emitting Diode Leicester Environmental Road Tolling Scheme Local Innovation Systems Low Coercivity Logistic Applications of Automated Marking and Reading Symbols line-of-sight London Transit metres Multimodal Access and Payment System (in transport) Multi-technology Automated Reader Card More Developed Countries MULTOS Executable Language Motor & Equipment Manufacturing Association Microelectromechanical Systems MultiFunction Card (IBM™) Megahertz Magnetic-Ink Character Recognition Minimum Image Quality Requirements Magnetics and Information Science Centre Massachusetts Institute of Technology Multiple Laser Image Millimetres Multimedia Messaging Service Moving Picture Experts Group-3 Mass Rapid Transport (in H.K.) milliseconds Net Generation National Australia Bank National Automated Fingerprint Identification System (in U.K., see AFIS also) xvii

Acronyms and Abbreviations

NAO NATO NC NCP NCS NCSA NEMA NETS NGN NIC NIH NIN NIS NOPA NPV NRI NSA OCR ODETTE Oe OEM OPCC OS OTP PAM PAN PAN PARIS PBS PC PC PCM PCMCIA PCN PCR PCS PDA PDF PERS PET PIC PID/SS PIN PIT PITO PKI PLC PLD PN PNN PORTPASS POS PR PSAM

National Audit Office (in U.K.) North Atlantic Treaty Organisation Numerically Controlled National ChipCard Platform (NCP) National Cash Service (in Japan) National Computer Security Association National Electrical Manufacturer’s Association Network for Electronic Transfer Next Generation Networks Newly Industrialised Countries National Institute of Health (in the U.S.) National Identification Number (in U.K.) National Innovation Systems National Office Products Association Net Present Value National Registry Incorporated National Security Agency Optical Character Recognition Organisation for Data Exchange by Tele Transmission in Europe Oersted Original Equipment Manufacturers Optical Product Code Council Operating System One-Time Programmable Pulse Amplitude Modulation Personal Area Network Primary Account Number (in magnetic-stripe cards) Pennsylvania Automated Recipient Identification System Pharmaceutical Benefits Scheme (in Australia) Personal Computer Polycarbonate (see smart cards) Pulse Coded Modulation PC Memory Card Industry Association Personal Communications Network Polymarase Chain Reaction (in silicon) Personal Communications Services Personal Digital Assistant Portable Data File Personal Emergency Response System Polyethylene Terephthalate (see smart cards) Personal Identification Code (Finland) Personal ID for Social Services Personal Identification Number Passive Integrated Transponder (see Biomark) Police Information Technology Organisation (in U.K.) Public-key Infrastructure Programmable Controllers Personal Location Device (for microchip implants) Person Number (Norway, Sweden) Police National Network (in U.K.) Port Passenger Accelerated Service System Point of Sale (see EFTPOS also) Public Relations Purchase Secure Application Modules xviii

Acronyms and Abbreviations

PSK PTT PVC PVV PWM QR R&D RAM RAS RF RF/DC RFI RFI RF/ID RFP ROI ROM RP RSI RSS RTA RTLS RUN SAN SARS SC SC SCF SCIA sci-fi SCM SDK SEIS SEMP SER SET SIBS SI SIA SIB SIM SIN SIP SIS SMS SP SRD SSA SSCC SSN SST STAC SUI SVAPI

Phase Shift Keying Post Telephone and Telegraph Polyvinyl Chloride PIN Verification Value Pulse Width Modulation Quick Response Research and Development Random Access Memory Remote Access Server Radio Frequency Radio Frequency Data Communication Request for Information (in tender process, see also RFP) Radio Frequency Interference Radio Frequency Identification (also known as RFID) Request for Proposal Return on Investment Read Only Memory Retinitis Pigmentosa Repetitive Strain Injury Reduced Space Symbology Roads and Traffic Authority (in Australia) Real-Time Locating System (see WhereNet) Rol Unico Nacional (in Chile) Social Account Number (in Austria) Severe Acute Respiratory Syndrome Smart Card Sub-committee Smart Card Forum Smart Card Industry Association Science Fiction Supply Chain Management Software Development Kit Secured Electronic Information in Society Sociedad Espanola de Medios de Pago Substitution Error Rate Secure Electronic Transaction Sociedade Interbancaria de Servicos Systems of Innovation Security Industry Association (in U.S.) Sociedade Interbancaria de Servicos Subscriber Identity Module (see UIM also) Single Identifying Number Session Initiation Protocol Sectoral Innovation Systems Short Message Service Service Provider Short Range Devices (in RF/ID) Social Security Administration (in U.S.) Serialised Shipping Container Code Social Security Number (in U.S.) Social Shaping of Technology Symbol Technical Advisory Committee Standard Universal Identifier Speaker Verification Application Programming Interface xix

Acronyms and Abbreviations

SVC SWIFT TA TAB TAFE TAPA TASS TC TDI TDMA TFN TIN TIRIS TS U-M UCC UCC UEPS UGPCC UID UIM UIN UIS ULI UMI UMTS UPC UPC UPCC UPI UPIM UPN UPT V VAR VAS VGA VICS VOD VPN VR VWPP WISE WMATA WPAN WWII WWW

Stored Value Card Society for Worldwide Interbank Financial Telecommunications Technology Assessment Tape Automated Bonding (see smart cards) Tertiary And Further Education Terminal Architecture for PSAM Applications (see PSAM also) Tarjeta de la Seguridad Social Espanola (in Spain) Technical Committee Teledensity Index Time Division Multiple Access Tax File Number (in Australia) Taxpayer Identification Number (in U.S.) Texas Instruments' Registration & Identification System Technological Systems University of Michigan Card Uniform Code Council (see also UPCC) Uniform Commercial Code (in U.S. legal) Universal Electronic Payment System Uniform Grocery Product Code Council Universal Identifiers User Identity Module (see SIM also) Universal Identification Number Unique Identification System Unique Lifetime Identifier; Universal Lifetime Identifier Universal Multipurpose Identifier Universal Mobile Telecommunications System Universal Personal Communications (see UPT) Universal Product Code Universal Product Code Council Unique Personal Identifier Uniform Personal Identification Mark Universal Personal Number Universal Personal Telecommunications (known as UPC also) Volts Value-added Reseller Value-added Services Video Graphics Adaptor Voluntary Inter-Industry Communications Standards Video-on-Demand Virtual Private Network Virtual Reality Visa Waiver Pilot Program (in biometrics) Wireless and Internet Infrastructure Software Environment (see Xmarc) Washington Metropolitan Area Transit Authority Wireless Personal Area Network World War Two World Wide Web

xx

Abstract Traditionally the approach used to analyse technological innovation focused on the application of the techno-economic paradigm with the production function as its foundation. This thesis explores the rise of the evolutionary paradigm as a more suitable conceptual approach to investigating complex innovations like automatic identification (auto-ID) devices. Collecting and analysing data for five auto-ID case studies, (bar codes, magnetic-stripe cards, smart cards, biometrics and RF/ID transponders), it became evident that a process of migration, integration and convergence is happening within the auto-ID technology system (TS). The evolution of auto-ID is characterised by a new cluster of innovations, primarily emerging through the recombination of existing knowledge. Using the systems of innovation (SI) framework this study explores the dynamics of auto-ID innovation, including organisational, institutional, economic, regulatory, social and technical dimensions. The results indicate that for a given auto-ID innovation to be successful there must be interaction between the various stakeholders within each dimension. The findings also suggest, that the popular idea that several technologies are superseded by one dominant technology in a given selection environment, does not hold true in the auto-ID industry. Each device studied has a significant role to fulfil in the marketplace, sharing in the same technological trajectory. Trends captured from the embedded case studies provide evidence for the continued growth in the requirement for auto-ID; they also point to an ever-increasing pervasiveness in auto-ID exemplified in the quest for the human electrophorus. Finally, as new auto-ID innovations are introduced, it is important to ensure that the adequate safeguards are put in place to protect citizens against accidental or intentional misuse. This is especially true of wireless applications that make use of wearable computing and microchip implants for tracking and monitoring purposes. Engineers therefore, should act in a socially responsible manner when inventing or patenting, viewing ethical discourse as an integral component of the innovation process, despite the competitive pressures for stakeholders to be first-to-market with new solutions.

xxi

Acknowledgments My thanks to my former employer, the Canadian telecommunications giant Nortel Networks, for subsidising my higher education fees and related expenses. I am especially indebted to the late Daniel Allard and Director Jean-Luc Thibault for their support. The Network & Systems Solution team were like an extended family. My supervisors, Associate Professor Robyn Lindley (1997-1998), Associate Professor Carole Alcock and Professor Joan Cooper (1999-2003) have supported me throughout my candidature. I could not have hoped for better supervision. They always gave me quality time whenever we met to discuss my research, despite their extremely busy schedules. You never let me doubt that I would finish my PhD. I would also like to thank my dear students at University of Wollongong- you led by example. I have always been blessed to be surrounded by a close-knit group of individuals including my good parents (George & Vasiliki Vlahos), in-laws (George & Helen Michael), and siblings (Christine, Arthur, Reggina & Dianne). You did everything you possibly could to make the ‘burden’ lighter. I especially appreciate the continued support of beloved friends Lella & George Constanti, Panayiota & Vasili Ziogas, Nicholas & Krystall Kyriacos, Nikos Evangelou, Aimilia Katsogiannis and John Kefalianos. You were always there for me when I needed you. Your innumerable good deeds, almost all of which have remained anonymous, gave me the strength to keep going when things got tough. Finally, my husband has been my greatest inspiration. He never let me lose sight of the ultimate goal- to complete an in-depth investigation of auto-ID. A recognised academic in the fields of History and Theology, his direction and correction was paramount in the completion of the thesis. If I was able to complete the study in a relatively short period of time, it was because he prevented me from falling into errors that other first-time thesis writers make. Michael, your advice and assistance throughout were vital; and if I have achieved anything of substance, it is because of you and the grace of God… Oh yes, and there is one more person to thank, the baby which I am presently carrying, who has been so patient over the last nine months- encouraging me to submit ‘sooner than later’.

xxii

Publications, Conferences and Seminars Publications, Case Studies, Articles Michael, K. 2000, “MapWorld Conference Report”, Directions http://www.directionsmag.com/article.php?article_id=66, 23 May, pp. 1-3.

Magazine,

_______. 2002a, ‘Integrating islands of information through CRM’, in Internet Commerce: digital models for business, E. Lawrence et al., John Wiley and Sons, Queensland, pp. 176-179, 181. _______. 2002b, ‘The adoption of e-commerce by microbusinesses’, in Internet Commerce: digital models for business, E. Lawrence et al., John Wiley and Sons, Queensland, pp. 99-104. _______. 2002c, ‘The automatic identification trajectory: from the ENIAC to chip implants’, in Internet Commerce: digital models for business, E. Lawrence et al., John Wiley and Sons, Queensland, pp. 131-134, 136. _______. 2002d, ‘The battle against security attacks’, in Internet Commerce: digital models for business, E. Lawrence et al., John Wiley and Sons, Queensland, pp. 156-159, 162. _______. 2002e, ‘The online privacy frontier’, in Internet Commerce: digital models for business, E. Lawrence et al., John Wiley and Sons, Queensland, pp. 259-263, 265. _______. 2002f, ‘The rise of the wireless Internet’, in Internet Commerce: digital models for business, E. Lawrence et al., John Wiley and Sons, Queensland, pp. 291-294, 296. ______. 2003a, ‘Trends in the selection of automatic identification technology in electronic commerce applications’, in Building Society Through E-Commerce: eGovernment, e-Business and eLearning, N. Cerpa & P. Bro (eds), Gutenberg, Talca, pp. 135-152. ______. 2003b, ‘The importance of conducting geodemographic market analysis on coastal areas: a pilot study using Kiama Council’, Coastal GIS 2003, Maritime Policy, Wollongong, (publication pending). Toshack, A. & Michael, K. 2002, ‘Barunga music online’, in Internet Commerce: digital models for business, E. Lawrence et al., John Wiley and Sons, Queensland, pp. 76-80, 82. Conferences Michael, K. 1997, “Federal government adoption of multiapplication smart cards” in Science and Technologies Studies Today: Forging New Links, 20th-21st September, University of Wollongong. _______. 1999, “Case study: Nortel Networks solutions- incorporating the power of MapInfo” in Asia Pacific MapWorld Conference, 21st-23rd April, Star City Casino, Sydney, Australia. _______. 2000, “What do you want the Internet to be?”, Asia Pacific MapWorld Conference, 21st-24th April, The Westin, Sydney, Australia. xxiii

Publications, Conferences and Seminars

_______. 2000, “Case study: An integrated approach to telecommunications using a geographic information system”, Global MapWorld Conference, 1st-3rd May, San Antonio, Texas, USA. _______. 2003, “A geodemographic market study analysing the demands of future growth on Werri Beach & Gerringong”, Coastal GIS, 7th-8th July, University of Wollongong. Seminars Michael, K. 1999, “Automatic identification technologies”, in ITACS Postgraduate Research Group Seminar, 8th July, University of Wollongong. _______. 2001, “The auto-ID trajectory” in SITACS Research Student Conference, 22nd November, Novotel, Wollongong. _______. 2003, “The quest for the human as an electrophorus” in Centre for e-Applications Research (CeAR) Group Seminars, 4th April, University of Wollongong. Consultancies Michael, K. 2002, “Using GIS to target markets for Australian telecommunication service providers”, Nortel Networks Australia, June-September, Chatswood, NSW. Articles on the Author Directions Staff. 2000, “Women in GIS: Katina Michael”, Directions Magazine, http://www.directionsmag.com/article.php?article_id=62, 27 March, pp. 1-8. MapInfo Staff. 2000, “Nortel Networks: Assesses customer needs quickly and accurately with MapInfo”, MapInfo Corporation, Troy, New York. Prospective Papers from the Thesis- Pending Submission for Review _______. ‘The auto-ID trajectory: from bar codes to RF/ID implants’, Prometheus, http://www.carfax.co.uk. _______. ‘From manual to automatic identification’, IEEE Annals of the History of Computing, http://computer.org/annals. _______. ‘The auto-ID selection environment: convergence and coexistence’, Convergence: The Journal of New Media Technologies, http://www.luton.ac.uk/Convergence. _______. ‘Medical applications of auto-ID devices’, Convergence: The Journal of New Media Technologies, http://www.luton.ac.uk/Convergence. _______. ‘The quest for the human as an electrophorus’, Bulletin of Science, Technology & Society, http://www.sagepub.com. _______. ‘The socio-cultural impacts of RF/ID transponder implants’, IEEE Technology and Society Magazine. xxiv

1. 1.1.

Introduction

Automatic Identification 1.1.1.

Auto-ID Technologies

This thesis1 is concerned with the automatic identification (auto-ID) industry which first came to prominence in the early 1970s. Auto-ID belongs to that larger sector known as information technology (IT). As opposed to manual identification, auto-ID is the act of identifying a living or nonliving thing without direct human intervention (see exhibit 1.1). Of course the process of auto-ID data capture and collection requires some degree of human intervention but the very act of authenticating or verifying an entity can now be done automatically. An entity can possess a unique code indicating personal identification or a group code indicating conformity to a common set of characteristics. Some of the most prominent examples of auto-ID techniques that will be explored in this thesis include bar code, magnetic-stripe, integrated circuit (IC), biometric and radiofrequency identification (RF/ID). The devices in which these techniques are packaged include labels and tags, card technologies, human feature recognition, and implants. Generally the devices are small in size, not larger than that of a standard credit card. Please see print copy for Exhibit 1.1

Exhibit 1.1 Manual versus Automatic Identification Techniques

1

Please note, the Harvard system of referencing has been used consistently throughout this thesis as outlined in the University of Wollongong, Information and Communication Technology (IACT) department style guide. The use of explanatory footnotes is permitted by the Harvard system (Jennings 1997, p. 16). It must also be noted, that the works cited in the main body of the thesis are referenced in the bibliography (hardcopy sources) or the online resources. 1

Introduction

1.1.2.

Auto-ID Applications

Traditionally auto-ID has been synonymous with bar code labels on supermarket store items, financial transaction cards (FTCs) used to withdraw money from automatic teller machines (ATMs), and subscriber identity module (SIM) cards in mobile phones. Today auto-ID devices are being applied in very different ways to what they were originally intended. For instance, frequent air travellers can bypass immigration queues using their biometric trait, prisoners can serve their sentences from home by wearing electronic tags and animals can be identified by implanted transponders. While the nature of auto-ID is one that is innately compatible to mass market diffusion, it does also accommodate well for niche applications where for instance security is paramount and access is limited to only a few authorised persons. Auto-ID has also become an integral part of electronic commerce (EC) applications, particularly those related to the government vertical market segment. 1.1.3.

The Significance of Auto-ID

Prior to the 1970s who could have envisaged that every packaged item sold on a supermarket shelf would be equipped with a bar code label. And that by the early 1990s the majority of the population in more developed countries (MDCs) would be carrying a magnetic-stripe or smart card to conduct financial transactions, without having to visit a bank branch. And furthermore, that by the turn of the twenty-first century that it would be enforceable by law to implant domesticated animals with a microchip. These examples not only indicate the pervasiveness of auto-ID but also how reliant the world has become upon the technology, including public and private enterprise. The impact of auto-ID is not only irreversible but auto-ID is now an essential part of life. It is interwoven in a highly structured manner with the way we live and work and is a seamless part of our day-to-day routine activities. The technology is so widespread and diffused that it seems to possess an almost omnipresent quality. 1.1.4.

Auto-ID Innovation

Auto-ID technologies are complex artefacts. In their natural state they are simply inventions seeking an economically significant purpose. Only when the devices are applied to a given context as part of an information system (IS), and they achieve a desired result, can they be considered product innovations. For example, a plastic card

2

Introduction

with a magnetic-stripe is quite useless unless it grants the cardholder the ability to make an EFTPOS (electronic funds transfer point-of-sale) transaction at a restaurant to pay for a meal. Furthermore, one need only consider just how complex an auto-ID system is: first cards need to be produced by a manufacturer based on a common set of standards; second the cards need to be acquired by a financial institution and set up with the appropriate parameters; third an end-user with that financial institution must adopt the card and be inclined to make an EFTPOS transaction; and fourth the merchant must accept EFTPOS payments and have predefined agreements with the appropriate financial institutions to enact a valid transaction. The auto-ID innovation process requires that there be dynamic interaction among numerous stakeholders including technology providers, service providers and customers. All too often studies will only focus on the first of these, neglecting to understand that the other members are equally important to the innovation process. 1.2.

Previous Research

A vast amount of research has been conducted on individual auto-ID technologies. Apart from top-secret defence projects, much of the research has taken place in industry, the results of which have been commercially sensitive, usually protected by

company-specific intellectual property

rights. The competitive

environment in which these technologies are being developed is based primarily on cost and product differentiation that does not ascertain a setting where sharing information is encouraged. Most publicly available research covers elementary topics with reference to a single device only. There are some works however, that have gone into greater depth about particular aspects of auto-ID devices (mostly technical in nature) and these have been cited in table 1.1. A more thorough investigation is given to some of these references in chapter two as they are critically analysed within an innovation context. An extensive list of sources can be found in the Bibliography and Online Resources. Table 1.1 Significant Previous Research in Auto-ID Technology Auto-ID Technology Bar Codes

Magnetic-Stripe Cards Smart Cards

Significant Previous Research Marriot 1987; Grieco et al. 1989; Harmon & Adams 1989; Palmer 1989; Collins & Whipple 1990; Cohen, J. 1994; Pavlidis 1996; Brown 1997; Howlett et al. 1997; LaMoreaux 1998; Albright 1998; Proefke 1998; Moore 1998; McInerney 1998; Johnston & Yap 1998; Wakaumi et al. 2000. Colton & Kraemer 1980; ASTEC 1986; de Bruyne 1990; Naujokas 1989; OECD 1989; Harrop 1990; Egner 1991; Troy 1993; Chu 1995; Smith, D. et al. 1996; O’Mahony et al. 1997; Essinger 1999; Crossfield 2001. Svigals 1987; Bright 1988; Chaum & Schaumuller-Bichl eds. 1989; 3

Introduction Auto-ID Technology

Biometrics

RF/ID Tags & Transponders

Significant Previous Research Hawkes et al. eds. 1990; McCrindle 1990; Cordonnier 1991; Devargas 1992; Bussin 1993; Zoreda & Oton 1994; Conolly 1995; Bowers 1996; Kaplan 1996; Wolfgang 1996; Hendry 1997; Rankl & Effing 1997; Allen & Barr eds. 1997; Hamann 1997; Lindley 1997; Elliot & Loebbecke 1998; Turban & McElroy 1998; Blythe & Holland, 1998; Dreifus & Monk 1998; Ferrari et al. 1998. Goldstein et al. 1971; Mammone & Murley (eds) 1994; Miller 1994; Bernier 1995; Carback 1995; CJIS 1995; Cross & Smith 1995; Cameron et al. 1996; Roethenbaugh 1996; Williams 1996; Fairhurst 1997; Wildes 1997; Jain, A. K. et al. 1997; Campbell 1997; Bigun et al (eds) 1997; Shu & Zhang 1998; Camus et al. 1998; Boves & Os 1998; Jain, A. K. et al. 1999; Gunnerson 1999; Swartz 1999; Jain, L. C. et al. (eds) 1999. Kitsz 1987; Evans 1988; Hewkin 1989; Ames ed. 1990; Styles 1990; Curtis 1992; Goedseels 1992; Shepherd 1992; Haendler & McDaniel 1993; Ollivier 1993; Wouters et al. 1993; Harmelink 1993; Geers 1994; Hind 1994; Wenter 1994; Gerdeman 1995; Brodsky 1995; Geers et al. 1997; Linton 1997; Finkenzeller 1999.

It should be noted that many of the references cited in Table 1.1 have been placed along-side specific auto-ID technologies though they contain information about more than one technology or application.

1.2.1.

Current Knowledge

Most books and papers published on the topic of auto-ID are either wholly focused on presenting technical aspects of a particular device or show how it is being applied commercially. Experts continue to publish new material on niche topics related to auto-ID devices but few offer a holistic approach to understanding the industry. Contributions are primarily aimed at making the wider community, including potential customers of auto-ID, aware of what technology options are available to them. The vast majority of refereed publications focus on only one technology. However, more recently a few contributions have appeared making reference to multiple auto-ID technologies. For instance, the current development receiving attention surrounds the storage of a biometric pattern onto a bar code or smart card. This indicates that auto-ID organisations, specialising in a given technique, are at least beginning to consider themselves as members of a larger system, that being the auto-ID industry. And as obvious as this may seem, that is precisely what is lacking today, the notion of an autoID technology system within which organisations and institutions innovate together dynamically. 1.2.2.

The Emergence of the Auto-ID Paradigm

It is surprising to note that from the hundreds of articles reviewed, that the term automatic identification has appeared in the titles of only a limited number of 4

Introduction

publications including: Moran (n.d.), Berge (1987), K. R. Sharp (1987), Schwind (1987), Gold (1988), Hewkin (1989), I. G. Smith (1990), Adams (1990), J. Cohen (1994), LaMoreaux (1998), O’Gorman & Pavlidis (1999), and Swartz (1999).2 This does not mean that the term is not popular for it is continually used in the main body of papers, irrespective of the type of technique being discussed. Rather what it may indicate is that the term auto-ID carries a loaded meaning when it is used in a paradigmatic fashion. Perhaps as a concept that has industry-wide applicability, admitting to the reality that numerous auto-ID solutions are co-existing and that there are common experiences that can be shared between stakeholders in the innovation process. Four works must be especially highlighted here in support of the emerging autoID paradigm described above.3 The first is Automatic Identification and Data Collection Systems, by Jonathan Cohen (1994). Its contribution to the field is its attempt to give a thorough industry-wide perspective, though it falls short of its aim in terms of its unbalanced focus on bar code technology. It also does not compare auto-ID technologies and dedicates little space in the form of predictions about the future of the industry. The second work is by Hewkin (1989), ‘Future Automatic Identification Technologies’; and the third by Swartz (1999), ‘The Growing “MAGIC” of Automatic Identification’. These works are both short articles centred on the need to understand auto-ID innovation. One will note a ten year interval between these publications. Neither goes into great depth but both offer insights worthy of research efforts yet to be fulfilled. There is an apparent need for research in auto-ID innovation and the characterisation and prediction of the auto-ID industry. It is in response to this pressing need that this thesis is making its new contribution to knowledge. Hewkin understands the auto-ID market well and emphasises the need for industry-wide communication flows between the different auto-ID players, independent of their major auto-ID product focus. Swartz, on the other hand, who has been able to witness the changes in the industry over the last decade, analyses the most prominent auto-ID technologies and describes the emerging auto-ID paradigm. His insights are very important in that they 2

Several of these works were republished in 1990 collectively in a book edited by Ron Ames titled, Perspectives on Radio Frequency Identification: what is it, where is it going, should I be involved?

5

Introduction

assist and garner support for some of the findings of this thesis. Finally I.G. Smith (1990) presents the AIM (automatic identification manufacturers) activity group in a brief article, stipulating that their focus is broader than just bar code, “[s]o the automatic identification industry has an almost unique global communication network… The members of AIM collectively cover all the established technologies as well as most of the emerging ones” (pp. 49, 52). In the small survey of organisations and their respective auto-ID product focus (p. 51), what is apparent is that AIM is promoting the idea of one auto-ID industry sharing in common resources. 1.2.3.

The Gap in the Literature

At the macro level there is a requirement for a well-researched, up-to-date work that traces the evolution of the auto-ID industry; a summation of the last forty years of change. This thesis offers an intricately interwoven discussion on the history, background, development and likely future directions of auto-ID. Currently researchers are offering fragmented perspectives on the auto-ID selection environment by focusing on a given technology and mostly neglecting the rest or at best mentioning them in passing.4 At the micro level the key issues that have affected auto-ID innovation and its ancillary extensions need to be explored. Demystifying the complex auto-ID innovation process is important as well and has not been adequately explored.5 Another gap in the literature is predicting the trajectory of auto-ID. This is perhaps where least work has been done in the field. The outcomes of a study such as this have far-reaching implications, both to practitioners and end-users, of a technical and philosophical nature. For example, how does one understand competition in the auto-ID industry? Are new EC application requirements driving the path of auto-ID? How will auto-ID technology be used in the future? What are some of the long-term impacts of the widespread introduction of auto-ID devices?

3

While these works point to the emergence of an auto-ID paradigm, it is not to be assumed that this was the conscious intent of each of the authors. 4 While different auto-ID communities, (those in bar code, those in smart card, those in biometrics etc.) are working towards developing their respective technologies separately, they may lack the broader awareness of the opportunities or threats that exist. 5 One of the only authors to have intentionally written (at any great depth) on the topic of innovation as related to any auto-ID technology is R. A. Lindley. Her book titled, Smart Card Innovation (1997), is the only work (to date) that looks at the complex innovation process of smart cards in its entirety. Other smaller works (Hewkin 1989; Ames 1990, ch. 6; Allen & Kutler 1997, pp. 19-20, Swartz 1999) contain sections or paragraphs on innovation but are not preoccupied by the theme itself. 6

Introduction

1.2.4.

The Auto-ID Trajectory

The fundamental question the thesis will seek to answer is what is the auto-ID trajectory? The question requires an interdisciplinary approach and is intended to allow for the characterisation of devices from their inception into the market to the present day, in a hope to predict future trends in the industry. In other words, what is the destiny of auto-ID and just how intertwined will it become to applications that everyone relies on? How far can the human-computer metaphor be taken, now that the prospects of chip implants for auto-ID have been confirmed? And what risks or benefits may this pose to humans and the general economy?6 How much further can engineers develop individual auto-ID technologies and how will these be affected by other breakthroughs in the IT sector. The nature of these questions implies a holistic methodology to understanding the auto-ID technology system- a novel approach seeking to discover new facts. 1.3.

Purpose

The purpose of this study is to establish the auto-ID paradigm. It is to convey to stakeholders that the dynamics within the technology system (TS) are paramount to the success of individual auto-ID devices.7 It is also important to determine how one autoID device should be considered within the wider auto-ID selection environment. In addition, forecasting the auto-ID trajectory is not only meant to assist technology and service providers but also to prepare end-users for potential change. The thesis is designed to also bring to the fore thought-provoking and challenging philosophical questions that are often neglected at the expense of other topics exclusively centred on technical breakthroughs. 1.3.1.

Aims and Objectives

There are six objectives that will assist in achieving the proposed aims (see diagram 1.1): 6 One has only to allude to the historical events in manual identification to consider the possible effects of a well-orchestrated siege on privacy by any world leader or government (see ch. 4). Even as early as 1943 observers realised the potential threats of computerised systems which could be operated for wrong ends by “…an unscrupulous government which sets to work to use that machinery for totalitarian purposes” (Clark, p. 9). Wicklein (1981, pp. 8, 191f) also wrote that “…[t]he biggest threat of a multifaceted, integrated communications system is that a single authority will win control of the whole system and its contents [and] operate it without adequate restraints”. 7 Although the underlying messages of this thesis can, to an extent, also be applied to other innovations in IT, such as personal digital assistants (PDAs) and other digital technologies. See Brodsky (1995).

7

Introduction

1.

To review the literature in the broad field of technological innovation (particularly IT studies) with a view to identifying the key elements shaping auto-ID innovation

2.

Using the outcomes of objective 1, develop a systems of innovation (SI) framework suitable for the analysis and forecasting of auto-ID technologies

3.

By applying the SI framework defined in objective 2, examine the dynamic innovation process of five auto-ID technologies

4.

Having characterised the most prominent auto-ID devices in objective 3, explore ten EC applications to consider the pervasiveness of auto-ID

5.

Examining the data collected in objectives 3 and 4, establish trends and patterns within the auto-ID selection environment

6.

Establish a paradigm for understanding innovation by evaluating the present state of the auto-ID industry and predicting future developments. Present the theoretical, philosophical, and practical implications of the auto-ID trajectory.

Diagram 1.1

Diagram Schematic of Objectives Relating to Chapters

8

Introduction

1.4.

Conceptual Framework and Methodology

1.4.1.

Systems of Innovation

Traditionally studies in innovation have followed one of two theories, the neoclassical or the more recent evolutionary. Neo-classical economic theory8 focuses on the production function as the major indicator of product/process innovation. On the other hand, the evolutionary theory9 of innovation is characterised by the concepts of reproduction, variety and selection (Andersen 1997, p. 175). It is considered by many that the former theory has depreciated as a tool for investigating modern product and process innovations. Among its primary limitations is that technological change is treated as an exogenous factor (Edquist 1997, p. 16). The more recent evolutionary theory of innovation has become more accepted in that it is an interdisciplinary approach

with

the

ability

to

bring

within

a

“...single

framework

the

institutional/organisational as well as cognitive/cultural aspects of social and economic change” (Carlsson & Stankiewicz 1995, p. 23). It is this framework that will be used to set system bounds of the thesis. Founded on the principles of evolutionary theory, is the systems of innovation (SI) approach. SI is a conceptual framework rather than an established theory in which most innovation investigations that have taken place in the 1990s have followed empirically. Researchers in Europe, Asia and North America have used this approach as will be shown in the literature review (ch. 2). This decade has witnessed national, regional, sectoral and technological systems investigations in innovation that have shifted from a product-focused view to a view that incorporates the whole process of innovation including the institution, organisation and market orientation. It is in this light that the research will be conducted, deviating from the norm only on the condition that a micro-level investigation focusing on the auto-ID industry alone will be conducted. While other schools of thought are presently emerging, particularly in the field of information technology methodologies and socio-technical theory, none offer such a complete interdisciplinary understanding of technological change. “The systems of innovation approach also allows for the inclusion not only of economic factors

8 9

See Schumpeter (1934). See Nelson and Winter (1982). 9

Introduction

influencing innovation but also of institutional, organisational, social and political factors” (Edquist 1997, p. 17). This will allow for the investigation of previously ignored material important to understanding auto-ID innovation. 1.4.2.

Case Studies

Due to the exploratory nature of this thesis, the most appropriate methodology to use is that of multiple case studies. As has already been mentioned, the five auto-ID technology case studies will include: bar codes, magnetic stripe cards, smart cards, biometrics, radio-frequency identification (RF/ID) tags and transponders. However, these case studies refer to a technology alone and not to a product or process (Keenan et al. 1997, p. 21) that is in direct conflict with the SI approach. For this reason embedded cases on each technology have been chosen. Table 1.2 shows the vertical applications matched to auto-ID technologies that have been chosen to illustrate the industry’s selection environment. Table 1.2 Multiple Embedded Case Studies Auto-ID Technology Focus Bar Codes Magnetic Stripe Cards Smart Cards Biometrics RF/ID Tags & Transponders

Vertical Applications/Innovations Retail, Education Financial Services, Transportation Telecommunications, Health Care Government Services, Entertainment Animal Tracking & Monitoring, Human Security & Monitoring

The embedded case studies approach has been adopted to give the reader an understanding of how auto-ID technologies have been diffused in a wide spectrum of critical applications. Multiple case studies as opposed to a single case study methodology should add value to the general conclusions of this thesis by identifying a broader range of factors affecting the innovation of auto-ID technologies.10 The reader should expect a narrative style of presentation offering a diverse range of perspectives. 1.4.3.

Underlying Assumptions

The underlying assumptions of the research work can be found in table 1.3 on the following page. The study has been undertaken with these implicit assumptions.

10 It is possible however, that findings may conclude otherwise- that the innovation of auto-ID technologies are influenced by similar factors.

10

Introduction

Table 1.3 Underlying Assumptions of the Research Assumptions The study will be qualitative as it is exploring and examining auto-ID innovation. Given the importance of history in the study a descriptive style of writing will be used. Innovation is an ongoing process that is influenced by stakeholders and internal and external factors. In the literature review, only innovation thought after the Industrial Revolution will be considered, and those studies pertaining to automation will be used more than others. 5. The systems of innovation (SI) framework is a valid interdisciplinary approach to adopt for this study as it has its foundation in the established evolutionary economic theory. 6. The researcher has the ability to include whichever factors from the SI framework that she deems relevant to the study. Some factors may be relevant to one case and irrelevant to another. 7. Greater emphasis will be given to the perspective of the auto-ID firm than the other stakeholders since a technological trajectory is closely linked to the product development path taken by a firm. 8. There are five core auto-ID technologies. These are bar code, magnetic-stripe card, smart card, biometrics, RF/ID tags and transponders. 9. The most prominent global EC applications are those in the vertical market segments of retail, education, financial services, transportation, telecommunications, health care, government services, entertainment, tracking and monitoring of humans and animals. 10. Auto-ID research will become increasingly important as the global population continues to grow and logistics become more of an issue for governments throughout the world. 11. Future trends can be predicted by reviewing past and present events that have taken place in the autoID industry over the last forty years. 1. 2. 3. 4.

1.4.4.

Outline

Finally the structure of the thesis has been aligned to satisfy the objectives stated in section 1.3.1. Chapter two will review innovation thought since the period after the Industrial Revolution to understand the established theories and frameworks introduced in the literature over time. An appropriate theory, framework, and method of investigation need to be chosen after critically observing the strengths and weaknesses of each major work reviewed. Similarly, landmark auto-ID studies will be identified so that specific progress to auto-ID can be presented, highlighting the gap in research. Chapter three presents the research methodology. The overall investigation plan is defined along with the mechanisms to be used to gather data. Chapter four will set the historical background for auto-ID. It is important insofar as identifying how manual and auto-ID devices have been used over the centuries, and to challenge the reader to consider how auto-ID is likely to be used in the future. Chapter five examines and characterises prominent auto-ID devices using case studies and chapter six presents how these devices were developed and the dimensions of innovation relevant to each. Chapter seven illustrates the widespread diffusion of auto-ID by using ten EC applications. The intent here is to show the selection environment and versatility of auto-ID techniques. It is also relevant to examine auto-ID within an application context and to understand just how important auto-ID has become in day-to-day operations. Chapter eight predicts the auto-ID trajectory and the trends and patterns which show the 11

Introduction

future direction of the technology. Other converging media are described here as well, to indicate how new recombinations may be developed to create even more powerful devices to identify living or non-living things. The paradigm shift from technology that people carry, to technology that people wear and bear, is also explained therein. Chapter nine presents the findings of the study, as well as a summation of the past, present and potential impacts of auto-ID. Finally, chapter ten brings the study to a close by conveying the overall conclusions. These conclusions are equally relevant to the stakeholders in the wider information technology (IT) community.

12

2.

Literature Review

The primary purpose of the literature review is to establish what relevant research has already been conducted in the field of auto-ID innovation. It is through this review of the broader research topic that a specific proposal can be accurately formulated. First, a critical response to the literature on technological innovation is required. Second, a thorough evaluation of research on auto-ID technologies is necessary. Third, an attempt to locate works that deal with both innovation and auto-ID will be made. If these works are scant, then the question of whether this warrants a sufficient gap for further research will be posed. Can this thesis act to fill the void in the literature by offering a first attempt at understanding the innovation of technologies in the auto-ID industry? Can a new contribution to knowledge be made specific to the notion of the auto-ID trajectory? Finally, some space will be dedicated to reviewing literature that is focused on technological forecasts in IT with a view to adopting an acceptable narrative style with which to make predictions regarding future auto-ID trends and possibilities. In this manner, the chapter seeks to satisfy objective one identified in the Introduction (section 1.3.1). The literature review will also serve to: 1. identify and understand widely accepted definitions, concepts and terms, born from past innovation research as a guide for further research; 2. review theories, theoretical frameworks and methods adopted by other researchers doing similar innovation studies (preferably in the area of information technology) in order to choose an appropriate approach for this thesis; and 3. understand what aspects of auto-ID technology have already been explored by researchers and what aspects have been neglected and to discover any similarities or differences in existing findings. Previous research will be examined in this chapter using a two-tiered approach; topical at the surface layer and chronologically organised therein. This type of analytical strategy is advantageous because similar patterns, trends, or findings can be uncovered and organised into clusters over time. First, innovation studies will be reviewed,

13

Literature Review

followed by auto-ID studies and finally advanced technology forecasts.1 Diagram 2.1 shows how the literature will be dissected for review. Neo-classical economic theory

Innovation Technology and Social Process

Evolutionary theory

Auto-ID Technology

Rise of the technoeconomic paradigm

THE GAP IN RESEARCH

Technological Forecasts National Systems of Innovation

Systems of Innovation Framework Sectoral innovation studies

RF/ID tags & transponder studies

THESIS Chip implant studies

Auto-ID collective studies The Internet Explosion E-commerce The notion of a Biometrics studies cashless society Potential Applications/ Services Exposed Automation Manual

1900

Smart card studies

Bar code, Magnetic-stripe

1970

1980

Diagram 2.1

1990

1992

1994

1996

1998

2000

Organisation of the Literature Review

Each study will be categorised according to the theory and research method used by the author(s). Additionally, findings of each study will be briefly highlighted for comparison.2 Landmark studies will be treated at a greater length than minor studies and can be found in sections 2.3.1, 2.4.1, 2.5.2, 2.6.7. The same emphasis will be attached to reporting accurate summaries, and responding critically to previous research. Overall, greater consideration will be given to reviewing contemporary innovation literature, as opposed to outdated research that was never conducted with the knowledge of information technologies.

1

The number of innovation studies being conducted, rose after the seventeenth century, while a number of countries in Europe were slowly adapting to mechanisation for the purposes of industrial expansion. Studies on innovation became especially prominent when a group of dramatic changes happened, known as the period of the Industrial Revolution between the mid eighteenth century and World War I (Britannica 1972, Vol. 6, p. 229). See also Mumford (1934, ch. 5), ‘The Neotechnic Phase’ and appendix on inventions after the eighteenth century (pp. 441-446). 2 From this, it may be concluded whether some results are contingent upon the type of theory or method used by the researcher. 14

Literature Review

2.1.

Fundamental Definitions in the Innovation Process 2.1.1. Invention, Innovation and Diffusion

This section will be dedicated to defining the fundamental links between invention, innovation and diffusion as it applies to this thesis.3 Sahal (1981, p. 41) makes the distinction that an invention is the creation of a “new device” and an innovation is the “commercial application” of that device. Similarly Braun (1984, p. 39) argues that “...an invention is merely an idea for a prototype of a new product or process and does not become an innovation until it reaches the market [diffusion].4 Most inventions never become innovations, they fall by the wayside on the long road from idea to marketable product.”5 2.1.1.1. Invention: Mutation, Recombination, Hybrid As suggested by Jacob Schmookler, a patentable invention is a new product or process that shows a significant degree of originality and has some future use (1966, p. 6). A question often asked is, do all inventions fall into the same category? The answer according to Farrell (1993) and Mokyr (1996) is no: inventions may differ depending on how their formation came about. Table 2.1 shows that invention can be classified into three types, mutation, recombination, and hybrid (Mokyr 1996, p. 69). Without reference to Farrell or Mokyr, Edquist (1997, p. 1) states, “[i]nnovations are new creations of economic significance... [that] may be brand new but are more often new combinations of existing elements.” Table 2.1 Types of Inventions Type of Invention Description Mutation “Of course, mutations are variations on existing material. Most of the genetic material in every mutant is not new...” Recombination “Because technological recombination is multiparental, the opportunities for innovation through novel combinations of existing knowledge are a function of the complexity and diversity of the economy.” Hybrid “The difference between a hybrid and a recombinant invention is that a hybrid is a combination of two (or more) artefacts, rather than the information embedded in them... In most cases, hybrid inventions require complementary types of invention that are necessary if the pieces are to work together and the new device is to be made operational.” The definitions for the different types of inventions have been taken from Mokyr (1996, pp. 70-73).

3

The three terms invention, innovation and diffusion are different, however, as Lindley (1997, p. 19) observes, the terms are also closely allied. 4 For an excellent introduction into the diffusion of innovations see Rogers (1995). 5 See Westrum (1991, p. 150). 15

Literature Review

2.1.1.2. Innovation: Radical versus Incremental Generally, an innovation can be described as “...a process or a product, a technical or an organisational change, an incremental improvement or a radical breakthrough” (Deideren 1990, p. 123 quoted in Lindley 1997, p. 20). Since the 1900s the term innovation has undergone many revisions with the emergence of new theories in the field of economics. Schumpeter’s (1939, p. 87f) well-known definition of innovation is directly linked to neoclassical economic theory by means of the production function:6 ...we will simply define innovation as the setting up of a new production function. This covers the case of a new commodity as well as those of a new form of organisation... this function describes the way in which quantity of product varies if quantities of factors vary. If, instead of quantities of factors, we vary the form of the function, we have an innovation... we may express the same thing by saying that innovation combines factors in a new way, or that it consists in carrying out New Combinations.

As Saviotti (1997, p. 184) comments, for Schumpeter new combinations gave rise to new products and processes that were qualitatively different from those preceding them. However, while the phrase ‘new combinations’ is still widely used today within the evolutionary theory of economics by researchers such as Lundvall (1992, p. 8) and Elam (1992, p. 3), innovation is no longer attributed to the setting up of a new production function. Rather, innovation is a natural process of ‘technical progress,’ a technology-specific process of ‘learning by experience’.7 Nelson and Rosenberg (1993, pp. 4f) interpret innovation broadly, adding an optional geographic context:8 ...to encompass the processes by which firms master and get into practice product designs and manufacturing processes that are new to them, whether or not they are new to the universe, or even to the nation.

In selecting a preferred definition of innovation for this thesis, the more contemporary and balanced definition given by Edquist (1997, p. 16) is appropriate: “[t]echnological innovation is a matter of producing new knowledge or combining existing knowledge in 6

“The production function indicates the maximum amount of product that can be obtained from any specific combination of inputs, given the current state of knowledge. That is, it shows the largest quantity of goods that any particular collection of inputs is capable of producing” (Baumol et al. 1992, pp. 507510). 7 See also Sahal (1981, p. 37). 8 There is some value in this geographic perspective either at the local, regional, or national level. In National Innovation Systems, Nelson and Rosenberg (1993, p. 3) state that “[t]here is a new spirit of what might be called “technonationalism” in the air, combining a strong belief that the technological

16

Literature Review

new ways- and of transforming this into economically significant products and processes.” It is often important to classify the impact of a product or process innovation in a way that can be useful for comparing one or more technologies. Admittedly this is very difficult, since the extent of an innovation is dependent upon the perspective taken by the researcher. However, using Braun’s terse definitions (see table 2.2) one can distinguish one type of innovation from the other. Similarly Landau (1982, p. 54) believes that there are “...fundamentally two kinds of innovation: 1. The ‘breakthrough’; 2. The ‘improvement’.” Table 2.2 Types of Innovations Type of Innovation Radical Incremental

Description “[a] cluster of related innovations which together form a technology which differs considerably from previous technologies...” “[o]ne which offers a relatively small technical improvement without changing the nature of the technology.”

The definitions for the two types of innovations have been taken from Braun (1984, p. 42).

2.1.2. The Innovation Process: Product versus Process Throughout innovation literature there is some confusion over the terms innovation process, product innovation and process innovation. First, the innovation process can refer to either products or processes. It is the stages or phases involved with getting an idea for an invention to a ‘finished product’ or ‘finished process’ to operation. Braun (1995, p. 61f) outlines these phases as: the idea or invention; development of the product; prototype; production; and marketing and diffusion (see exhibit 2.1 on the following page).

An example of a product innovation is the

semiconductor microchip. An example of a process innovation is the automated assembly line, set up at an automobile manufacturing plant. However, it is not always clear whether a given innovation should be categorised as either a product or process.9 Irrespective, today it is more relevant to be concerned with the actual system of innovation. Now that the relationship between invention, innovation and diffusion has been presented it is necessary to allocate space to the actual innovation studies capabilities of a nation’s firms are a key source of their competitive prowess, with a belief that these capabilities are in a sense national, and can be built by national action.”

17

Literature Review

themselves. By reviewing the various types of conceptual frameworks and methodologies applied by other researchers, an appropriate approach can be chosen for this thesis. This will assist in meeting objective two (see section 1.3.1). Significant findings in the way of emergent patterns or events in the innovation process will also be highlighted and explained. Please see print copy for Exhibit 2.1

Exhibit 2.1 The Innovation Process of the Smart Card

2.2.

Setting the Stage- Karl Marx on Technology

In his classic work Capital, Karl Marx10 (1818-1883) writes about the importance of products in the labour process. He stated that the result of this process was “...a use-value, a piece of natural material adapted to human needs by means of a change in its form...” (Marx 1976, p. 287). Products were “...not only the results of labour, but also its essential conditions.” For instance, a finished product could assist in the innovation process of another new product. In this manner technological change was the force behind process changes within existing institutions or the force behind the establishment of new institutions. It seemed obvious to Marx that for economic growth to be achieved product and process innovations were required. In commenting on the capitalist system he wrote that: ...the capitalist has two objectives: in the first place, he wants to produce a usevalue which has exchange-value, i.e. an article destined to be sold, a commodity; and secondly he wants to produce a commodity greater in value than the sum of the values of the commodities used to produce it, namely the means of production and the labour-power he purchased with his good money on the open market. His aim is to produce not only a use-value, but a commodity; not only use-value, but value; and not just value, but also surplusvalue (Marx 1976, p. 293).

Marx’s long-lasting contribution was recognising that product and process innovations had a social impact. Technology could be used to oppress a class or to empower an

9

This is the case especially in the IT sector (Edquist et al. 1998, p. 12). Some innovations can be classified as either product or process, dependent on how they are used. 10 Marx was a philosopher, sociologist and economist considered by many to be one of the most influential persons of all time. One of his most famous works is The Communist Manifesto which he coauthored with Friederich Engels. See Westrum (1991, ch. 2) on ‘Marx’s Theory of Technology’. 18

Literature Review 11

individual. Accompanied by Friedrich Engels (1825-1895), Marx conducted historical research on process innovations in England. He used original factory documents to draw conclusions on the life of a worker who was driven by the capitalist to create surplus value. Modern interpretations of Marx’s ideology have sought to reassess parts of his labour theory of value as a means to reveal its limitations.12 2.3.

Neoclassical Economic Theory (1870 - 1960)

As defined by Cohendet and Llerena (1997, p. 226) neoclassical economics “...examines the way through which market mechanisms select new technologies and eliminate those that have become obsolete.”13 One shortcoming of studies using neoclassical economic theory is that they focus primarily on business process innovations. Neoclassical studies are concerned with the manner in which technological innovations can enhance the productivity of a firm and decrease employment per unit of output (Edquist 1997, p. 22). A fundamental weakness of neoclassical economic theory is that “[e]xchange takes place without any specification of its institutional setting. Only prices and volumes matter” (Edquist & Johnson 1997, p. 48). 2.3.1. Joseph Alois Schumpeter In the year that Marx died Schumpeter14 was born (1883-1950). While he was to eventually share many of Marx’s beliefs,15 particularly in the self-destruction of capitalism, he focused his efforts on the statistical analysis of the capitalist process. What he is best remembered for perhaps are his studies on the production function and his book titled Theory of Economic Development (1934). Schumpeter was a neoclassical economist who attributed higher amounts of capital per worker to technological change, which resulted in more for the profit receivers. Throughout his professional career, he

11

This is an important observation that Marx has made about the power of technology. When considering auto-ID today this question is still relevant. In the Introduction, the growing dependence of humans on auto-ID devices was highlighted for this very reason. In discussing the evolution of digital technologies, Covell (2000, p. 5) notes a fundamental shift in the nature of the evolution. “The difference is that digital technology is now being applied to enhance and extend human interaction.” 12 See Habermas (1981, p. 159). 13 This approach cannot assist in the exploration of the auto-ID selection environment. It is too limiting in its analysis, using the market mechanism as its fundamental guide. 14 Schumpeter was an exceptional economist and sociologist who influenced economic theory via his many publications. He is most known for his book Capitalism, Socialism and Democracy. 15 Commentators are divided when classifying Marx’s contributions into an economic theory. Nevertheless, he has been placed alongside Schumpeter because of his writings on the labour process. 19

Literature Review

was preoccupied with innovation as the main agent for entrepreneurial profit. Like Marx he too focussed on business process innovations. The production function that Schumpeter wrote about “...expresses the relationship between various technically feasible combinations of inputs, or factors of production, and output... it is a specification of all conceivable modes of production in the light of the existing technical knowledge about input-output relationships” (Sahal 1981, p. 16). However, discontent with the production function has led many economists to abandon the neoclassical approach. This thesis also, does not lend itself to this type of rigid analysis as the questions it asks are more exploratory than computational. Neoclassical economic theory allows only for purely economic factors to be considered, neglecting other significant aspects of innovation. 2.4.

Evolutionary Economic Theory (1980 - 1990)

Evolutionary economic theory has not achieved the degree of articulation corresponding to neoclassical economic theory (Saviotti 1997, p. 181). For one simple reason, it is more recent. It is an alternative to understanding technical change as something other than an attempt to maximise profits (Nelson & Winter 1982). Unlike neoclassical economics, evolutionary theory is suited to both process and product innovations. It is also more contemporary, developed with an understanding of modern technological innovations. It has been applied to product innovations, such as semiconductors and satellites in the high-technology (high-tech) industry and is more suited to the investigation of auto-ID technologies. Numerous recent theoretical and empirical studies performed, have been conducted with the notion that technical change is an evolutionary process. One of these landmark studies will be critically analysed in section 2.4.1. Devendra Sahal in his book Patterns of Technological Innovation (1981, p. 64) commented that evolution was not just a matter of ‘chop and change’; it related to the “...very structure and function of the object.” He stated that innovation was “...inherently a continuous process that [did] not easily lend itself to description in terms of discrete events” (1981, p. 23). Sahal is best remembered for his quantitative diffusion analytical strategies. While he made excellent evolutionary theoretical discoveries his methodology differs from contemporary researchers in innovation. In that same year 20

Literature Review

Richard Nelson also suggested that due to the randomness and the time-consuming nature of innovation processes, evolutionary models of technological change were more realistic in understanding innovations than the models provided by neoclassical economics (Nelson 1981, 1059f). Perhaps one of the most significant publications, as suggested by Saviotti (1997, p. 181) was Nelson and Winter’s, An Evolutionary Theory of Economic Change (1982). It was not until this time, that a researcher had concretely stipulated that “technical change [was] clearly an evolutionary process” (Nelson 1987, p. 16). While many innovation studies had challenged neoclassical economic assumptions during the 1970s, none had been so game as to suggest that evolutionary economic theory was more appropriate. At the time, Nelson (1987, p. 16) believed that the innovation generator kept making technologies superior to those in earlier existence. However, as later clarified by Charles Edquist (1997, p. 6) “...only superior in a relative sense, not optimal in an absolute sense.” Edquist affirms that “...technological change is an open-ended and path-dependent process where no optimal solution to a technical problem can be identified” (Edquist 1997, p. 6).16 This idea is quite different and challenging.17 Brought together with recent observations by Jerome Swartz18 (1999) it presents a whole new approach to understanding auto-ID technologies. He writes (p. 21): [n]ot long ago, I recall the heated debates about which technology was bestwhich would bring the most benefits, prove the most reliable or the cheapest. The implied question was, “Which will emerge as the real winner at the end of the day?” I believe that “competitive” framework asked all the wrong questions and clouded a better understanding of how the technologies could exist side-by-side.

16 This perspective is embraced throughout this thesis. It has very important implications as it shapes the context in which auto-ID is to be understood. Rather than concentrating on the progression from one autoID technology to the next in terms of ‘superiority’, the question is more about the actual path taken to develop, by firms, government and consumers. Who drives this path and the dynamic interaction between the stakeholders then becomes of interest. 17 In contrast see Darwin’s (1960, p. 53) writings (ch. 4) on ‘Natural Selection; or the Survival of the Fittest’. His fundamental argument is “...[t]hat as new species in the course of time are formed through natural selection, others will become rarer and rarer, and finally extinct. The forms which stand in closest competition with those undergoing modification and improvement will naturally suffer most.” Refer also to the sections in ch. 4 on “divergence of character” (p. 53) and “convergence of character” (p. 62). When this Darwinist approach is applied to economic affairs, Allaby (1996, pp. 130-132) calls it “social Darwinism”. He believes that this theory is deeply flawed. “Its first error lies in its equation of evolution with progress, the idea that later forms are better than earlier ones. This is a value judgement, for what do we mean by ‘better’? If we mean ‘better at surviving’ we are being tautologous.”

21

Literature Review

These most insightful observations serve as a calling for further research to be conducted in the field of auto-ID innovation using evolutionary economic theory. 2.4.1. Typical Research Style A landmark study becomes obvious to the researcher who has read a plethora of literature in the field he or she is studying. Margaret Sharp’s, Europe and the New Technologies: Six Case Studies in Innovation & Adjustment (1985), is one of these landmark studies. She later follows up with Strategies for New Technologies: Case Studies from France and Britain (1989) that is equally impressive. Space will be dedicated to the former because it was without a doubt a paragon for future research in the field. Sharp uses evolutionary theory and a case study methodology to examine six new technologies in Europe. The methodology chosen for this study is advantageous in that it gives Sharp and her fellow contributors the flexibility to explore the many diverse issues surrounding the central thesis. New industrial activities are examined rather than individual industries or sectors. The research which was focussed on computer-aided design (CAD), advanced machine tools and robotics, telecommunications, videotext, biotechnology and offshore supplies was very successful,19 and finally conclusions were drawn from recurring themes identified in the case studies. In summary, Sharp (1985, p. 271) concludes that: [t]he process of change is evolutionary- new industrial activities emerge from the body of old industrial activities, the decisions are incremental as firms adjust their product/process mix to opportunities which present themselves, and, as this happens, so firms progressively redefine the nature and boundaries of the industry itself.

More precisely, Sharp believes that the concept, technological trajectory, is useful in the context of her case studies. Her discovery is very significant and is quoted in full below. A new technology very often, and certainly, in the cases we have been studying, is subject to continuous improvement over a number of years. Firms which develop the capability to make these continuous improvements, that is to move along the trajectory, are often the most successful. As well as continuities, there are discontinuities. Major new technical or marketing innovations present such discontinuities. A discontinuity halts progress along

18

Dr Jerome Swartz is the founder and CEO of Symbol Technologies. A veteran in the auto-ID industry with 20 years experience, he has first-hand knowledge of the past and present trends. 19 This is a landmark study also in its investigation of complex technologies. Considering that the desktop computer was launched in 1984 (and the research was conducted and published by 1985), dealing with topics like CAD, videotext and the like is quite impressive in itself. In analysing individual auto-ID devices and applications, it is hoped that the same level of granularity can be achieved as in Sharp’s studies. 22

Literature Review the existing trajectory but simultaneously opens up a new one. In assimilating major technological change, a firm in effect changes gear and shifts to a new trajectory. In this sense, the discontinuity may be regarded as a revolution. Whereas evolution, development along the trajectory, is an everyday occurrence, revolutions are quite rare (Sharp 1985, p. 272).

Sharp’s study is an excellent model for this thesis. It shows how a research project such as the one that this researcher is undertaking, is likely to lead to some valuable results. And results, that are applicable to more than just that group of technologies (in this case auto-ID) being investigated. The key terms that Sharp uses, evolutionary, continuous improvement, discontinuity, technological change, technological trajectory, will be used throughout the main body of this thesis.20 They are particularly relevant to objectives three, four and five stated in section 1.3.1. 2.4.2. Fundamental Concepts As identified by Carlsson and Stankiewicz (1995, p. 23) the major strength of the evolutionary approach is its “...ability to bring within a single framework the institutional/organisational as well as cognitive/cultural aspects of social and economic change”. This corresponds with the second objective of this thesis, in that many issues, not just economic will be analysed to identify the factors influencing auto-ID innovation. The key terms used in this framework are highlighted below in table 2.3. Table 2.3 Important Terms and Concepts Term Technological Guidepost Selection Environment Creative Symbiosis Path Dependency Technological Trajectories Technology

Description - Basic design of a technology acts as a guidepost charting the course of future innovations - The choice between a number of other innovations in the same firm/industry - Acts to influence the path of innovation and the rate of diffusion - Feedback to influence the direction of R&D programs that firms invest in - The case where two or more technologies combine in an integrative fashion - The overall system is simplified - A map of the impact of auto-ID technology - What are the long-range effects of the technology - A pattern of innovation - Continuous improvement of products in terms of performance and reliability - Predicting the development of the technology and assessing its potential for adoption

20 Friedman (1994), like Sharp (1982) applies evolutionary concepts to his study on the IT field. Of particular interest is his emphasis on the technological trajectory of IT which he breaks down into four phases of historical change: 1) hardware capacity constraints, 2) software productivity constraints, 3) user relations constraints, and 4) the future. Friedman also makes the useful distinction between a technology field and technological paradigm. “First, the focus of the technology field is on people, institutions, and organisations. The focus of the technological paradigm is on designs or patterns of solutions. The technology field encourages a much wider set of people to be analysed. The technological paradigm contains practitioners working in organisations supplying the technology, and possibly scientists and technologists working in associated research institutes and universities (Clark, 1987).”

23

Literature Review Term Forecasting

Description

Terms sourced from Sahal (1981), Dosi (1982), von Hippel (1988), and Westrum (1991).

2.4.2.1. Technological Trajectories The term technological trajectories,21 also known as natural trajectories, can be attributed to Dosi (1982) as being a pattern of innovation.22 While there have been several definitions given for this term, in the context of this thesis von Hippel’s interpretation (1988) is appropriate: [t]echnological trajectories consist in the continuous improvements of products in terms of performance and reliability and in the tailoring of products to specific users’ needs, within specific application contexts.

What should be highlighted here is the focus on products and their continuous improvements, tailored to specific users’ needs for specific applications. Each firm follows a technological trajectory in search of improvements to their existing products (Breschi & Malerba 1997, p. 146f). In this manner a firm’s technological understanding is enhanced and one dominant design can emerge. Each firm pursues “...a single technical option and, over time, become[s] increasingly committed to a single technological trajectory” (Saxenian 1994, p. 112). The case study that Saxenian examines is the regional economy of Silicon Valley. In this instance, learning and technological change are cumulative in nature.23 Firms secure their knowledge base and then attempt to build upon it seeking new opportunities. In contrast the emerging autoID industry has a knowledge base that is still in its early development and the future impact of auto-ID product innovations is still very much speculative. Thus the need has arisen to look ahead and propose a map or attempt to understand the path dependency of

21

Hirooka (1998) makes the distinction between the technological trajectory of a product and its diffusion trajectory. The paper focuses on three cases of innovation paradigm, synthetic dyestuffs, electronics and biotechnology. Through these examples Hirooka provides evidence that the technological trajectory of an innovation spans about 20-30 years upon which point it joins the diffusion period. See also Banbury (1997, pp. 14-15). 22 For a thorough explanation of the term technological trajectory see Durand (1991). He makes the important link between the terms technological trajectory and technological forecasting which is extremely important to this thesis. In quoting Dosi (1982), Durand makes the distinction between continuous changes along the same paradigm versus discontinuities which are associated with a new emerging paradigm. 23 Banbury (1997, p. 13) writes “[t]he concept of a technological paradigm enables us to delineate the boundaries of technological change cycles (paradigms) and to delineate the direction of change (trajectories)”. 24

Literature Review

these technologies. Foresight is necessary because it also allows us to see the potential long-range effects of technical change (Westrum 1991, p. 344).24 2.4.2.2. Selection Environment and Other Terms Having revealed the importance of technological trajectories, it is now appropriate to understand the concept of selection environment. As the term suggests it is the process that involves the interaction between the product and its environment. Lindley (1997, p. 25) phrases it well when she states that: [t]he selection environment acts to influence the path of innovation and the rate of diffusion generated by any given innovation, and at the same time generate feedback to strongly influence the direction and type of R&D programs that firms might invest in.

Sahal can be credited with the popularisation of the term technological guidepost. He stated that the basic design of a technological innovation acts as a guidepost charting the course of future innovation activity. To prove this he used an arbitrary example, highlighting that one or two early models of a product or process usually stand out above all the others in the history of an industry and their design becomes the foundation for the evolution of many innovations. “In consequence, they leave a distinct mark on a whole series of observed advances in technology” (Sahal 1981, p. 33).25 This led Sahal to the principle of creative symbiosis, the case where “...two or more technologies combine in an integrative fashion such that the outline of the overall system is greatly simplified... when it [happens], totally new possibilities for further evolution present themselves” (Sahal 1981, p. 75). This phenomenon has occurred in the auto-ID industry and will be discussed in the main body of the thesis. 2.5.

The Emergence of the Systems of Innovation Approach (1990 - )

The systems of innovation (SI) approach26 is a conceptual framework that can be used to study technological innovations.27 The approach, admittedly not an established 24 The question of why it is important to forecast and what is to be gained by it, is very important to this thesis. This researcher believes that forecasting is essential, even if the predictions arrived at may not eventuate or even if some unexpected events happen that were not anticipated. It is better to make some logical predictions based on the evidence one has and be prepared for what lies ahead, than to find oneself completely unprepared. In this sense, forecasting is also linked to planning (see Mintzberg 1981, 1994). 25 See Anderson and Tushman (1990). 26 See Systems of Innovation: Technologies, Institutions and Organisations, edited by Edquist (1997) and Systems of Innovation: Growth, Competitiveness and Employment, edited by Edquist and McKelvey (2000).

25

Literature Review 28

theory, has been gaining prominence in the last decade.

SI defines innovation as an

evolutionary process, not as a process for achieving optimality.29 SI is described well in the ‘Innovation Systems and European Integration Policy Statement’ (Edquist et al. 1998, p. 3f): The Systems of Innovation (SI) approach for understanding innovations in the economy stresses that firms do not normally innovate in isolation but in interaction with other organisational actors (other firms, universities, standard setting organisations, etc.) within the framework of existing institutional rules (laws, norms, technical standards, etc.). Institutions are not organisations. Rather, they constitute the rules of the game or framework conditions for interaction. In contrast, organisations are the entities (actors) that interact. From this perspective, innovation is a matter of interactive learning.

The origin of this approach is well documented as proceeding from theories of interactive learning and evolutionary theories of technical change. Among researchers like Carlsson and Stankiewicz, Nelson and Rosenberg, as well as Lundvall and his colleagues, there is support for this approach stemming from its close affinity with the evolutionary theory (Edquist 1997, p. 7).30 The “system” that Sahal once referred to has been defined in the SI approach (Edquist 1997, p. 14f): One way of specifying ‘system’ is to include in it all important economic, social, political, organisational, institutional, and other factors that influence the development, diffusion, and use of innovations. Potentially important determinants cannot be excluded a priori if we are to be able to understand and explain innovation. Provided that the innovation concept has been specified, the crucial issue then becomes one of identifying all those important factors. This could- in principle- be done by identifying the determinants of (a certain group of) innovations. If, in this way, innovations could be causally explained, the explanatory factors would define the limits of the system. The problem of specifying the extent of the system studied would be solved- in principle.

27

See especially the Department of Technology and Social Change web site http://www.tema.liu.se/temat/sirp/index.htm (1999) at Linköping University, TEMA, in Sweden. 28 For a comparison of other contemporary frameworks and approaches used to study innovation, see chapter three in Williams (2000). Here Russell and Williams make some excellent observations on how frameworks for investigating innovation studies are being used by researchers. In comparing the social shaping of technology (SST) framework with evolutionary economic theory the authors denote: “[i]n many respects the boundary… has become less clear: their preoccupations overlap strongly and their findings are often consistent.” See also MacKenzie and Wajcman (1999), Pool (1997), Fox (1996), MacKenzie (1996), Bijker (1995), Bijker and Law (1992), Molina (1989) and Elliot (1988). 29 Edquist et al. (1998, p. 21) explain that “the notion of optimality is absent from the SI approach. The notion of optimality stems from static equilibria and therefore is not applicable to processes of technological change… [this] is a major contribution of evolutionary theory, which the SI approach has adopted.” 30 Well-known proponents of SI in Europe include Charles Edquist, Maureen McKelvey, Leif Hommen, Bjorn Johnson, Franco Malerba, Keith Smith, Tarmo Lemola, Lena Tsipouri, Thomas Reiss, and Pier Paolo Saviotti. 26

Literature Review

Using these definitions it becomes a simpler task to understand auto-ID innovation. These factors could be causally explained, limiting the scope of the actual system and thus presenting a conceptual framework within which to perform the research. This would satisfy objective two discussed in section 1.3.1. 2.5.1. The Value of the SI Approach The attractiveness of the SI framework is that it is a “holistic and interdisciplinary” approach which “encompasses all or most determinants of innovation” (Edquist et al. 1998, p. 20). Fundamental to its doctrine is that “history matters” since innovation processes take time to evolve.31 By understanding the past one is better equipped for the current and future patterns of innovation.32 In a paper titled ‘Unfaithful offspring? Technologies and their trajectories’, S. Hong (1998, p. 262) challenges the notion that a technology’s trajectory is autonomous or its development unpredictable and uncontrollable.33 He concurs with an underlying philosophy of SI; that it is rather an “imperfect historical understanding of a technology [that] largely contributes to the idea that the technological trajectory is uncertain, and, therefore, autonomous.” In examining the high tech industry in Sweden, McKelvey et al. (1998) traced the historical changes that occurred in the Swedish mobile telecommunication system from the 1970s till the 1990s to attain a better understanding of the industry dynamics. In like manner this thesis will explore auto-ID innovation.34 The SI approach successfully brings together the conventional teachings of various experts in the innovation field from all over the world. It has not only been 31 Of particular interest may be Queisser’s (1985) historical account of The Conquest of the Microchip. In the Foreword of this book, Robert Noyce (p. viii) writes regarding the microchip: “[t]hose of us who have been involved in the development of this technology recognise that the terms technological revolution and breakthroughs are used to attract public attention to the progress being made, in reality progress is almost seamless, with pieces of the puzzle continually being put in place until a coherent picture emerges.” Noyce is suggesting that the microchip revolution happened through evolutionary steps, i.e. the notion of revolution through evolution. These two words are often used at different levels by technologists in auto-ID. One expert may refer to the smart card revolution and another may refer to the evolution of card technology from magnetic-stripe to smart card. What this actually shows is congruence with Noyce’s argument. 32 This approach is also used by some futurists like Adrian Berry. He writes “[s]o that my subsequent chapters will be intelligible, I must explain what has been happening in the past five hundred years and how it relates to the present” (Berry 1996, p. 19). 33 Hong (1998) chooses to examine three technologies including the Triode, the numerically controlled (NC) machine tool and the Internet.

27

Literature Review

adopted by the Europeans but also by researchers in Asia and North America. To understand its origin one must first look at the many case studies that have been conducted using a systems view of evolutionary theory. The term ‘national systems of innovation’ was first used by Chris Freeman in 1987. Lundvall then used it as a chapter heading in Dosi (1988). In 1989, Brown and Karagozoglu published a paper titled, ‘A systems model of technological innovation’. Following in 1992, Lundvall titled his book, National Systems of Innovation: Towards a Theory of Innovation and Interactive Learning. Perhaps the research that acted to launch the SI framework was National Systems of Innovation: A Comparative Study (1993) by Nelson and Rosenberg that will be critically analysed in section 2.5.2. Lipsett and Smith (1995) then published a paper titled, ‘Cybernetics and (real) National Innovation Systems’ challenging some of the ways that Nelson and Rosenberg treated their subject matter. The former made some very good points that are worthwhile noting but were supportive of the approach used overall. They called for researchers using the national systems of innovation to improve their information base and chosen metrics of analysis, and for more participants to get involved in discussions.35 They also emphasised the need to understand that system dynamics are different when humans are involved and relationships are established.36 In 1995, Carlsson and Stankiewicz completed defining the technological systems (TS) approach. The TS program focused on both theoretical studies and empirical studies. At the fifth International Conference on FACTORY 2000, Keating, Stanford and Cope (1997) also contributed to the idea of systematic technology innovation. In retrospect most of these publications carried the word ‘national’ in their 37

titles. However, it is not the focus of this thesis to make an inquiry at a national level but of that specific auto-ID ‘technology system’ (TS) level. More recently, the validity

34

SI approaches embody nine characteristics, among which is that they may “employ historical perspectives” (Edquist 1998, p. 8). 35 For an excellent guide to methods applied in cross-national research, see Hantrais and Mangen (1996). 36 This is particularly relevant to this thesis. Some of the questions posed in the Introduction relate to the manner in which consumers will react to auto-ID technologies if the trajectory does not change in the future. In terms of innovator insights, see the paper titled, ‘Human Factors and the Innovation Process’ by Livesay et al. (1996, pp. 173-185). 37 See also the ISE policy statement (Edquist et al. 1998, p. 20): “[i]nitially the SI approach was dominated by the national level. However, other systems of innovation than those defined by a country criterion, should be, and are being, identified and studied… Leaving the geographical dimension, we can also talk about ‘sectoral’ systems of innovation (i.e. ‘technological’ systems that include only a part of a regional, national or international system).” 28

Literature Review

of national innovation studies has been questioned anyway (Edquist 1997, p. 11).38 What is so special about SI is that it “...allows for the inclusion not only of economic factors influencing innovation but also of institutional, organisational, social, and political factors. In this sense it is an interdisciplinary approach” (Edquist 1997, p. 17). SI should be looked at as a whole system because its elements are directly or indirectly related to each other. One advantageous aspect of SI is that each part of the system can be examined on its own or in relation to another one. To study one subsystem can also contribute to the understanding of the whole, to deal with individual elements whether they are technological, educational, organisational, social, cultural, economic or institutional in nature. 2.5.2. Typical Research Style National Systems of Innovation: A Comparative Study (1993), edited by Nelson and Rosenberg, was another landmark study propelling innovation thought forward. Like Sharp, Nelson and Rosenberg used a case study methodology but instead of choosing specific new technologies, the national systems of innovation of fifteen countries were investigated. Most of the case studies were conducted by resident researchers in each country. This may have complicated matters a little because different authors held different interpretations of the same concept of ‘national system of innovation’ (Edquist 1997, p. 4). Nevertheless, the book was intended to emphasise empirical evidence first, then to confirm theory. This research spanning fifteen countries was a much larger undertaking than Sharp’s earlier projects in 1985 and 1989. The resources and efforts required, to collect the data and present it in a coherent way with a set number of features for each country was a mammoth task, obviously outside the scope of this thesis. Findings from the case studies suggested that it did make sense to think of national innovation systems although there was some problem with identifying national 38

The terms sectoral innovation system (SIS) and technological system (TS) are often used interchangeably by researchers. The reason for this is that both focus on the firm as the central actor. There is however a subtle difference, TS is in actual fact a subset of SIS. For instance, auto-ID is the TS system being analysed in this thesis and the industry belongs to the larger sector of electronics and IT. See examples of SIS case studies in section two of Henry (1991, pp. 129-239) and part three of Rosenberg (1994, pp. 159-250). It is the opinion of this researcher that TS studies can influence organisations more

29

Literature Review

borders (Nelson & Rosenberg 1993, pp. 20, 506). Other difficulties included comparing and contrasting countries with varying economic and political circumstances, and distinguishing cross-border operations such as with transnational firms. At the conclusion, there was evidence to suggest that the technological capabilities of a nation’s firms do have an impact on its ability to remain competitive globally. However not all research tasks can produce results at this macro-level, nor is it a requirement. In 1998, Choung authored an article titled, ‘Patterns of innovation in Korea and Taiwan’, examining thirty-four technical fields among which were telecommunications; semiconductors; electrical devices and systems; and calculators computers and other office systems. While Choung identifies Korea and Taiwan as the geographic settings for his study, the focus is on the thirty-four technical fields not on the actual countries. Micro-level projects have their benefits also. They are likely to uncover more detailed results and recommendations that are easier to implement within a firm or industry. The issue with a national comparative study is, who are the results aimed at and what types of organisations are willing to react to the findings? Consequently the term systems of innovation without the word ‘national’ has become more acceptable as a framework, giving the researcher the flexibility he or she needs to work at any level; national, regional, sectoral or industry-specific. Evidence of the SI framework is particularly apparent throughout Nelson and Rosenberg’s (1993, p. 15) introduction: Technological advance proceeds through the interaction of many actors. Above we have considered some of the key interactions involved, between component and system producers, upstream and downstream firms, universities and industry, and government agencies and universities and industries. The important interactions, the networks, are not the same in all industries or technologies.

Contrary to both studies conducted by Sharp and, Nelson and Rosenberg, this thesis will focus on a single industry, i.e. auto-ID. Nelson and Rosenberg (1993, p. 13) themselves deem this to be positive, acknowledging that “...there are important interindustry differences in the nature of technical change, the sources, and how the involved actors are connected to each other...” Carlsson and Stankiewicz (1991, p. 111) are also in agreement with a technology and industry specific focus. As mentioned, they have termed this idea “technology system” (TS) where upon a

directly than national studies which are often aimed at government bodies. It is much easier to shape an industry than a whole nation. 30

Literature Review

“...greater emphasis is placed on the way specific clusters of firms, technologies, and industries are related in the generation and diffusion of new technologies and on the knowledge flows that take place among them” (Breschi & Malerba, p. 130). For the various levels of SI, refer to diagram 2.2.

Diagram 2.2

Levels of Innovation Systems Frameworks

2.5.2.1. SI Empirical Studies at the SIS or TS Level In Henry (1991), some very interesting papers were published in Forecasting Technological Innovation; proceedings of the Eurocourse lectures delivered in Italy the previous year. Many of the case studies presented used a sector-level approach and investigated high technologies such as advanced materials (Malaman), machinery and automation

(Parker),

electronics

and

information

technology

(Drangeid),

telecommunications (Bigi & Cariello), transport (Marchetti) and biotechnology (Roels). The study on telecommunications is the one with which this forthcoming auto-ID study will be most closely aligned stylistically. Rosenberg (1994) also uses a sectoral approach in his case studies of technological change in energy, chemical processing, telecommunications, and forest products. Banbury’s 1997 study however, Surviving Technological Innovation in the Pacemaker Industry, 1959-1990, is that study that can be considered a precursor to this thesis. Banbury’s work shows the validity of a microlevel investigation on an individual industry and the excellent results which can be achieved.

31

Literature Review

In so far as the method is concerned for this thesis, case studies will be more exploratory in the style of Sharp than Nelson and Rosenberg. The results of the thesis are not meant to be quantifiable (e.g. how many patents, how many firms) but rather qualitative (e.g. what are the organisational and institutional dynamics). In terms of the structure of the literature review, this now concludes the space dedicated to the review of theories, theoretical frameworks and methods adopted by other researchers doing similar innovation and diffusion studies. 2.6.

Auto-ID Technology Studies

As was pointed out at the beginning of this chapter the principal purpose of this review was to find if indeed there was a gap in the literature to warrant this study. From the detailed analysis of innovation studies above, only a few researchers were found to have touched upon the topics of advanced technologies and innovation. None however, had studied auto-ID technologies in the context of the innovation field; the closest any researchers got to auto-ID was in the study of microchips and the experiences of Silicon Valley (Saxenian 1994), and on the pacemaker industry (Banbury 1997). It is now appropriate to present what research has been done on auto-ID and what has been neglected. Given the dynamic nature of complex technologies, it was to be expected that the majority of relevant publications were not to be found in books but in scant articles.39 However, due to space limitations larger volumes of books will be given preference over articles in the review below. The focus below will be in understanding auto-ID from the perspective of a technology system as defined by the SI framework. It will be shown that apart from a few sporadic efforts and one book on the topic of smart card innovation (Lindley 1997), there is very little in the way of “pure” innovation research on auto-ID.

39

While this makes gathering data more difficult for the researcher it introduces a level of objectivity also. Details and the accuracy of information can be cross-examined. Magazines specific to the cause of auto-ID technologies include: ID Systems Magazine, Card Technology Today, Card International, EFT Today, Report on Smart Cards, Smart Card and Systems Weekly, The Biometrics Report, Biometrics Technology Today, RFID News, Frontline Solutions and Automatic ID News. Testament to the significance of auto-ID is the fact that the IEEE even dedicated a whole issue to biometrics. See Proceedings of the IEEE, 85(9), September 1997. 32

Literature Review

2.6.1. Bar Code Quite a number of books have been written on the bar code, mostly by practitioners who wish to share their experiences with others who are considering implementing automatic identification systems. Most of these present a brief history of the bar code and then delve straight into the notion of symbologies, standards and applications. A lot of space is dedicated to describing all the various components of the bar code system without concern for the innovation process or future trends. Behind Bars (Grieco et al. 1989) serves its original intent to be descriptive but is not critical. In The Bar Code Book, Palmer (1995) acknowledges that there are alternative methods of data entry techniques. He also does well to mention some of the legal aspects surrounding bar code and a few trends. Collins & Whipple (1994) in Using Bar Code: Why it’s taking over, dedicate a chapter to ‘Sources and Resources’ which in effect sets the stage to understanding the bar code business. Various actors are classified into groups, trade organisations are identified as well as journals, conferences and standards bodies. By far, however, the landmark study on the topic of bar code, as relevant to this thesis, is Revolution at the Checkout Counter: the explosion of the bar code (Brown 1997). The author is able to capture to some degree the dynamics between bar code organisations and institutions. And he does this by tracing the interactions of the two main actors over time. Similar to the SI approach, history matters to Brown as well. On quoting Hajo Holborn, Brown’s method is clearly set out, “we study history, not only to be more clever today, but to be wiser forever” (Brown 1997, p. xi). This is also one of the only sources on bar code that alludes to innovation concepts. A whole section in the Introduction of Brown’s study refers to the importance of economic analysis and the future of bar code. 2.6.2. Magnetic-stripe Card Finding sources devoted solely to magnetic-stripe media was quite difficult.40 Most references to magnetic-stripe cards appear in books which present changes in banking.41 More often than not, works published after the 1980s allude to smart cards as a more viable longer term option than magnetic-stripe. In fact most of the smart card40 Two articles dedicated completely to magnetic-stripe card technology include: Smith et al. (1996) and Chu et al. (1995).

33

Literature Review

related books presented in 2.6.3 have dedicated at least a paragraph to the magneticstripe card. If the amount of specific literature published on the topic is any indication of its future prospects, then at present the issues surrounding magnetic-stripe card have not been identified or addressed properly.42 In The Virtual Banking Revolution, Essinger (1999) dedicates chapter 3 to tracking the changes in banking. Among those sections relevant to this thesis are ‘Why things changed’, ‘The origins of virtual banking’, and ‘The three evolutionary phases of virtual financial services’.43 Chapters 4 and 9, ‘The cash machine comes of age’ and, ‘The card that thinks for itself’ are also relevant to this thesis. Essinger does not shy away from asking questions regarding the future of banking and how it will be affected by various technologies. The layout of this book is to be commended. A case study example is given in each section to illustrate the main points. 2.6.3. Smart Card Jerome Svigals44 (1985) can be credited with the first book on smart cards titled, Smart Cards: The New Bank Cards. Overall, his book can be considered a thorough introduction to smart cards. It served to highlight some very important issues relevant to this thesis as well. For instance, the chapter on ‘Magnetic stripe evolution or smart card migration’, although very brief, contained some important points. Yet, in terms of innovation and the auto-ID industry there was little to be captured. In 1988, Bright published a book similar to that of Svigals. Of interest to this thesis are chapters 8 and 9, where Bright presents data on suppliers and discusses the formation of international forums. He also mentions how related technologies may converge or compete. Bright placed importance on technological trends but does not spend much space discussing them. Thus, Svigals speaks of migration and Bright of convergence but both without alluding to innovation literature. By 1989 the momentous proceedings from the International Conference on Smart Card 2000 were published (Chaum & Schaumuller-

41

On the changing face of banking see also Banking Technology Handbook (Keyes 1999), Electronic Payment Systems (O’Mahony et al. 1997), and Presenting Digital Cash (Godin 1995). 42 See de Bruyne (1990) ‘New technologies in credit card authentication’, Higgins (1996) ‘Electronic cash in a global world’, and Wahab (1999) ‘Biometrics electronic purse’. 43 See Yan et al. (1997) ‘Banking on the Internet and its applications’. 44 Jerome Svigals was an excellent ambassador for smart card, with foresight regarding its vast application potential. He gained first-hand experience, especially during the 1980s when he worked as a consultant to major banks on the future of electronic banking. 34

Literature Review 45

Bichl eds. 2000).

Accepted papers included those on technical issues, product

developments, applications, and multiapplication cards. Although innovation issues were not discussed the collaboration and sharing of ideas that took place at the conference was important. This theme will be given attention, particularly in chapter six. The 1990s witnessed an influx of books on smart cards. Integrated Circuit Cards, Tags and Tokens (Hawkes et al. 1990) was a series of papers which introduced the idea of smart devices. For the first time RF/ID tags and biometrics were discussed in the same domain as smart cards. Smart Cards (McCrindle 1990) briefly examined contactless smart cards but was more concerned with applications. McCrindle also refers to the ‘Evolution of the smart card’ in chapter 2 but as with the other authors fails to explore the idea further. By the time Zoreda and Oton (1994) had published their book (also titled Smart Cards) many articles had been written about the potential of smart cards and associated trials all over the world. Zoreda and Oton’s book is the first technical type of its kind. This book was different in that it showed how smart cards actually worked, how they were designed and programmed. Additionally, the book does not fail to mention the ‘new trends’ in the form of biometrics and potential integration opportunities with the smart card as well.46 Kaplan (1996) offers some important insights into smart card innovation using a marketing approach. The author writes of the ‘Smart card revolution’ (ch. 1) instead of evolution, that is of some significance. He notes that the term may seem “heavyhanded” to some but he is brave enough to argue the point (p. 3). Kaplan writes of the rivalling alternative card solutions as “competing technologies” that do impact on smart card diffusion.47 This notion will be important when the auto-ID selection environment will be presented in chapter seven. Kaplan is mixed in his approach to understanding

45

The proceedings are significant because for the first time company representatives and university researchers were brought together to discuss their findings and the future direction of smart cards. 46 Unfortunately, that is all that most of these books do mention; simply a phrase or brief section on various devices or future trends. See Sanchez-Reillo (2001) ‘Smart card information and operations using biometrics’, Noore (2000) ‘Highly robust biometric smart card design’, and Sanchez-Reillo and Gonzalez-Marcos (2000) on hand geometry verification and smart cards. 47 This idea can be traced back to the neo-classical economic approach described in section 2.3. Still, Kaplan’s reasoning is still relevant to the question posed in the Introduction of this thesis. 35

Literature Review

innovation in the smart card business. In terms of innovation, the author highlights the importance of intellectual property and patents. The book is more useful in its presentation than previous texts as it deviates from the commonplace material. Another book worthy of note is that compiled by the Smart Card Forum containing brief articles, Smart Cards: Seizing Strategic Business Opportunities (1997). It brought together all the different issues the Forum is concerned with into a single reference volume.48 Part One (especially chapters 3 and 4) is relevant to the thesis in that the topic of smart cards and innovation is touched upon several times over a number of pages. Hendry’s book (1997) could have been considered ordinary, if not for the chapters on system components (ch. 9), current trends and issues (ch. 17), and the way forward (ch. 19). The final chapter, though brief, is important as it considers the various actors in the smart card industry. The section in this chapter titled, ‘Beyond smart cards’ is also significant to this thesis, mentioning the continuous development towards a biometric-based card that would store a person’s DNA (deoxyribonucleic acid) for identification purposes. This idea deserved more space than it received. Hendry’s book fulfilled its aims but like many other publications did not take that next leap forward to discuss future possibilities at length. Smart Card Handbook (Rankl & Effing 1997) is the most thorough text on actual smart card architecture available. It can be described as an engineer’s guide to smart cards and is relevant to this thesis in so far that it allows the researcher to understand some of the more complex issues facing developers. Smart Cards: a case study (Ferrari et al. 1998) contains an important chapter titled ‘Card selection process’ (ch. 4). The intent of the chapter is to bring to the fore, all the important questions one should ask before making a card technology selection for a given application. While this concept is a little different to that of the selection environment in evolutionary economic theory, it nevertheless can shed light on the state of play. To date, the final book written on smart cards is by Dreifus and Monk (1998). It is appealing in that it is a guide to building and managing smart-card applications. This book also refers to continuous improvements as the ‘Evolution of the smart card industry’ (ch. 1). Chapter three is dedicated to standards and specifications that are also

48

It did well to boost the image of the Forum and emphasised its importance to the success of smart card. 36

Literature Review

relevant to this thesis. The book concludes with the chapter titled, ‘The future of the industry’ and once again, like many other texts, does not go far enough in discussing what these are or what these may be. One section to take note of in that chapter is ‘Merging disciplines’ which can be considered to be denoting convergence. Publicly available material on the state of the smart card industry is plentiful but at the same time it is elementary and/or piecemeal. Basic fundamentals are repackaged over and over and marketed as new research.49 At the high-end of available resources, substantial market research reports with rich competitive information and forecasts are being sold for thousands of dollars.50 2.6.4. Biometrics One criticism of literature published on the topic of biometrics is that it is mostly of a technical nature. Improvements in algorithms, novel recognition techniques51 and experimental results, typify model publications.52 This is probably due to the fact that biometric systems are not yet as commercially prevalent as other auto-ID techniques. Biometrics: Personal identification in networked society (A. Jain et al. 1999) however, while including relevant technical literature also touches upon a diverse number of issues. The ‘Introduction to biometrics’ chapter is perhaps the most complete of any available on the topic.53 Chapter 18 on ‘Smartcard based authentication’ is also

49

Still it is the opinion of the researcher that new research can take the form of new compilations of existing information but for the greater part most of these books touch on exactly the same things, using exactly the same source material. 50 Perhaps it is a case that one pays to be empowered with scarce knowledge. Four smart card reports have offered some light in terms of the link between innovation and diffusion as discussed earlier in this chapter. The first is published by Ovum (1997) titled The Balance of Power: Uncertainty and Opportunity in the New Smart Card Market. The second, is published by The Insight Research Corporation (1998), titled Beyond Payphones. The third, is published by Datamonitor (1996) titled Global Smart Cards. The fourth is Prepaid Service in Asia Pacific, and is published BIS Shrapnel (1999). The latter two are the most worthwhile in terms of industry insights. Similarly, the four most prominent autoID journals are so costly that they are hardly affordable outside an enterprise environment. 51 Some of these novel techniques include: thermographic imaging of the subcutaneous vascular network of the back of the hand (Cross & Smith 1995), dermatoglyphics (Rodriguez 1996), palmprint (Shu & Zhang 1998), human gait model (Cunado et al. 1998), locating facial features with colour information (Zhang et al. 1998), automatic ear recognition by force field transformations (Hurley et al. 2000) and an integrated biometric database (Carter & Nixon 1990). 52 Three such examples include Automatic Systems for the Identification and Inspection of Humans (Mammone & Murley 1994), Audio- and Video-based Biometric Person Authentication (Bigun et al 1997), and Intelligent Biometric Techniques in Fingerprint and Face Recognition (L. C. Jain et al. 1999). They serve to fulfil their original intent but do not offer much other than a technical contribution. 53 See also Liu and Silverman (2001) for a practical guide to biometric security. Lawton (1998) gives a brief overview of different types of biometric systems and a discussion on the lack of standardisation. Miller (1994) goes into more detail than Lawton in a special report on Biometrics in the IEEE Spectrum. 37

Literature Review

important in that it presents the integration of biometrics onto a smart card. The final chapter titled ‘Biometrics: identifying law and policy concerns’, is pioneering not only as related to biometrics but also to the wider auto-ID field. Woodward makes a unique contribution in that he raises issues related to privacy concerns,54 laws, cultural issues,55 religious56 objections and philosophical questions.57 In the past these questions have been largely ignored. It is hoped that this thesis will serve to not only raise similar questions but address these in more detail as well. 2.6.5. RF/ID Tags and Transponders Ron Ames58 can be credited with the compilation of short articles in Perspectives on Radio Frequency Identification (1990) which focused on RF/ID technology. Contributing writers briefly touched upon standardisation, the RF/ID manufacturing process, and technical changes. Towards the end of the book there is an invitation by Ames for firms to interact and collaborate more, if rapid industry-wide progress is desired. Ames offers insights about auto-ID at large that will be explored in more depth in this thesis. The next volume of work on RF/ID was written by Gerdeman (1995). While the majority of the book presents case studies on RF/ID applications, chapters five to seven explore specific standards and chapter eighteen is dedicated to vendors. Subsequently, Finkenzeller (1999) has written what is considered among many in the field to be the complete RF/ID handbook. Interestingly enough the Introduction begins with an overview of automatic identification systems. Chapter five looks at radio licensing regulations, chapter nine and the appendix at standardisation and chapter fourteen presents a market overview. All this is very important when analysing the institutional dynamics of RF/ID. Geers et al. (1997) differ from the other RF/ID books in that it is concerned with one main application, the electronic identification, monitoring and tracking of animals. The book is technical but informative in so far as future trends are concerned. The last chapter on existing and future devices is also applicable to human monitoring and tracking, which is one of the application case

54

See Whitaker (1999), Cuddy (1999), Brin (1998), Branscomb (1994), Davies (1992, 1996). See Tapscott (1998), Ermann et al. (1997) and Sims (1994). 56 See Stahl (1999), Noble (1999), Hensley (1998), E. Lucas (1996), Fischer (1990). 57 See Ihde (1991, pp. 3-10), ‘Introduction: philosophers and technology’. 58 Ames who had worked as a consultant and practitioner in the field of computing for twenty-five years understood the need for collaboration to help make RF/ID successful. His 1990 insights were very accurate, except they were probably too premature for the industry to react accordingly. 55

38

Literature Review

studies being researched in this thesis. In understanding the auto-ID trajectory such developments as documented above are paramount.59 2.6.6. Auto-ID and Other Technologies The first complete book to be written specifically on auto-ID technologies is Jonathan Cohen’s (1994) Automatic Identification and Data Collection Systems. While Cohen does not seem to use any type of theoretical framework within which to discuss auto-ID, he does indirectly allude to technical change throughout as an evolutionary process. Commenting on the purely technical changes in auto-ID devices he writes: [a]utomatic identification technology has progressed with leaps and bounds during recent years. Existing technologies are still being advanced and refined, while extensive research and development is being invested in new methods of automatic identification. Clear trends can be defined in the furthering of these technologies: increased data capacity; increased data storage efficiency; lengthening optical reading distances; greater resilience of non-optical reading; increased reliability; greater data recovery; reduced cost; greater diversity of identification possibilities; greater integration of automatic identification technologies (Cohen 1994, pp. 222-223).

Cohen introduces numerous auto-ID technologies and identifies various types of applications in a loose case study format, before exploring future trends and developments in the industry. Like LaMoreaux (1998),60 Cohen spends the greater part of his book presenting information on bar code technology and does not grant equal space to other auto-ID technologies. Two more contributions that are worthy of special mention are Brodsky (1995) Wireless: The revolution in personal telecommunications and Gellersen (1999) Handheld and Ubiquitous Computing. They are important in that they deviate from the commonplace content found in auto-ID literature. Brodsky especially is challenging in her perspective. She does not merely focus on a particular technology but on a technology system, in this instance wireless personal telecommunications. In the same manner, this thesis will hope to be all-encompassing in its investigation of auto-ID. In her concluding chapter Brodsky claims that “although technology often succeeds in

59

The researcher must be aware of all the current technical capabilities of a given product innovation because that may influence the manner in which it may be applied in the future. 60 LaMoreaux also discusses bar codes at length, covering a broad range of issues from application case studies to symbologies to management and personnel considerations. Again, very informative but the book should just be titled “Bar Codes”, not Bar Codes and Other Automatic Identification Systems. 39

Literature Review

unexpected ways, there are some interesting signposts” (p. 240). It is these signposts that must be identified in auto-ID as well to shed light on the future direction of the industry. Following on from personal telecommunications is the broader idea of ubiquitous computing. The first international symposium in 1999 was held on this topic. Papers presented covered issues such as “everywhere messaging”, location-based services, wearable computing and context-aware applications. Auto-ID will most likely be affected by these converging peripheral systems which will be explored in the autoID trajectory (see ch. 8). 2.6.7. Landmark Studies on Auto-ID and Innovation Studies Only one author has written an extensive work directly on the topic of innovation as related to one auto-ID technology, i.e. smart cards. R. A. Lindley uses socio-technical theory and a case study method to come out with her overall conclusions in her book Smart Card Innovation (1997). It is an exploratory study that thoroughly examines the interaction between smart card users, the technology and the organisation. Lindley is not the only researcher who believes that there is a growing need to develop our understanding of new and complex technologies within the scope of the field of innovation. However, she is the first to put forward a concise volume on innovation and any type of auto-ID technology. My investigation takes the next step forward in exploring that cluster of innovations known as auto-ID. The need for this study is everincreasing as many researchers begin to compare one auto-ID technology to another. This can be seen within the context of magnetic stripe cards and smart cards. Lindley (1997, p. 18) writes: There is also now little doubt among leaders in the banking industry that smart card will take over from magnetic-stripe card technology because of its ability to reduce fraud. The main advantage of smart card compared to other technologies is that it does provide a large range of design and service options with a high degree of security which is required when monetary or secret information exchanges are to occur. The old card technologies are rapidly being made obsolescent as the rate and level of sophistication of fraudulent use are rapidly approaching unacceptable levels. It is therefore now seen by many as only a matter of when, and how the services will be differentiated.

Thus, examining auto-ID innovations is beneficial in understanding the industry trends. Hewkin (1989)61 and Swartz (1999) realised this need earlier than most and were

61 Hewkin saw the industry-wide need for an understanding of the auto-ID innovation process but presented scattered thoughts and did not follow up with other complimentary publications in the field. He

40

Literature Review

compelled to write about it. Swartz in particular provided some helpful insights (1999, p. 21). Today, many of us see Auto ID technologies as “complementary,” with each filling a space in the market defined by the fit between its strengths and weaknesses, and the requirements of target applications. And looking forward, I believe we’ll evolve from a “coexistence” model to one that leverages the many converging opportunities around the intersections and in the gaps between those technologies.

This thesis is timely, in that the converging model62 that Swartz is referring to is happening now. 2.7.

Forecasting

Since the purpose of this thesis is to “characterise” as well as to “predict” the path of auto-ID (see objective six in section 1.3.1), some space must be given to that body of literature encompassing the prediction of future events.63 In this thesis to ‘predict’ means to look at ‘past’ and ‘present’ trends and use these for providing a road map of future possibilities.64 It is not the intention of the researcher to predict also used a neo-classical model of interpretation based on the price mechanism. He did however allude to the future evolution of new auto-ID technologies. 62 Three excellent books that should be consulted regarding the notion of “convergence” in technology studies include: Digital Convergence (Covell 2000, ch. 7), Competing in the Age of Digital Convergence (Yoffie 1997, ch. 5), and Convergence: Integrating media, information and communication (Baldwin et al. 1996, ch. 5). The term “convergence” means different things to different people and can be used at different levels. In some instances, the term has been used too loosely in high-tech with reference to digital or technological convergence, e.g. the “combination of computing, communications, and digital media technologies” (Covell 2000, p.161). It is not that Covell’s definition is wrong but it is perhaps a little too all-encompassing for the study of auto-ID innovation. Convergence in the context of this thesis is not anything and everything coming together. A more preferred definition for convergence is that given by Greenstein and Khanna (1997, pp. 203-205). They suggest there are two kinds, convergence in substitutes and convergence in complements. “Two products converge in substitutes when users consider either product interchangeable with the other. Convergence in substitutes occurs when different firms develop products with features that become increasingly similar to the features of certain other products… Two products converge in complements when the products work better together than separately or when they work better together now than they worked together formerly. Convergence in complements occurs when different firms develop products or subsystems within a standard bundle that can increasingly work together to form a larger system… [D]epending on the level at which a computing system or communications system is analysed, a particular instance of convergence may be construed as being of either kind. It may be interpreted as a convergence in substitutes at one level of analysis and, equally appropriately, as a convergence in complements at a different level.” 63 Braun (1995, p. 133) writes that “[f]orecasts do not state what the future will be... they attempt to glean what it might be.” See also Schot and Rip (1996), Grin and van de Graaf (1996), Henry (1991), Porter (1980), Chen (1980), Barron and Curnow (1979), Bright (1968). 64 Such a projection can take the form of an extensive technology assessment (TA) or technology forecast. TA as defined by Braun (1995, p. 129) “...is the activity of describing, analysing and forecasting the likely effects of a technological change on all spheres of society, be it social, economic, environmental or any other.” TAs usually are armoured with their own methodologies and are conducted over a short period involving a group of experts, government policy officials, and other interested parties from the field. Unfortunately, the scope of 41

Literature Review 65

extraordinary things, it is to predict with the use of reliable evidence that is accessible today.66 Auto-ID forecasts may not eventuate67 but are still more likely to happen than ‘predictions in their pure form’ and for this reason they are more valuable.68 Thus the term “forecaster” rather than such loaded terms as “futurist”, “visionary” or “secular prophet” is to be preferred.69 It can be said that there are many forecasters and very few prophets. Forecasters, as it will be seen in the review of works below, usually use trends or patterns or present-day findings to make projections. Forecasters are more likely to make predictions about new innovations than new inventions. For the greater part, they raise challenging issues that are thought provoking, about how existing inventions or innovations will impact society. They give scenarios for the technology’s projected pervasiveness,70 how they may affect other technologies, what potential benefits or drawbacks they may introduce, how they will affect the economy etc.71

this thesis does not allow for genuine TAs to be conducted. However, it is within the bounds of the thesis to perform auto-ID technology forecasting. “Here the emphasis is on predicting the development of the technology and assessing its potential for adoption, including an analysis of the technology’s market” (Westrum 1991, p. 328). 65 Extraordinary in the sense that professionals working in the area of auto-ID would be astonished by some of the predictions being made. The predictions will not be incredible as such but rather more explicit, more coherent, supported by detailed evidence unlike the majority of previous studies. 66 Kaku (1998, p. 14) advises, “[i]n making predictions about the future, it is crucial to understand the time frame being discussed, for, obviously, different technologies will mature at different times… These are not absolute time frames; they represent only the general period in which certain technologies and sciences will reach fruition”. 67 Even Gates (1995, p. 274) realises that his predictions may not come true. But his insights in the Road Ahead are to be commended, even though they are broad. “The information highway will lead to many destinations. I’ve enjoyed speculating about some of these. Doubtless I’ve made some foolish predictions, but I hope not too many.” Perhaps without realising, Gates is alluding to the fact that predictions are integral to the innovation process. In the quest to prove or disprove forecasts or predictions, “[s]cientific understanding can lead to practical uses. With the first such application, the quest for further understanding intensifies, leading to even more advanced applications” (Quiesser, 1985, pp. viif). 68 Allaby (1995, p. 206) writes “[f]orecasts deal in possibilities, not inevitabilities, and this allows forecasters to explore opportunities.” In speculating about the next 500 years Berry (1996, p. 1) writes, “[p]rovided the events being predicted are not physically impossible, then the longer the time scale being considered, the more likely they are to come true… if one waits long enough everything that can happen will happen.” 69 Someone who predicts (in the pure sense) is being prophetic. In the traditional meaning, The Seer of Patmos, the author of the Book of Revelation, can be considered a prophet; a predictor of events, but a modern day forecaster like Nicholas Negroponte is not being prophetic. See also Sawyer (1993, pp. 1618). 70 See Twiss (1992, pp. 30-36). The technology life cycle has five stages: incubation, diversity, segmentation and growth, maturity, decline. Compare with the five stages in the adoption process of an innovation (Stanton et al. 1994, pp. 195-197) that include: innovators, early adopters, early majority, late majority and laggards. 71 And it is here that a robust framework like the systems of innovation approach, described in section 2.5 can assist a researcher in making predictions, as it looks at the whole system. 42

Literature Review

Forecasters have diverse backgrounds. The contemporaries include a long list of scientists,72 engineers, physicists, biologists,73 mathematicians, entrepreneurs,74 lawyers,75 economists,76 geographers, sociologists, historians, philosophers, religious thinkers,77 science fiction writers,78 culture critics,79 ethicists80 and others. While all of

72

Kaku (1998, p. 5) argues, “that predictions about the future made by professional scientists tend to be based much more substantially on the realities of scientific knowledge than those made by social critics, or even those by scientists of the past whose predictions were made before the fundamental scientific laws were completely known”. He believes that among the scientific body today there is a growing concern regarding predictions that for the greater part come from consumers of technology (writers, sociologists etc.) rather than those who shape and create it. Kaku is correct in so far that scientists should be consulted as well, since they are the ones actually making things possible after discoveries have occurred. But to this researcher, a balanced view is necessary, encompassing various perspectives of different disciplines is extremely important. In the 1950s for instance, when technical experts forecast improvements in computer technology they envisaged even larger machines but science fiction writers predicted microminiaturisation. They “[p]redicted marvels such as wrist radios and pocket-sized computers, not because they foresaw the invention of the transistor, but because they instinctively felt that some kind of improvement would come along to shrink the bulky computers and radios of that day” (Bova 1988 quoted in Berry 1996, p. 18). The methodologies used to predict in each discipline should be respected. The question of who is more correct in terms of predicting the future is perhaps the wrong question. For example, some of Kaku’s own predictions in Visions can be found in science fiction movies dating back to the 1960s. 73 See Wade (2001), Rantala and Milgram (1999). 74 See Knoke (1996) Bold New World. 75 See Davies (1992, 1996) Big Brother & Monitor. 76 See Barnet and Cavanagh (1994), Global Dreams. 77 See Relfe (1980, 1981) The New Money System and Cook (1999) The Mark of the New World Order. 78 The predictions of science fiction writers have often been promoted through the use of print, sound and visual mediums, especially novels and movies. Some of the more notable predictions and social critiques are contained within the following novels: Frankenstein (Shelley 1818), Paris in the 20th Century (Verne 1863), Looking Backward (Bellamy 1888), The Time Machine (Wells 1895), R.U.R. (Kapek 1917), Brave New World (Huxley 1932), 1984 (Orwell 1949), I, Robot (Asimov 1950), Foundation (Asimov 1951-53, 1982), 2001: A Space Odyssey (Clarke 1968), Blade Runner (Dick 1968), Neuromancer (Gibson 1984), The Marked Man (Ingrid 1989), The Silicon Man (Platt 1991), Silicon Karma (Easton 1997). The effects of film have been even more substantial on the individual as they have put some form to the predictions. These include: Metropolis (Fritz Lang 1927), Forbidden Planet (Fred Wilcox 1956), Fail Safe (Sidney Lumet 1964), THX-1138 (George Lucas 1971), 2001: A Space Odyssey (Stanley Kubrick 1968), The Terminal Man (George Lucas 1974), Zardoz (John Boorman 1974), Star Wars (George Lucas 1977), Moonraker (Lewis Gilbert II 1979), Star Trek (Robert Wise, 1979), For Your Eyes Only (John Glen II 1981), Blade Runner (Ridley Scott 1982), War Games (John Badham 1983), 2010: The Year We Make Contact (Peter Hyams 1984), RoboCop (Paul Verhoeven, 1987), Total Recall (Paul Verhoeven 1990), The Terminator Series, Sneakers (Phil Alden Robinson 1992), Patriot Games (Phillip Noyce 1992), The Lawnmower Man (Brett Leonard 1992), Demolition Man (Marco Brambilla 1993), Jurassic Park (Steven Speilberg 1993), Hackers (Iain Softley 1995), Johnny Mnemonic (Robert Longo 1995), The NET (Irwin Winkler 1995), Gattaca (Andrew Niccol 1997) Enemy of the State (Tony Scott 1998), Fortress 2 (Geoff Murphy 1999), The Matrix (L. Wachowski & A. Wachowski 1999), Mission: Impossible 2 (John Woo 2000), The 6th Day (Roger Spottiswoode 2000). Other notable television series include: Dr Who, Lost in Space, Dick Tracy, The Jetsons, Star Trek, Batman, Get Smart, FarScape. See also Schirato and Yell (1996, p. 145, 214f) Communication and Cultural Literacy. The authors speak of cultural trajectories (p. 143). See also the album by Kraftwerk titled “The Man Machine” (Capitol 1978). 79 See Out of Control (Kelly 1994), Facing the Future (Allaby 1995), Silicon Snake Oil (Stoll 1995), WAR of the WORLDS (Slouka 1995), Escape Velocity (Dery 1996), and high tech|high touch (Naisbitt et al. 1999). 80 See Kass and Wilson (1998), Harris (1992). 43

Literature Review

them cannot be mentioned here, some of the more prominent ‘technology-focused’81 forecasters and their important works include: Ellul (1964), McLuhan (1964),82 A. C. Clarke (1968, 1973), Toffler (1981), Minsky (1987), Moravec (1988, 1999), Gates (1995), Negroponte (1995), Kaku (1998), and Cochrane (1999).83 In making predictions these forecasters are required to draw upon their expertise, and to also occasionally utilise other sources available to them (i.e. outside their area of expertise),84 in order to offer a more complete picture of the future.85 This also is important in the context of the SI approach. Often forecasters need to use an interdisciplinary approach to successfully bring together related projections.86 2.7.1. From “Electronic Banks” to “Digital Money” When Jacques Ellul predicted the use of “electronic banks” in his wellresearched book, Technological Society (1964, p. 432), he was not referring to the computerisation of financial institutions, ATMs or EC (electronic commerce). Rather it was in the context of the possibility of the dawn of a new entity- “the coupling of man and machine”. Ellul was predicting that one day knowledge would be accumulated in electronic banks and “transmitted directly to the human nervous system by means of coded electronic messages… What is needed will pass directly from the machine to the brain without going through consciousness…” As unbelievable as this “man-machine”

81

By technology-focused is meant those who are concerned with changes in computers, networks, digital media technologies, artificial intelligence and their impact on consumer and business processes. 82 Other texts that may be useful in understanding McLuhan include: E. McLuhan and Zingrove (1995), M. McLuhan and Powers (1986). 83 A spate of publications predicting future technical breakthroughs were published prior to the onset of the new millennium. Most of these touched upon topics to do with advancements in computer technology, cybernetics, economic change, cloning, and space exploration. The following works are quite challenging in terms of the predictions they present: Knoke (1996), Paul and Cox (1996), Berry (1996), Stork (1997), Robertson (1998), Cetron and Davies (1998), Gershenfeld (1999), Johnscher (1999), Canton (1999), Kurzweil (1999), Rantala and Milgram (1999). 84 In providing evidence for the likelihood of their future predictions, they often use the work of other forecasters to support their stance. These works also track the changes that have occurred over time, setting their findings in the context of larger events in history, and then making predictions. See especially the exceptional timeline compiled and presented by Ray Kurzweil (1999, pp. 261-280) in The Age of Spiritual Machines. 85 Within the field of science Kaku states, “the heyday of reductionism has probably passed. Seemingly impenetrable obstacles have been encountered which cannot be solved by the simple reductionist approach.” 86 For instance the founding members of the Media Lab were made up “of a filmmaker, a graphic designer, a composer, a physicist, two mathematicians, and a group of research staff who, among other things, had invented multimedia in preceding years. We came together… [t]he common bond was not a discipline, but a belief that computers would dramatically alter and affect the quality of life through their ubiquity, not just in science, but in every aspect of living” (Negroponte 1995, p. 225). 44

Literature Review 87

complex may have sounded at the time, thirty years later forecasters are still predicting such scenarios will be possible by the turn of the 22nd century. Today, of course they have a better understanding of the issues at hand and write with a clearer road map of how to get there.88 One can trace the predictions of these forecasters over time and see that they are evolving as new discoveries are made to defend or attack a given prediction (see table 2.4). In like manner this is how this researcher wishes to Table 2.4 Evolving Thought in Artificial Intelligence

Please see print copy for Table 2.4

make predictions about auto-ID; by using existing findings as a ‘launch-pad’ for building likely future scenarios. The whole point of this example is to show that some very credible persons have made what many may believe (or used to believe) to be some very incredible predictions about the future.89 In terms of auto-ID several forecasters have made relatively high-level predictions about technologies and applications. Gates, Negroponte and Kaku all agree that auto-ID technologies, especially smart cards and biometrics, will have a great impact on society in the next twenty years. Gates places much emphasis on the wallet PC, Negroponte on wearable devices and Kaku on ubiquitous computing (see table 2.5). Just by analysing these three

87

See Ellul (1964, pp. 395, 414, 430). Kaku (1998, p. 112) observes that “[s]cientists are proceeding to explore this possibility with remarkable speed. The first step in attempting to exploit the human brain is to show that individual neurons can grow and thrive on silicon chips. Then the next step would be to connect silicon chips directly to a living neuron inside an animal, such as a worm. One then has to show that human neurons can be connected to a silicon chip. Last… in order to interface directly with the brain, scientists would have to decode millions of neurons which make up our spinal cord”. The main obstacle at present is the complexity of the brain. “The brain’s wiring is so complex and delicate that a bionic connection with a computer or neural net is something that is, at present, seemingly impossible without causing permanent damage…. Nonetheless, this has not prevented some individuals from making certain conjectures about mind/machine links, which properly belong in the far future” (p. 115). 89 But they can do this with authority because their predictions are supported by work that is being conducted in universities and commercial research laboratories around the world. Berry (1996, p. 5) is quite right when he comments that “[e]vents only seem extraordinary at the time when they are predicted, never after they have happened.” 88

45

Literature Review

Please see print copy for Table 2.5

Table 2.5 Synergy of Forecasters positions one can trace an evolution of ideas. From devices that one carries, to those that one wears, to those that are everywhere. Additionally in terms of auto-ID-related EC applications, all three forecasters are in agreement that these are going to become increasingly interconnected over the Internet.90 Thus, there is an underlying synergy between the predictions, that makes what the forecasters are saying quite likely events. It is the intention of this researcher however, to offer more detailed evidence for the predictions regarding the auto-ID trajectory. For instance, Gates (1995, p. 77) stated that “[t]he smart card of the future will identify its owner and store digital money, tickets, and medical information…” Kaku (1998, p. 37f) agrees that “[t]here will be enormous economic pressure for people to convert to smart cards and digital money… In the future, smart cards will replace ATM cards, telephone cards, train and transit passes, credit cards, as well as cards for parking meters, petty cash transactions, and vending machines. They will also store your medical history, insurance records, passport information, and your entire family photo album. They will even connect to the Internet.” But the evidence they offer in their books for these happenings is quite scarce. Of course the scope of their books does not allow for such inquiry but this presents an adequate gap in the literature to be filled by this thesis, offering a unique contribution to knowledge.

46

Literature Review

2.8.

Conclusion

The fundamental purpose of the literature review was to affirm the need for a study on auto-ID innovation. A sufficient gap has been identified in the literature and this thesis will act as a first attempt to present new findings. It will use key terms and concepts defined by researchers in evolutionary theory, to describe trends that are occurring in the auto-ID industry. In approach, it will incorporate the interdisciplinary SI framework to identify the factors affecting innovation and diffusion in the auto-ID industry. As shown from the literature review, the framework of SI is very flexible. It allows the researcher to include and exclude data dependent on the scope of the problem, macro or micro in level. By collecting the data using a case study methodology, this thesis will also be adopting the example of many other researchers (e.g. Sharp, Nelson and Rosenberg) in the field of innovation. Case studies are also common in auto-ID texts. As shown above, many researchers have used this method for presenting data on different types of auto-ID applications (e.g. Cohen, Hendry, Lindley). Case studies are compatible with the kind of research that requires exploration.91 A computational method would impede the results of a thesis such as this. Indicative of the widespread applicability of the SI framework is the support it has gained from researchers all over Europe especially. Researchers in business, economics, sociology, industrial management and information technology have contributed to its development (see Edquist 1997). While some may regard this to be a disadvantage, interdisciplinary research has boomed in the 1990s and has even been adopted by researchers in Asia and North America. Until recently, publications in auto-ID have been ordinary in that the same elementary issues are discussed over and over again and in a piecemeal fashion. The reader is left with a lot of valuable data linked to a given aspect of auto-ID but with a 90 See also Turban and McElroy (1998) who discuss the Internet and smart cards in their paper titled ‘Using smart cards in electronic commerce’. 91 While economic forecasts have been largely statistical in nature, this chapter has also served to show those studies that are qualitative in approach. There are numerous critics who believe that qualitative forecasting is based on experience, understanding or unconscious personal bias and thus is subjective and unreliable. To this, the researcher argues that the quantitative approach is also not exempt from these potential flaws. Any modeller must choose the parameters and variables they include in their model, as well as the assumptions and sensitivity factors. Additionally, not all events can be interpreted in the limited context of numbers. Also see chapter three for further discussion on this point.

47

Literature Review

limited ability to interpret the findings. In most instances, inadequate guidelines or evidence is provided for the reader to understand or be illumined by what is being explored. In addition, researchers in auto-ID have refrained from using valid conceptual frameworks or structured methodologies within which to discuss their narratives. They have not only failed to adopt major principles of evolutionary theory- such as trajectories and selection environment- but very few empirical studies have considered forecasting as a logical next step to their research. If for instance, one is analysing the trajectory or the path-dependency of a technology, then issues surrounding forecasting should also be considered. Finally, this extensive literature review can be considered a contribution in itself. Its comprehensive bibliography and the bringing together of innovation thought and auto-ID technology has not been previously presented. It is hoped that other researchers may be able to use these resources to conduct further study in the field. Now to the next chapter which will describe the case study approach and the applied SI framework in which the five auto-ID technologies will be studied. A research design is always an essential part of a methodology. All too often researchers fall into the misconception that case studies are not scientific so they do not have to be carefully planned. The opposite is true, however, but this is a key point to be dealt with in chapter three. Here, among other issues, the following questions will be answered. What is the proposed research strategy for this study? What is the architecture of the research design? What is the methodology being adopted? What types of data will be gathered and how will the data be managed? And how will data analysis be performed?

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3. 3.1

Research Design

Research Paradigm

3.1.1 Qualitative Strategy This chapter seeks to satisfy objective 2 (section 1.3.1), offering an original approach to the investigation of auto-ID innovation. A qualitative research strategy1 was chosen over a quantitative one due to the complexity of the research problem. The study grants the qualitative researcher the ability to focus in on a grand tour question throughout the thesis, followed by subquestions within (Anderson & Kanuka 2003, p. 35). In this instance the investigation is mainly preoccupied with the auto-ID trajectory. This type of strategy allows the researcher unlimited inquiry in areas that he/she believes is required, finding synchronicity with the systems of innovation (SI) framework underlying the study. Intrinsic to this type of research, as stated by Creswell (1998, pp. 16-17), is a commitment to collect extensive data. This researcher has chosen to conduct data analysis using categories or like themes to make sense of the large amount of data collected. In this thesis, long quoted passages also characterise the style of presentation, not only to substantiate claims made by the researcher but also to show the diverse positions held by the various auto-ID stakeholders, pointing to key pieces of evidence throughout. 3.2

Research Design 3.2.1 The Architecture The importance of the research design cannot be overestimated.2 Ultimately the

findings to be drawn from a thesis are dependent upon how well the research design has been constructed to respond to the central question. Nachmias and Nachmias (1976, pp. 77f) describe the research design as a plan that “guides the investigator in the process of 1

“Qualitative research is an enquiry process of understanding” (Creswell 1998, p. 15). Not all previous innovation studies using the same strategy have awarded the space necessary to convey their conceptual framework, specific research questions, methods of data collection and data analysis techniques. In fact, very few auto-ID studies have actually stipulated the use of any sort of research design. 2

50

Research Design

collecting, analysing, and interpreting observations.” The naturalistic design adopted for this study has been developed specifically for the auto-ID industry being investigated. The way in which the study was composed and the chapters were organised, illustrates all the different aspects and perspectives that needed to be considered. The narrative reporting approach taken by the researcher lends itself well to this type of exploratory investigation. The process of research is not linear but rather a spiral one, where telling the story is not as straightforward as it might initially seem. All the different pieces of the puzzle need to be brought together to uncover the underlying message(s). A typical research design structure prevalent in quantitative research would have failed to present the whole story. Instead, an innovative and original approach to investigation based on a narrative reporting style (which takes into account the complexity of the questions being posed) was adopted. On first glance what may be seemingly a rather unstructured piece of work, is an intricately interwoven discussion, consciously devised to explore and understand the history, background, development and future directions of auto-ID. Although the investigation predominantly focuses on auto-ID case studies, there is an element of historical analysis that pervades the whole thesis. The systems of innovation framework emphasises the important role of time and for this reason it has been explicitly included in the research design (see diagram 3.1 on the following page). Given that this investigation is seeking to determine the auto-ID trajectory, it is considered that past events can help to shed light on present and future trends (see section 2.7).3 Even the case studies are introduced in a chronological sequence. Only in this manner can one trace auto-ID innovation- from its beginnings till today- proof being gathered along the historical journey, as a way to predict the future possibilities. The exploratory nature of the research is combined at different stages with descriptive,4 developmental, historical and interpretive analysis. The historical nature of the research is especially reflected in chapter four when manual to automatic identification is traced. Chapter five then relies on descriptive analysis to systematically set a context for the research at large. The dimensions of auto-ID innovation are analysed in chapter six using the systems of innovation framework and embedded cases complete the case

3

See Anderson and Kanuka (2003, p. 33): “[a] historical paradigm attempts to detail the objective reconstruction of historical events.” 4 Descriptive accounts help describe “typical patterns of interaction” (Anderson & Kanuka 2003, p. 175). 51

Research Design

studies in chapter seven. Following is the chapter on the auto-ID trajectory where patterns are identified over a function of time. Finally, the findings and conclusion is where an interpretive style of analysis takes place.

Diagram 3.1

Overall Research Design

3.2.2 The Narrative Approach While theoretical concepts in the field of innovation underlie the thesis throughout, it is predominantly practice-driven, written for a wide-ranging audience. Apart from the Literature Review where some twenty pages are dedicated to innovation theory, the chapters are more concerned with the implementation of that theory as a framework rather than trying to make hypotheses or theoretical generalisations throughout. The approach used here is similar to that work found in Flyvbjerg (1998) and Henriksen (2002). It is in the very end of the thesis (chapters 9 and 10) that the reader can comprehend the “bigger picture”, where the major themes are drawn out and discussed in totality. Prior to that point in the thesis, thick descriptions can be found in order to gather the “facts” and provide evidence for the final conclusions. In chapters 52

Research Design

four to eight some analysis is presented but in limited detail. The reader is guided in this way and can make use of the analysis to interpret the major points that are being put forward. The fundamental building blocks are laid, step-by-step, and the reader is taken on an exploration of discovery. The role of this researcher, as narrator, is a guiding force, present and personal to some degree, but granting the reader the freedom to traverse once the evidence has been provided. 3.2.2.1 Audience The style of presentation that has been chosen for this thesis is one that is mindful of the diverse audience that will take interest in the findings of the research. Various chapters will appeal more, or less, to specific auto-ID stakeholders. Chapters 57 for instance, have been written specifically for the central actor- the auto-ID companies, yet auto-ID users will also gain significantly by reading and understanding what makes auto-ID companies innovate. Similarly, auto-ID company representatives (i.e., both technology and service providers) may not care too much about the historical development of auto-ID but chapter 4 may add another perspective to their thinking when creating and introducing new products to the mass market and how they may be ultimately used. Finally, it is chapters 8 and 9 that bring all the different types of stakeholders closer together, bridging the divide, and offering a fusion of a variety of perspectives relevant to the whole audience, independent of their position or membership to a group. 3.2.2.2

Encoding

In writing for such a diverse audience, the language used has had to appeal to both the academic and non-academic reader. The researcher has purposefully used a level of English that is comprehensible to the masses, without compromising on the academic nature of the research. The language is generally easy to understand and makes use of different literary devices to install reader confidence in the work, including extensive footnoting, referencing, and detailed description. What the reader can expect are long passages of description and a narrative that assists to make sense of the plethora of data gathered, as can be seen from the extensive bibliography and online resources. The writing style is not that of a distant narrator but has an almost personal

53

Research Design

and familiar quality about it. Creswell (1998, p. 170) calls this an “up-close” approach to writing. 3.2.2.3

Quoting

If there is one element of the work that really influences the narrative style, it is the level of detail the researcher goes into.5 On any given page the reader is given the opportunity to follow up either the original source or a related source of reference. This is different to other auto-ID works, some of which lay claim to ideas, without the adequate proof. The number of footnotes included in each chapter, for instance, grants the reader the ability to further investigate a given sub-topic which is in some way relevant to the larger question. It is this level of detail that makes this work stand out and leave its mark among other auto-ID references. Long passages of block quotes can be found throughout the thesis, granting the reader a finer understanding of the complex ideas being presented. Embedded quotes within the body are used to ensure that misrepresentation of other peoples’ ideas does not occur and to add weight to what is being conveyed. In addition, short quotes have the affect of attracting the reader’s attention to fundamental events, products, happenings and ideas that are of importance. 3.3

Methodology

It follows that the method of investigation is fundamental to the design of any enquiry. As evidence suggests from previous innovation research, a case study methodology6 is more appropriate than the application of an experiment, survey, or interview. In reviewing literature in chapter two it was identified that the vast majority of innovation research based on evolutionary theory or the systems of innovation approach (SI) opted for the case study method.7 For instance, Sharp (1985) successfully used case study to investigate six high technologies (see section 2.4.1). Studies in product innovation that take the form of experiments or surveys are usually (but not always) related to consumer attitudes, sales forecasts and potential market adoption. While diffusion is considered important in this thesis, it is in the context of how it is 5

This is a distinct ontological quality that is common in narratives. According to Yin (1984, p. 23) a case study “investigates a contemporary phenomenon within its reallife context”. See also Simpson, M. et al. (2003, p. 14). It is an ideal methodology to use when a holistic multi-perspective analysis is required (Feagin et al. 1991). 6

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linked to innovation. Thus, this thesis will not seek to forecast exactly how many autoID devices consumers will be using by 2005 but how auto-ID innovation occurs, what the auto-ID selection environment is, and what auto-ID trends are likely.8 Though the case study method has traditionally been considered the ‘softer’ option and has received much criticism regarding investigator carelessness, bias and the compilation of unreadable documentation, researchers continue to use the strategy successfully (Yin 1984, p. 21). The strengths9 of a case study method are numerous and while it does possess some weaknesses, other research methods do also. It is the responsibility of the researcher to be actively aware of these pitfalls. 3.3.1 Multiple Embedded Case Studies As the central question explicitly implies, the case studies are all directed toward technological innovations in the auto-ID industry. The multiple embedded case study is regarded by methodology experts (Yin 1984, p. 47) as being the best in dealing with new and complex innovations, especially advanced technologies. Rather than choosing technologies from different industries (which would make comparison difficult due to the qualitative nature of this thesis) it is focussed only on the auto-ID industry (see diagram 3.2 on the following page). This is also in accordance with the systems of innovation (SI) framework at the technological systems (TS) level. The main unit of analysis is the technology (e.g. smart cards). The sub-unit of analysis is the application of the technology (e.g. telecommunications). At the first level the technology is important; at the second level the application is considered independently and then related back to the main unit of analysis. The sub-units are significant in that they offer an opportunity for more extensive analysis. Additionally, a multiple case study simply on the various auto-ID technologies would be in direct conflict with the definition given of innovation in section 1.1.4. Auto-ID technologies can only be considered innovations

7

See ‘Findings and conclusions of ISE case studies on public technology procurement’ (Edquist et al. 1998). The authors discuss the importance of the case study method on pages 9-24. 8 Using a quantitative approach would severely limit the results and scope for analysis. Instead “[a]n exploratory study takes a very broad look at the phenomenon under study. Attention is not as focused as in a study to test a hypothesis. The purpose is to gather information, so that a description of what is going on can be made” (Bouma 1993, p. 90). 9 One of the greatest strengths that the case study method possesses is in its flexibility. “Generally speaking, in experimental designs, any failure to carry out the pre-specified design has serious implications… Surveys call for considerable and detailed pre-planning before you start the survey proper… Case study, however, is defined solely in terms of its concentration on the specific case, in its context” (Robson 1993, pp. 148f). 55

Research Design

when they are applied to a service that can be utilised by consumers, business or government. In this sense, the sub-unit analysis is an essential part of the thesis.

Diagram 3.2

Multiple Embedded Case Studies

The results of a multiple embedded case study are generally more compelling than that of a plain single or multiple case study design. Yin (1984, p. 48) notes that it has been particularly used by many researchers in the field of innovation. Each auto-ID technology considered in this study was carefully chosen based on its level of technical development and market maturity. The choice of cases came from the need to implement two very important qualities in the case studies, that of maximum variation and stratification with a purpose. Maximum variation ensured that different types of auto-ID devices were chosen for the study, for example, not only card devices were investigated. This aids in identifying common patterns across the auto-ID industry sector, not just isolating the card subgroup. The stratification notion facilitates comparison between auto-ID technologies by acknowledging that each auto-ID device did initially exist in an isolated subgroup before the broader industry was formed. As has already been mentioned, the order in which the cases are presented is chronological in terms of the way one technology has impacted on the innovation and

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diffusion of subsequent technologies. This historical perspective

helped to draw out

the pattern of technical change that occurred in auto-ID since its commercial introduction. Coincidentally, the chronological manner in which the devices have been presented has also corresponded to a growing level of technological invasiveness (see diagram 3.3 below). From bar codes attached to non-living things; to magnetic-stripe cards and smart cards carried by humans; to the biometrics of humans; to RF/ID tags and transponders implanted in animals.11 The researcher describes this development as the “human evolution”.12 Auto-ID was initially developed to identify packaged goods at the checkout counter, now it is being used increasingly to monitor and track animals and humans. Please see print copy for Diagram 3.3

Diagram 3.3

Case Studies Ordered to Show the Human Evolution

The sub-unit of analysis has also been considered carefully. Two applications (i.e. the sub-unit level) are chosen for each technology (i.e. unit) based on the successful combination of technology and application (i.e. potential for widespread diffusion). For example, the smart card is well-known for its applicability in telecommunications more than it is known for its use in retail and entertainment services. On the other hand retail has become synonymous with bar code technology and financial services with magnetic-stripe card technology. As there were five auto-ID technologies chosen for the research, a maximum of ten electronic commerce (EC) applications were potentially

10 Chapter five especially will be dedicated to tracing the historical perspective of identification, from manual to automatic. In fact, the whole study has a historical element attached to it. Similarly, in the research conducted by Edquist et al. (1998, p. 17) “…case studies within the sub-project employed a historical approach, and many covered processes of technological development spanning several decades.” Industry dynamics happen over time, thus history is very important. 11 Refer to section 2.7.1, especially the paragraph which discusses the changes happening from devices one carries, to devices one wears, to devices that encourage ubiquity. 12 The term is derived from numerous sources. However two phrases ‘Human Metaphor’ and ‘New Age Systems’ from Andersen Consulting (1991) have influenced the researcher the most.

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feasible within the scope of this study. The ten applications cover a wide variety of vertical sectors specifically to address the growing pervasiveness of auto-ID technology. Within each application area (e.g. telecommunications) there can be literally thousands of product innovations, e.g., pre-paid telephone cards, subscriber identity module (SIM) cards, virtual private network (VPN) cards, cable television (CATV) cards. Several innovations are documented within each sub-unit. The number of different product innovations discussed varies dependent on the available literature and space constraints.13 It should also be pointed out that the innovation system studied is ‘supranational’ (i.e. global), concentrating on the technological system rather than the geographical dimension. 3.3.1.1

Literal Replication

While not apparent in the body of this thesis, a pilot study was conducted before a research effort was committed to five auto-ID technologies and ten embedded cases. Initially, a single embedded case study was chosen, that of smart cards and the applications of government and financial services. Having conducted a literature review and collected preliminary data, it became obvious to the researcher that it would be very difficult to show such ideas as selection environment and technological trajectory without looking at a larger innovation system.14 The single embedded case study in this instance revealed itself to be inadequate. The SI framework also called for the investigation of more than one technology. The smart card case study was therefore included along with another four technologies that could assist in a better understanding of the auto-ID trajectory. Additionally, more applications were chosen to complement the supplementary technologies being researched. The number of case studies may seem too many to some readers and beyond the scope of this thesis. Why not two or three or four? What significance do exactly five

13

One criticism of past research, as already mentioned in the literature review, is that equal space is not allotted to each auto-ID technology, giving an overall unbalanced perspective. This thesis hopes to rectify this situation by giving the same space to each case study. 14 There were also questions surrounding the contribution of such a study since a gap in the literature had been filled by the publication of Smart Card Innovation (Lindley 1997). 58

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case studies have?

Some observers may consider the large number of studies to

correspond to a sample such as that in a survey but this is not the case at all. To do this would be to disregard the basic principles of the case study method altogether.16 The motivation behind choosing five case studies was two-fold. First, it is the speculation of this researcher that results from each case study may be comparably similar given the application of the SI conceptual framework.17 Literal replication is evident in the crosscase findings documented by themes in chapters five to seven (see diagram 3.4 on the following page).18 Second, in undertaking to investigate the evolutionary paradigm of auto-ID, five case studies were deemed appropriate to ensure the overall success of the research findings.19 Far better a more complete list of technologies than one that was restrictive and limited, inhibiting results.20

15

Edquist et al. (1998, p. 9) further explains that “…cases are selected for the purpose of generalising findings to ‘theory’, after testing to determine whether the results of initial cases can also be found to occur in comparable cases.” 16 Edquist, following Yin, has rightly observed, “[c]ase study research and analysis is commonly confronted with objections to its limited capacity for generalisations… what are often (wrongly) demanded are statistical generalisations- i.e., statements of frequency with respect to relationships among variables occurring within a ‘representative sample’ that can be readily generalised to a larger ‘population’ or ‘universe’. Case studies are not, however, properly intended to make statistical generalisations. Rather, case studies rely on analytical generalisations, in which “the investigator is trying to generalise a particular set of results to some broader theory” (Yin 1994:36)” (Edquist et al. 1998, p. 9). See also Tellis (1997, p. 2). 17 This is not to say that the SI framework is limiting in the sense that it pre-empts results. But on the contrary it allows for exploration, with the added benefit of empowering the researcher to compare results from different cases. 18 We should note that “[r]eplication logic in multiple case study analyses is similar to that used in multiple-experiment research designs, where if similar results are obtained from the repetition of critical experiments, replication is said to have occurred” (Edquist et al. 1998, p. 23). See also Hersen and Barlow (1976); Yin (1981, 1994, p. 51). 19 If one was to contemplate the exclusion of any one case study, which auto-ID technology would be omitted? To remove bar codes for instance, would impact on the comparison with RF/ID tags, perhaps even to the extent of rendering the RF/ID case study quite meaningless overall. Thus, all five auto-ID technologies have been included to cater for the diversity of the industry. 20 The manner in which the case studies are designed also allow for additional auto-ID technologies and applications to be studied by any researcher. For instance, a case study on a new auto-ID technology that may emerge in the future could be added without disrupting the structure of the research. 59

Research Design

Diagram 3.4

How Analytical Generalisations will be Determined

Having discussed the reasons for including five auto-ID technologies, the subunit must also similarly be considered. As mentioned there are ten embedded cases, covering a large spectrum of services from the perspective of consumer, business and government product innovations. The focus is primarily on business-to-consumer and government-to-consumer EC interactions. The question of choice and discretion is also applicable to the sub-unit. What was the motivation for including all those different application areas? Apart from presenting the pervasiveness of the technology itself (here the link is made between sub-unit and unit), the application is treated on its own merits as well. Though subtle, the underlying message is important, how is technology both now and in the future going to impact humans? For instance, how will auto-ID affect social and working behaviours (Hewitt 1993; Zuboff 1988)? The technological visionary, Nicholas Negroponte, (1995, p. 6) puts it well when he writes that “[c]omputing is not about computers anymore. It is about living.” As Negroponte predicted in 1995 (p. 231), “...each generation will become more digital than the preceding one.”21 Assuming Negroponte is right, and the way in which humans interact

21 Furthermore “[a]s computers from your desktop to the collar of your shirt become networked, nothing less than a new medium of human communications is emerging, one that may prove to surpass all

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with one another is changing as a direct result of the impact of technology, then the application of that technology is equally relevant. It is the application that grants the technology life commercially, when a use for it is either ‘pushed’ by the manufacturer, or ‘pulled’ by the consumer. Of interest is also the increasing interconnectedness of applications that is being enabled by auto-ID devices. Never before has there been, both the capability and the potential to interlink records from different databases with such ease. 3.3.1.2

Case Study Protocol

Having defined the units of analysis above, it is now necessary to identify each of the questions to be explored in the case studies (see diagram 3.5). Each case study will contain information about the auto-ID technology itself; two examples of how the technology is applied commercially; a number of product and process innovations; factors influencing the innovation of that technology; and an exploration of the selection environment and trajectory of the technology. Due to the types of evidence used in the thesis (see 3.4.3), there was no requirement for documenting field procedures for interviews or checking for the availability of interviewees or resource requirements for surveys, etc. It is important to note here that it would have been easier to dedicate

Diagram 3.5

Case Study Protocol

previous revolutions- the printing press, the telephone, television, the computer- in its impact on our economic and social lives. This is, in fact, a paradigm shift (Tapscott 1998, p. 24).” 61

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an individual chapter to each technology but the intent was to draw out those important themes and patterns prevalent to auto-ID as a technology system (TS). Thus the chapters take the form of relevant themes, making comparison a manageable task both for the investigator and reader. Previous studies have isolated individual technologies as being separate from one another- this thesis draws the devices closer together. The level of investigation that will be undertaken is three-fold (see table 3.1 below). At the first level, the case studies (ch. 5-7) will capture the necessary patterns and trends that will aid in the prediction of the auto-ID trajectory (ch. 8). At the next level, the findings (ch. 9) will draw out the answers to those fundamental questions the thesis sought to investigate, and at the final level the conclusion (ch. 10) will offer a context of interpretation for the overall study. Table 3.1 Levels of Investigation Level 1 2

3

Explanation Case Studies! Help to Predict Auto-ID Trajectory See diagram 3.4 Findings! So What do the Cases Actually Show? Is the auto-ID industry a technology system (TS)? - Do auto-ID technologies share in a common technological trajectory? What is the typical auto-ID innovation process? - What are the dimensions affecting the innovation of auto-ID technology? Will one technology dominate or will several technologies co-exist? - Are technologies undergoing a process of migration, integration or convergence? How are auto-ID technologies impacting applications? - What does the future hold for auto-ID? What are the implications of auto-ID pervasiveness? Conclusion! So What do the Findings Actually Mean and for Whom? Are auto-ID technologies part of the evolutionary paradigm? What are the overall implications of the findings of this thesis? Recommendations

3.3.1.3

External Validity

The findings of this thesis can be generalised specifically within the domain of the auto-ID industry. To a lesser extent these findings are also applicable to the information technology sector (within which auto-ID innovations belong). At this level it is important for professionals associated with the industry to have a systems view of the dimensions affecting auto-ID devices. Often, one or two factors are studied in isolation without the awareness that industry-wide issues are much more complicated. Relationships between factors are also important. For instance, while it is technically feasible to introduce an incremental change to an auto-ID innovation, is it socially acceptable or cost-effective to do so? Industry trends can also be monitored when

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looking at the evolution of a technology. For instance, is it possible that one auto-ID technology will prevail over others as a dominant design?22 Finally, this thesis has wider implications for the general public. At the speed with which auto-ID devices are being introduced and the new applications which require these devices, every individual will potentially be affected by the technology. While it is true that “[t]he better prepared we are to accept change, the less terrifying those changes will be” (Goodman 1995, p. 217), technical change is much more complex an issue.23 Yes, users must become aware of how auto-ID technologies are likely to shape their future but for the purpose of making educated decisions about the suitability of particular innovations, not to heedlessly accept every change for the sake of change. Thus, any person associated with the auto-ID industry- whether they are an engineer, manufacturer, regulator, legislator, businessman or potential/current user- will find this study extremely useful. All these persons are empowered to make decisions about tomorrow but often only have a view of their immediate dimension, be it technical for the engineer and manufacturer or economic for the businessman.24 3.4

Data Collection

3.4.1 Systems of Innovation Bounds The qualitative research strategy chosen, the innovative research design spearheaded by the narrative approach, and the case study methodology adopted have all been mindful of the underlying systems of innovation (SI) conceptual framework. In this thesis, SI is not just an “add-on” framework but is intrinsic to the qualitative paradigm that has been applied. SI provides a holistic picture of the auto-ID technology system (TS). Qualitative research expert John Creswell (1998, p. 15) emphasises the requirement for exploratory research to possess this “holistic picture”. He believes this whole view “…takes the reader into the multiple dimensions of a problem or issue and displays it in all of its complexity” (Creswell 1998, p. 15). This very quality is what SI 22

Internal validity will not be addressed here given this study is exploratory and descriptive in nature. See Yin (1984, p. 36). 23 See Soy (1996, p. 1).

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espouses as well. In fact, what attracts researchers to SI is that it is indeed a “holistic and interdisciplinary” approach which “encompasses all or most determinants of innovation” (Edquist et al. 1998, p. 20). Diagram 3.6 below illustrates the SI holistic approach to investigation. The Systems of Innovation framework “…allows for the inclusion not only of economic factors influencing innovation but also of institutional, organisational, social and political factors” (Edquist 1997, p. 17). Creswell (1998, p. 13) himself believes that it is the application of appropriate frameworks that “hold qualitative research together”. He uses the following metaphor to convey the importance of frameworks: I think metaphorically of qualitative research as an intricate fabric composed of minute threads, many colours, different textures, and various blends of material. The fabric is not explained easily or simply. Like the loom on which the fabric is woven, general frameworks hold qualitative research together.

Diagram 3.6

Systems of Innovation Dimensions

In diagram 3.6, each innovation dimension possesses one or more, direct or indirect relationship(s). However, the researcher is empowered with the decision of which dimensions and relationships to address in the study. All of these may not be relevantone case study may include all the dimensions another may focus on several. The SI approach grants the researcher freedom to explore within predefined boundaries. This is advantageous considering that a major criticism of many case studies is that they are too 24

Research that is conducted on any topic should be purposeful. The findings of a study must have some value to someone, somewhere. See Action Research and Organisational Development (Cunningham 64

Research Design 25

vague and boundary-less. But there is also a fine balance that needs to be attained in the presentation of a case study; it should not be so contrived that it impedes exploration but free flowing so that all the evidence that is needed can be gathered.26 The available SI literature helps the researcher to seek out specific references and sources that are relevant to the dimensions of innovation (as stated in diagram 3.6), for instance, what is meant by the factor “organisational” as opposed to “institutional” and “economic”. While SI proponents do not rigidly state a definition for each of the factors they do guide other researchers by the examples they put forward (see Edquist 1997). It should be noted, that dependent on the context of analysis, some of the key terms to describe the determinants can also be used interchangeably. For example, some researchers may describe the organisational and institutional factors in one and the same breath (even though some SI researchers clearly state their difference). This researcher conducted a literature review on SI and noted key words that described each of the determinants. She then continued to search for these key words in auto-ID specific literature and draw out any possible relationships that could be made. For example, the key words searched for three of the most important SI dimensions considered in this thesis as related to the auto-ID industry are included below: Organisational: public organisations, policy, political bodies, regulatory agencies, organisations for higher education, technology support entities (e.g. training), patent offices, standards setting organisations, consulting agencies, knowledge production, universities, organisations with formal structures, explicit purpose, players or actors, other firms Institutional: norms, habits, practices, routines, laws, interaction, often no specific purpose, form spontaneously, relations between groups, research and development links, consumer reactions, conflicts and cooperation, reduction in uncertainty, technical standards, rules of the game, framework conditions Economic: infrastructure, physical infrastructure, knowledge infrastructure, standards, formal knowledge, tacit knowledge, explicit knowledge, research councils, standard setting organisations, libraries, databases, skilled/technical personnel, routine, industry associations, conferences, training centres, trade publications, research laboratories, public agencies. 1993). 25 In Edquist (et al. 1998, pp. 15-21), the researchers describe case study analysis using “themes” because the degree of uniformity among the individual case studies conducted for the European countries happened to be low. In the case studies conducted for auto-ID in this thesis, broad headings denote the description of a dimension, and in each dimension some themes are highlighted more than others. The characteristics to be found in each of the auto-ID innovations should be uniform as all technologies are part of the same industry but deviations are not so much a methodological flaw as they are a reflection of uniqueness. 26 It is important to keep in mind, “[w]hile the extremes of tight pre-structured case study designs and loose emergent ones can be justified in different circumstances, in practice most case study work is likely to fall somewhere between these extremes” (Robson 1993, p. 149). 65

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Chapters 6 and 7 are where the SI approach was most prevalent in the analysis and presentation of material on auto-ID innovation. In chapter 6 whole paragraphs were dedicated to discussing the factors in each of the five case studies. Headings such as “Committees, Subcommittees and Councils”, “Public Policy”, “Clusters of Knowledge and a Growing Infrastructure”, “Setting Standards”, “A Patchwork of Statutes” and so forth, can be found to reflect direct SI concepts. In addition, chapter 7 utilises key terms from evolutionary theory to discuss the selection environment of the five auto-ID devices being studied. Inherent to SI, given its holistic quality, is also the idea of interdisciplinarity. Given the researchers emphasis on different perspectives, this notion of bringing more than one discipline together, is also appropriate and will cater to the needs of the diverse audience this research targets. It also makes the findings of the thesis more robust and lessens the potential for researcher bias. The SI conceptual framework is also a best-fit for non-linear types of research like this exploratory investigation because it places great importance on the feedback mechanism of the players in the innovation system itself. Feedback can only take place over time as it requires a two-way interaction and SI values this exchange between stakeholders. In describing this interaction, as has been done in this thesis, the meshed research strategy is entirely appropriate. To this end, SI provides the following benefits: i) it provides a boundary for the researcher to work within, ii) it specifies the important factors that should be considered in the research giving the researcher the freedom to include or exclude determinants based on the context and case, and iii) it encourages the use of case studies, the narrative approach and innovative research designs. 3.4.2 Construct Validity Two main sources of evidence will be used in this study, documentation and archival records.27 The scope of the thesis does not allow for the collection of data from interviews. However, this study can be used to identify potential interview candidates for future studies.28 Initially, there was a choice of two paths this researcher could have 27

See Tellis (1997, p. 8) for a brief explanation on each type of evidence. The online resources presented (after the bibliography), could assist any researcher to do a detailed study using auto-ID stakeholders as interviewees. This database of contacts is not readily available in print. It offers any auto-ID researcher a substantial advantage for his/her investigation. 28

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embarked on; either to cover a broad range of auto-ID technologies and sacrifice the level of detail in each case or choose one auto-ID technology and go into intricate detail. The former was regarded as more important, considering the lack of material on the question of auto-ID and innovation, and the importance placed on the concept of selection environment. Additionally, while most methodologists (Robson 1993, p. 274) do encourage supplementary methods of evidence, they do not preclude carrying out a study based solely on one source of evidence, for instance, primary or secondary qualitative sources. And since this thesis also incorporates archival records, construct validity is present. Some advantages include: the researcher can observe changes at his/her own pace and own time and the data is in a permanent form making re-analysis possible. 3.4.3 Multiple Sources of Evidence 3.4.3.1

Documentation

Traditionally books in the field of auto-ID contain a brief historical introduction about one or more technologies and give examples of applications without going into too much depth. Auto-ID books show static representations of technologies at a given point in time, however, they are useful in that they make the researcher aware of the incremental changes that have occurred over the years. They also familiarise the researcher with the more important auto-ID definitions and concepts and raise some very important issues. General computing or engineering journal articles and reports have much the same function as books but with the advantage that they are more frequent and up-to-date pieces of research. Auto-ID articles are also able to focus on aspects of the technology and are usually written by experts who have had professional experience in the field. There are also the specific auto-ID journals and magazines most of which are published by SJB services which made their debut in the mid-90s (see table 3.2 on the following page). These are excellent and reliable sources of evidence that include relevant industry contact names and telephone numbers for further investigation.

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Table 3.2 Journals and Magazines Used for Collecting Documents

Conference proceedings are also particularly useful in a thesis such as this that is exploratory and requires empirical evidence to justify its findings. A researcher can expect to find in conference proceedings, information about the newest auto-ID innovations. Leading edge case studies and surveys are usually compiled by consultants who are at the forefront of the industry and have had real-life experiences implementing auto-ID solutions. Press releases are also crucial- though brief they are a good way of tracking developments in specific product innovations throughout the year. One criticism of press releases is that they are sometimes written by marketing employees who have the interests of the corporation at heart. Nevertheless they do indicate changes that are occurring in auto-ID. Newspaper articles about auto-ID are usually not technical in nature and are often written by reporters who do not have experience in the field. However, they do act to raise issues that are not dealt with in mainstream journals and magazines. They have predominantly reported on the social implications of the technology with a view to capturing the interests and imaginations of readers. However, while one must be careful to separate sensational material from scientific fact, it does not mean that popular material cannot be used in an investigation such as this. Often these articles are surprisingly up-to-date and offer different perspectives than would

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otherwise be found in scientific journals. The popular media- newspapers, radio, television- have long been used as an open forum to gauge political and social responses to technological developments before they are actually introduced.29 3.4.3.2

Archival Records

The archival records used in this thesis are in the form of electronic information sources, publicly available on the Internet. Web site information is a newfound source of evidence that many researchers have simply ignored in the past.30 In this thesis autoID web sites have been chosen, after being identified in the documentation collected or by querying a variety of search engines. These web sites include: auto-ID companies such as manufacturers, value-added resellers (VARs) and system integrators (see diagram 3.7 on the following page); customers such as private organisations; auto-ID research centres such as universities; service providers; and auto-ID-related associations. By visiting these web sites, further electronic links to other sites containing valuable information were also found. Company web sites are very informative containing a lot of information that cannot be found elsewhere.31 Private companies, organisations, even government agencies are now placing internal articles, product technical specifications, marketing brochures, whitepapers, press releases and other auto-ID information on the Internet for wider readership and greater accessibility to employees and customers. It is estimated that approximately 1000 web sites were

29 A classic example of this is the Australia Card debate of 1987. All forms of media were heavily involved in the debate; from front page headlines, to letters to the editor, to polls taken during current affairs shows, to talk-back radio comments. See Smith (1989) who gave a first-hand account of the Australia Card: [and] the story of its defeat, especially chapter 8 titled ‘[t]he day of the media’ and chapter 9 titled ‘[t]he role of the press’. In the latter, Smith (p. 150) writes: “[i]f one accepts the Australia Card as a matter of great importance, the bringing about of its demise… must rank as foremost in the achievements of ordinary people. And the events of September would not have occurred but for the part played by the media, and in particular the press… in my opinion the role of the press was paramount… The newspapers responded to the groundswell of public opinion.” 30 At each web site it is commonplace to find a myriad of press releases dating back to the mid-90s, a historical overview of the technology, product-specific technical information, case studies of the latest applications, as well as customer testimonials. The information in these web sites has been largely ignored by researchers in the field but should be given attention based on their individual merit. It is here that many references were gathered with respect to the auto-ID trajectory. 31 The rise of company e-business solutions has meant that valuable information can now be accessed via the Internet. In order to attract customers, many companies are choosing to invest in the publication and maintenance of a web site that is both informative and can enable a flow of information from anywhere in the world. What may have started off as an extension of a marketing strategy has now become something more encompassing, i.e., the practice of customer relationship management (CRM).

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visited by the researcher over a period of 4 years. At least 150 of these web sites were exclusive auto-ID technology providers.32 Please see print copy for Diagram 3.7

Diagram 3.7

3.4.3.3

Some Biometric Technology Provider Web Sites Visited

e-Research

The researcher used a variety of means to identify relevant Internet sites. Initially generic searches were conducted based on the key words defined by major categories, such as “bar code”, “magnetic-stripe card” etc (see section 3.5.1 for more details on categories). A variety of popular search engines were used, such as Yahoo! and Google. The hits returned were then examined for relevance and reliability. The researcher periodically performed these searches and downloaded files in text format, HTML, Microsoft Word and Powerpoint and PDF, storing them in digital folders with meaningful names. With each periodic search performed, categories were refined and new subcategories defined.33 The key words used to search became more specific with each iteration, and instead of thousands of web links being returned, a few hundred

32

“In particular, the e-researcher’s and subject’s assumptions and values in relation to the role of the Net will be a part of the research process. Thus, the Net and the research results are indivisible” (Anderson & Kanuka 2003, p. 34). This researcher believes the Net can aid in the identification of the technological trajectory of any artefact. In particular the role of the Internet in exploring new trends and granting qualitative researchers the ability to forecast should be explored by methodology experts further. In the field of technological innovation especially, the Internet is an invaluable data gathering tool. Patent databases can be searched, government policies reviewed, standards bodies referenced and academic research laboratories consulted for future directions, among many other capabilities. 33 “The qualitative e-researcher interacts with the research using an in-depth inductive process and an emerging design that is identified during the research process” (Anderson & Kanuka 2003, p. 34). 70

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would result. The guidelines for which web pages were included in the data collection were not inflexible however there were several overriding controls the researcher used. First there had to be an author of the web page or site, whether this was an individual, group or company. Second the content of the web page had to be accurate. Accuracy was established by cross-referencing similar web pages or documentation on the exact same topic(s). Third, a date on the material viewed also added weight to what was being conveyed as well as a date for the period the web site was last updated.34 As can be seen from the online resources section of the thesis, not all the web pages and web sites cited had a date of last update. In these instances, the researcher used her judgement to include or exclude an online source. As much as was possible, the researcher attempted to verify the authority of documents where dubious content or sourcing was suspected. Apart from the exhaustive searches that were performed on the major categories, autoID company marketing lists were publicly obtained from magazines such as the Automatic ID News and individual company web sites searched and further recommended links on these sites followed through. It soon becomes apparent to the researcher which sites are those considered significant to the industry (e.g. AIM Global), as numerous companies reference the same link on their respective web sites. In addition, the experienced Internet researcher who has spent thousands of hours searching for relevant online material is able to quickly discern between web content that is of value to their investigation and that which should be set aside. 3.5

Data Analysis

3.5.1 The Data Management Process As shown above, multiple sources of evidence were used to collect data for the case studies, including documents and archival records with an emphasis on e-Research. Individual pieces of data collected were first accessed and if not in hardcopy format, printed so that a permanent record was obtained in case of digital loss. The printed matter was sorted into relevant categories and sub-categories and after some time was organized into ring-bound file folders containing like themes. It should be noted that the collection of data over the five year period in which the thesis was written was highly iterative. After each major data collection effort, piles and piles of data would be 34

See Hewson et al. (2003, pp. 11f). 71

Research Design

clumped together for sifting when time permitted and it made sense to place things together. Dependent on that particular cluster of data gathered, file folder sizes varied accordingly. An index was also kept and file folders were colour coded according to their relevance to the thesis topic. Files with the same colour were placed side-by-side for easy access on a large bookshelf. Computer files were also kept wherever convenient. Pictures of physical artifacts were especially scanned as they were highly valued by the researcher as tangible proof for the auto-ID trajectory. The management of data was done mostly in hard copy format, save for the extensive bibliography and online resources that were maintained in digital format to ensure easy searching by author, date, or title. Keyword searches in the titles of entriesa form of first-level content analysis- was used to locate relevant articles. A great deal of notetaking was done on articles or studies that were considered landmark to this research.35 Initially these notes were scattered by author and title electronically but with each reiteration of refinement for analysis, data was placed meaningfully into categories in dedicated electronic files. A lot of thought went into categorization. First data was placed within the five major categories depicting the case studies, therein within specific vertical sectors indicating product innovations, and furthermore within specific factors of innovation as described by the SI framework. At this point the focus was on describing each individual case and its respective context within the auto-ID industry. The diagram below shows this continual process of refinement.

Diagram 3.8

Original Categorisation of Data Collected

3.5.2 Toward Naturalistic Generalisations Initially the narrative was divided into five chapter cases, e.g., “Bar Code”, “Magnetic-Stripe Card” etc to allow for the raw notes made by the researcher to be placed into some early draft form denoting a case study.

These notes were then

72

Research Design

organized and ordered in relevance to draw out the most important issues pertaining to the given device. After continual refinement and addition to these notes, it became apparent that several overriding patterns and themes were emerging from the embedded cases, pointing to a meaningful way to respond to the thesis, “the auto-ID trajectory”.36 This was a result of the thorough categorical aggregation performed earlier. A crosssection of information was then taken from each of the original narratives on the cases and used to create new chapters that were based on themes which would allow for interpretation and the development of naturalistic generalisations. Such themes included: the evolution of auto-ID technology, the selection environment of auto-ID and the dynamics of auto-ID innovation. Throughout the narrative the reader will find that patterns and themes and relevant issues are depicted using tables, figures, diagrams, exhibits and other visualizations such as timelines, picture collages and displays.37 These techniques are very important to the overall impact of the final work ensuring that in the end the “facts” are represented.38 3.5.3 Content Analysis According to Anderson and Kanuka (2003, p. 173), “[c]ontent analysis is a research technique that does not easily fall into either qualitative or quantitative classification schemas that researchers love to fight over. It is a crossover technique that requires critical qualitative skills to assign content to any number of variables…” In this thesis however there is no cross-over. The content-analysis performed by the researcher

35

Creswell (1998, p. 153) states that “…analysis consists of making detailed description of the case and setting…” 36 “In one interpretive form, qualitative content analysis involves the unstructured reading and rereading of the text with the researcher developing a narrative or interpretation that eventually reveals the meanings within the text” (Anderson & Kanuka 2003, p. 176). 37 See Robson (1993, p. 393) on the “pattern matching” technique. These often help to explain and simplify findings illustrating the main points. If used correctly these data analysis techniques are excellent ways to convey findings, particularly in a thesis such as this which is for the greater part descriptive. The reader is attracted to the exhibits and is quickly able to make a judgement on what is being described by the researcher. See also Miles and Huberman (1984). 38 Creswell (1998) should be cited here as a major influence in the approach I took for the data analysis, complimenting the work of Robson (1993). “In categorical aggregation, the researcher seeks a collection of instances from the data, hoping that issue-relevant meanings will emerge. In direct interpretation, on the other hand, the case study researcher looks at a single instance and draws meaning from it without looking for multiple instances. It is a process of pulling the data apart and putting them back together in more meaningful ways. Also, the researcher establishes patterns and looks for a correspondence between two or more categories… Finally, the researcher develops naturalistic generalisations from analysing the data, generalisations that people can learn from the case either for themselves or for applying it to a population of cases… To these analysis steps I would add description of the case, a detailed view of aspect about the case- “the facts”…” (Creswell 1998, p. 154). 73

Research Design

was not rigid at all. While the formalisation of categories was given a great deal of thought to ensure that the right type of information was presented,39 the researcher employed a more informal method of indexing. This allowed for the iterative analysis of material. If over time, due to new developments in the industry, some categories were found to intersect within articles newly obtained by the researcher, an additional category was formed with ease. In these instances, two or more themes were found to overlap to make a new cluster. It must be stated that the categorisation technique applied to the data analysis was more about identifying complex themes than about counting the number of articles with the same key word.40 3.5.3.1

Coding

While the content analysis part of this research method was used to ensure that the most relevant sources were being used in the narrative, it was the coding process,41 which allowed for content analysis to happen. Before being able to interpret the content the researcher first needs to be able to identify and assign a category to the data being scrutinised. This initial step of categorisation in this thesis served as the most important part of forming the direction of the narrative. Initially simplistic categories like “biometrics” were identified. However, as the research effort continued and more complex issues began to emerge, more specific categories came into fruition. For example, the important issue of “proprietary versus open standards”, in the discussion about the emerging BioAPI defacto standard (see section 6.5.2.1). With each new data collection phase and data analysis iteration the researcher was led on a more exacting path, a path that would inevitably be able to lead the researcher to an understanding of the auto-ID trajectory. Metaphorically this can be likened to an explorer who first sets out to reach a destination by taking a certain route and then during the actual exploration realises that a more appropriate course can and should be taken given current environmental factors.

39 “Content analysis stands or falls by its categories… without clearly formulated problems for investigation and with vaguely drawn or poorly articulated categories… Since the categories contain the substance of the investigation, a content analysis can be no better than its system of categories” (Berelson 1952, p. 147). 40 “Qualitative content analysis thereby allows us to work with the meanings that underlie the content rather than directly with the content we are studying” (Anderson & Kanuka 2003, p. 177). 41 “The process of demarcating and labelling a variable in content analysis is often referred to as coding. The challenge for coders is to reliably and consistently identify and qualify each instance of the object or variable they are looking for in the content” (Anderson & Kanuka 2003, p. 174).

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Research Design

3.5.3.2

Pictures as Content

When researchers speak of content analysis they are most likely referring to the practice of textual analysis using a software program like Leximancer that usually returns quantitative results based on a certain number of parameters. The use of pictures and collages in this thesis are a major contribution not only to auto-ID development but to the methodological process per se. The researcher found the graphical representation, using pictures of auto-ID artefacts, the most direct way which she could convey the trends in the industry. The pictures and collages are thought-provoking and at times the reader may even be left awestruck by developments. Faced with the reality of technological change and its speed of change, the reader is most likely to be left questioning themselves what the “auto-ID trajectory” actually means on varying scaleslocal, global, universal. They may even be provoked into pondering on the wider implications of information technology. Hundreds of pictures were downloaded, scanned from newspapers and magazines, or personally photographed by the researcher. They were then placed into graphical categories and brought together to reveal hidden meanings on separate palettes. For example, until now, discussion about chip implants being used for commercial purposes were considered rumours generated by Christian fundamentalists, yet pictures of these commercial chips are now available for viewing on some RF/ID web sites (see exhibit 8.6). The old adage, pictures are worth a thousand words holds true and it is the recommendation of this researcher that more qualitative researchers take advantage of the visual perspective. 3.5.4 Reliability Another contribution this thesis makes to knowledge is in its extensive bibliography and list of online resources. Any researcher investigating auto-ID innovation in the future can use it as a thorough reference guide or even repeat the same study with other auto-ID techniques. The search for appropriate literature was progressive throughout which made the data collection process an iterative task. Each bibliographic citation was recorded and categorised by several keywords using a database. Photocopies of actual documentation were also made of as many key sources as possible. The paper documentation was then organised into bound folders on the basis of the case study it was addressing and the major application it covered. Folders of special themes, patterns, and future possibilities for auto-ID were also created. It is 75

Research Design

estimated that over ten thousand pages have been photocopied, printed or downloaded for this research alone.42 3.6

Conclusion

The research design for this study was chosen to complement the corresponding complexity of the central thesis. It is highly structured, ensuring that a complete investigation is carried out in response to the question “what is the auto-ID trajectory?” The researcher chose a qualitative approach that would allow for the exploration of interdisciplinary perspectives. Central to the research design are the multiple embedded case studies that showcase the auto-ID selection environment, featuring devices and prominent applications. A narrative style of presentation is used throughout to provide substantiation using thick descriptive passages and to assist the reader to interpret themes so as to guide them toward a conclusion. The aim of the researcher is to reveal what was previously hidden in piecemeal observations. The systems of innovation (SI) framework underlying the research effort, has been used to give a holistic perspective on the future of auto-ID by examining the past. The data collection, which was extensive, made use of documentation and archival records with an emphasis on online sources, providing multiple sources of evidence. High-level processing of data was performed by the researcher and numerous data analysis techniques were used to draw out findings. Following is a historical review of auto-ID and chapters 5-7 featuring the actual case studies.

42

Other aspects of reliability can only be appreciated within the actual case studies themselves. For instance, looking at the case study protocol and then looking at each auto-ID case (by theme) to see whether or not the protocol was followed. 76

4. 4.1.

Historical Background: From Manual to Auto-ID Manual Identification

4.1.1. Identification Techniques Throughout the Ages Before the introduction of computer technology the various means of external identification1 were greatly limited. The most commonly used method was relying on one’s memory to identify the distinguishing features and characteristics of other humans, such as their outward appearance or the sound of their voice.2 However, relying solely on one’s memory had many pitfalls and thus other methods of identification were introduced. These included marks, stamps, brands, cuts or imprints engraved directly onto the skin, which were to be later collectively referred to as tattooing.3 Historical records date the first tattoo about 2000BC to Ancient Egypt, though there is evidence to suggest that tattooing was introduced by the Egyptians as early as 4000BC (Cohen, T. 1994, p. 25). Tattoos on humans were considered both disapprovingly and in some instances (which were not lacking) quite acceptable (see exhibit 4.1 on the following page). An example of the former is in the Old Testament in the Book of Leviticus 19:28, where God commands Moses: “You shall not make any

1

Identification is defined in several ways, dependent on what aspect is being considered; it is “the act of identifying, the state of being identified [or] something that identifies one” (Macquarie Dictionary 1998, p. 1062). The verb identify is linked to the noun identity, such as in the case of the term identity card which can be used to identify someone belonging to a particular group. Founded in Europe the word identity became noticeable in the English-speaking world around 1915, primarily through Freud. See Kanzer (Pollock ed. 1993, pp. 1-20). The preferred definition for identity within the context of this thesis is the “condition, character, or distinguishing features of person or things effective as a means of identification” (Macquarie Dictionary 1998, p. 1062). 2 See Kikuchi et al. (2001, pp. 2265-2269) for fascinating empirical results on using facial images for user authentication. The short term capacity of a human brain to recognize faces was tested. See also (Pike et al. 2000). 3 A tattoo is defined as “...permanent marks or designs made on the body by the introduction of pigment through ruptures in the skin...” (Encyclopaedia Britannica IX 1983, p. 841). Tattooing is considered by some to be the human’s first form of expression in written form. “All the nomadic peoples try to distinguish themselves from the rest, to make themselves unique and also to establish a means of recognising their kinsmen in the various clans. In order to achieve this, they resort to the resource which is the most accessible and the most lasting: their skin. This decorated skin defines the boundary against the hostility of the outside world, for it is visible to everyone and it accompanies the individual everywhere” (Grognard 1994, p. 19). See also T. Cohen (1994), Delio (1993), Gell (1993), Jaguer (1990), Sanders (1989), Rubin (1988), C.P. Jones (1987). 77

From Manual to Auto-ID

cuttings in your flesh on account of the dead or tattoo any marks upon you”.4 An example of the latter, is in classical literature where tattooing served to identify the bearer’s rank, status or membership in a group or profession. The historian, Herodotus (c. 484 - c. 425 BC) writes concerning the Thracians, “[t]hey consider branding a mark of high birth, the lack of it a mark of low birth...” (Herodotus 1972, p. 282).5 The mark was usually visible for others to recognise. Please see print copy for Exhibit 4.1

Exhibit 4.1 Different Types of Tattoos

4.1.2. The Misuse of Manual ID Branding as a method of identification (especially of minority groups) continued throughout history.6 Even until 1852, the French penal system would identify thieves by “...a V tattooed on the right shoulder, and galley slaves by the three letters GAL” (Grognard 1994, p. 25). United States convicts and British Army deserters were similarly treated. In recent times however, society has become intolerant of tattooing as a means of enforced segregation where the act is committed without the permission of the bearer, with dubious intent.7 Nazi dictator Adolf Hitler in his planned genocide of the Jewish people during World War II (1939-1945) enforced various methods of

4

For an exhaustive list of references in the Bible on tattooing and marking, see M.G. Michael (1998, ch. XIII). 5 For a complete guide to tattooing as a form of body art, particularly by people in Africa, Asia and Oceania, see Rubin (1988). 6 Even as far back as antiquity tattooing was generally held in disrepute, “[t]he ancient Greeks branded their slaves (doulos) with a delta, and the Romans stamped the foreheads of gladiators, convicted criminals sentenced to the arena, for easy identification” (Cohen, T. 1994, p. 32). According to Paoli (1990, p. 140), “…the Romans fastened to the necks of slaves who were liable to run away an iron collar with a disc (bulla) firmly attached to it bearing the owner’s name and address.” 7 Even until the fall of communism, the former Soviet Union used branding methods on exiled criminals and political prisoners in Siberia, for security purposes. For other examples of penal tattooing see Jones (1987, pp. 148-150). 78

From Manual to Auto-ID

identification to separate them from the rest of the population (see exhibit 4.2).8 On September of 1941, an order was issued that all Jews were to “...wear a Star of David badge” (Kitchen 1995, p. 202).9 Those who did not comply with such orders were sent to Nazi extermination camps immediately where they were “...branded like animals. A registration number, corresponding to the camp, was stamped on the left forearm. This was preceded with a “D” if the person was Jewish...” (Grognard 1994, p. 21).10 In the Drowned and the Saved, Primo Levi (1986, p. 118f), an Auschwitz survivor, writes of the mandatory tattooing of individuals that occurred in the concentration camp: ...a true and proper code soon began to take shape: men were tattooed on the outside of the arm and women on the inside; the numbers of the Zigeuner, the gypsies, had to be preceded by a Z. The number of a Jew, starting in May 1944... had to be preceded by an A, which shortly after was replaced by a B... After this date, [September 1944] there began to arrive entire families of Poles... all of them were tattooed, including newborn babies.

Please see print copy for Exhibit 4.2

Exhibit 4.2 The Jewish People Ordered to Wear the Star of David Badge

In this case both the character and the number were used for identification. The character indicated the group the individual was linked to and the number uniquely identified the individual. One can see that the early identification techniques, while 8

There is evidence to suggest that punch cards originally intended to help in the tabulation of census data, were used instead to help segregate the Jewish people from the rest of the German and Polish populations (Black 2001, pp. 22, 58). 9 Of course the wearing of a badge does not immediately imply misuse- it all depends on the context and who it is that has requested this manner of identification and for what purpose. For instance, European migrants in the early 1900s travelling by ship to New York City were given a badge to wear to make identification easier while going through immigration control. The badge was either pinned on clothing or as in the majority of cases tied to a cotton necklace. After undergoing a medical examination certain letters would be recorded on the badge to identify the condition of the immigrant, especially if further screening was required. Those suspected of suffering from mental illness or other health concerns not acceptable to authorities were separated from larger groups and sent back to their homeland. There was simply no other manner in which hundreds of thousands of people could be processed efficiently in such a short period. The badge also alleviated the requirement for the migrant to communicate with officials, especially because the majority did not know English and this would have been a cumbersome process. See New York- A Documentary Film. 10 See The Nazi Doctors: medical killing and the psychology of genocide (Lifton 1986, p. 165), “I remember when… that thing [the number tattooed on each prisoner’s forearm] was put on…” See also Michael Berenbaum (1993, p. 147) quoted in Dery (1996, p. 311), “[a]nd as they gave me my tattoo

79

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primitive in nature, could be hideously misused against minority groups in helpless situations. Plainly, when a technique11 becomes available it is applied wherever it is required, “without distinction of good or evil”12 by whomever has the capability and authority (Ellul 1964, pp. 98-100).13 4.2.

Advances in Record Keeping

As manual record keeping procedures evolved, identification became an integral part of the data collection process. Widespread branding of people was unacceptable and thus other means had to be developed to allow authorities to keep track of individuals. These means varied drastically throughout the ages but increased in sophistication especially after the Industrial Revolution. When computerisation occurred most of the manual techniques were ported into an electronic environment. This part of the chapter is meant to shed light on some of the incremental innovations that led to the development of automatic identification. 4.2.1. The Census- Registering the Population The registering of people dates back to ancient times. “Now go throughout all the tribes of Israel, from Dan to Beersheba, and count the people, that I may know the number of the people” (2 Samuel 24:2).14 And the Romans were particularly advanced

number, B-4990, the SS man came to me, and he says to me, “Do you know what this number’s all about?” | I said, “No, sir.” | “Okay, let me tell you now. You are being dehumanised.” 11 See Westrum (1991, pp. 7f) for an answer to the question, ‘what is technology?’ Westrum states that a technology is a device or a technique or abstract knowledge. See also Kurzweil (1999, pp. 76-77). 12 There has been much written on whether technology or techniques, possess a “moral neutrality” (Brown 1990, ch. 2). Mumford and Gideon hold the stance that “if a technology fails to alleviate misery, but only compounds it… the blame falls not on the tools, which are themselves neutral” but upon external factors such as historical circumstances (Kuhns 1971, pp. 82-83). Ellul on the other hand, believes that the technique itself has an autonomous mandate, that “…once man has given technique its entry into society, there can be no curbing of its gathering influence, no possible way of forcing it to relinquish its power. Man can only witness and serve as the ironic beneficiary-victim of its power” (Kuhns 1971, p. 94). 13 In 2000, Meissner (p. A5) reported that police in Canada used dragon tattoos on Chinese migrants to separate them from their enforcers who were trying to smuggle them into Canada. About 600 people from China were discovered on four ships. Superintendent Boyd, commander of the RCMP emergency response team said: “This was by no means a science and I’m sure we made some errors and segregated innocent people. We were kind of winging it… It was just our life experience and dealing with people… There, again, it was a long shot, but we went with tattoos and eye contact. Tattoos with dragons were something we were paying particular attention to...” 14 See also 1 Chronicles 21:1,7; Esther 6:1. 80

From Manual to Auto-ID

in their data collection requirements, wishing not only to count but to gather additional information about their citizens (Scullard 1981, pp. 232f):15 A periodic census of Roman citizens was held… every four years, but from 209 BC onwards… every five years… This was a reflection of the mustering of the army into centuries, and it was these men, grouped in the five classes, that were the chief concern of the censors who had to register them in their tribes and assess their property in order to assign them to the correct classes for purposes of both taxation and military services. The head of each family had to answer questions about the property and age of all its members…

Censors had to rely on manual identification techniques to ensure the accuracy of inventories. This was a very difficult and time-consuming task, especially since “…houses had no numbers, and many streets were nameless. The ancients had not discovered the countless practical advantages of numbers” (Paoli 1990, p. 138). An error made by the censor could impact the life of a citizen since “early inventories were made to control particular individuals- for example, to identify who should be taxed, inducted into military service, or forced to work” (Britannica Encyclopaedia 1983, p. 679). Over time however, newer more advanced techniques were developed which ultimately served to change the purpose of the population census.16 More automated means of identification and data collection made it possible for census surveys to be extended.17 Of course, this does not mean that errors in the data collection of personal information are no longer incurred. 4.2.2. The Notion of a Personal Document File The overall intent of a census was to determine the aggregate profile of people residing within a defined geographic region so that authorities could address their needs appropriately.18 However with advances in social welfare, authorities required to know

15

See also Luke 2:1-3: “And it came to pass in those days that a decree went out from Caeser Augustus that all the world should be registered. This census first took place while Quirinius was governing Syria. So all went to be registered, everyone to his own city.” 16 However, it should be noted, that “[s]trictly speaking, the modern population census began in the 17th century. Before then, inventories of people, taxpayers, or valuables were made; but the methods and purposes were different to modern ones” (Britannica Encyclopaedia 1983, p. 679). See especially Lawton (1978). 17 For example, in the U.S. Census of 1890, part of the process of classifying and counting the data collected was automated. Herman Hollerith invented a method that allowed census takers to punch holes in predetermined locations to represent various characteristics. The holes were then processed by a machine. As elementary as this may seem, such advances led to subsequent breakthroughs in the field. See especially Austrian (1982). 18 “Census statistics are used as the basis for estimating the population at the national, state and local government levels, for electoral purposes and the distribution of government funds. They are used by 81

From Manual to Auto-ID

more specific details about their citizens and their individual circumstances. In establishing an official relationship with the citizen, identification and specialised record keeping practices became important from the perspective of the state.19 A variety of paper-based documentation was instituted; in some cases special seals or ink-based stamps were used to indicate legality. Examples of official documentation included land title deeds, birth certificates and bank account records.20 These were among the most common proofs of identity but this varied dependent on the state in question and period of history. The importance of the church in the evolution of record-keeping should also be highlighted. In many parts of the world the local church was a thorough documenter of events and very much an integral part of government until about the Middle Ages.21 The interaction of the church and state led to developments in the centralisation of government and bureaucracy.22 With the centralisation of power came a need for the centralisation of citizen information which led to the creation of personal files. Churches also provided proofs of identity, such as marriage and baptismal certificates. Some churches even kept records of disputes or wrong-doings and how victims had been recompensed. Given that the size of towns was relatively small compared to today, names could be used to identify individuals.23 But the Industrial Revolution was set to change things dramatically, especially as mass production drew large groups of people (in most cases from surrounding towns) closer towards employment opportunities in factories. One of the earliest modern day responses to improved identification techniques and record keeping standards came in 1829. In that year, British Parliament made a decision to enact the reforms of Prime Minister Robert Peel who wanted more emphasis

individuals and organisations, in the public and private sectors, for planning, administration, research, and decision making” (Castles 1993, p. 35). 19 The relationship between an individual and the state is known as citizenship. Nationality places this individual under the protection of the state. 20 Little is known about banking prior to the 13th century though it was established in ancient times. 21 For instance, church laws and state laws ran in parallel until the Middle Ages. Church and state had their own law and court systems and there were often issues over jurisdictional rights (Anglim 1999). 22 See developments in English common law from 1066 to the early 18th century (Caenegem 1988; Encyclopaedia Britannica 1983, p. 998). 23 Given names and surnames were not always unique. In some instances the name was accompanied by the paternal lineage, or an address location, or by a nickname. However even address locations in ancient times were for the greater part difficult to precisely identify. In ancient Rome for instance, roads were nameless “and were referred to simply by such expressions as ‘The road to…’; a few of the more important had names…” (Paoli 1990, p. 141). 82

From Manual to Auto-ID

to be placed on printed police records. In this manner relevant data could be stored in a personal document file and linked back to individuals using a unique value. In many ways these records were forerunners to government databases that were linked to ID cards. During this same period, photographic technology was invented but it was not until 1840 that amateur scientist William Henry Fox Talbot developed the negativepositive photographic system which eventually became a useful police identification tool.24 In the meantime, signatures were about the most unique method of crosschecking someone’s identity between original and duplicate copies.25 By the late 1870s, a significant breakthrough in identification came about in India. Sir William Herschel (a British ‘Magistrate and Collector’) had made a defendant’s fingerprint part of court records. Ron Benrey also reported that Herschel used fingerprints as manual signatures on wills and deeds.26 For the first time, a biometric had officially become a means of precise identification. In 1901, police technology had advanced so much that Scotland Yard had introduced the Galton-Henry system of fingerprint classification (Lee & Gaensslen 1994). Till today, fingerprints have been associated with crime for this reason (see exhibit 4.3). The system did not become widespread because the practicality of taking fingerprints of all citizens and cross-matching records for individual transactions was not viable. Please see print copy for Exhibit 4.3

Exhibit 4.3 Prisons in New York in 1913 Required Fingerprint Records

4.3.

The Evolution of the Citizen ID Number

Unique citizen identification numbers27 were adopted by numerous countries around the period of the Great Depression. The majority of these nation-wide

24

In an age of computers, humans generally take for granted the invention of the still-shot camera and motion camera because the technology is so readily available. But a simple ID badge with a photograph on it really did not become widespread until after the turn of the 20th century. Photographs fastened to cards were excellent manual identifiers before the proliferation of cameras which then enabled fake IDs to be developed by criminals. As soon as this occurred an additional measure was required to ensure positive identification. 25 This was all dependent on the literacy level of the individual, though unique markings were accepted as substitutes. 26 For excerpts of Benrey’s fingerprint revolution see http://www.dss.state.ct.us/faq/disuppt.htm (1998). 27 Unique identifiers in the context of citizen numbers are known by a variety of names. These include: identification number (IN), personal identification number (PIN), uniform personal identification mark (UPIM), national identification number (NIN), universal identification number (UIN), unique 83

From Manual to Auto-ID

numbering schemes have been maintained, relatively unchanged, till today.28 For the purpose of showing the evolution of the citizen ID number, one of the oldest schemes, the United States social security number (SSN), will be exemplified below. 4.3.1. Case: The U.S. Social Security Administration (SSA) By the 1920s, countries like Britain, Germany and France were using personal document files29 to administer specific government assistance schemes for unemployment, worker’s compensation, health, pensions and child endowment (Clark 1943, p. 9). In observing the processes of the European governments, the United States (U.S.) sought even more efficient methods of identification. Thus the Social Security Administration (SSA) was formed, a centrally managed scheme, supported by an official Act in 1935.30 Setting up the program was a daunting task. The U.S. government was dealing with a large group of people (five million elderly people alone), each personal record attached to several applications (pension, medicare, family allowance etc.), and individuals were geographically dispersed. Since money and benefits were being distributed at a cost to taxpayers, the government was obligated to establish guidelines as to eligibility, proof of identity and citizenship to keep track of funds. 4.4.2.1. The SSN Gathers Momentum – More than Just a Number As government policies became more sophisticated, administrators required a mechanism for the unique identification of individuals to improve the efficiency of

identification system (UIS), universal identifiers (UID), unique personal identifier (UPI), single identifying number (SIN), standard universal identifier (SUI), universal multipurpose identifier (UMI), universal personal number (UPN), unique lifetime identifier (ULI). 28 Some of the national numbering schemes include: the Person Number (PN) system of Norway, the Central Register of Persons (CRP) in Denmark, the German Insurance Number (GIN), the Social Account Number (SAN) of Austria, the Insurance Number (IN) of the old Czechoslovakia, the French Identification Number (FIN), the Insured Persons Number (IPN) of Switzerland and the National Insurance Number (NIN) of the United Kingdom. See also ‘Investigation of a unique identification system’ (NZCS 1972). 29 Western European countries had established population registers that were updated continually to include the name, residence, age, sex and marital status of an individual. The registers were administered at a municipal or county level initially but towards the mid-1900s they became more centralised. There was an increasing demand for the registers by government for voting, education, welfare, police and the courts (Lunde 1980, p. 1). 30 The SSA was instituted by President Roosevelt after the impact of the Great Depression in the early 1930s. This act was designed to protect individuals and their families from unemployment, old age, sickness etc (SSA 2003). For a detailed historical development of the U.S. social security programs see http://www.ssa.gov/history/brief.html (2003). 84

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operations. In 1938 the social security number (SSN) was introduced. The SSN was phased in to reduce the incidence of duplicate records, allow for more accurate updates and ensure that entitlements were received by the bona fide. With the introduction of the SSN came the social security card (see exhibit 4.4). Each card contained the nine digit SSN and the cardholder’s name.31 The card also acted as a proof of identity. This deterred many people from making fraudulent claims, yet the quality of the paper card was poor and susceptible to damage.32 By 1943, President Roosevelt had signed Please see print copy for Exhibit 4.4

Exhibit 4.4 The Original Social Security Card

“...Executive Order 9397 (EO9397) which required federal agencies to use the number [SSN] when creating new record-keeping systems” (Hibbert 1996, p. 693). In the early fifties the insurance and banking sector also adopted the SSN and requested it from each individual who wanted to open a bank account and make monetary transactions. By 1961, the Internal Revenue Service (IRS) was also using the SSN as a taxpayer identification number (TIN).33 It can be seen that knowledge gained from the improved administration of government services was applied to other sectors, such as finance.34 Thus the ID number itself, had two important uses when the computer age arrived. First

31 The card (with the printed number on it) was useful in that cardholders could carry it with them and quote it freely when requested to fill out government forms. It meant that citizens did not have to memorise the number and risk referencing it incorrectly. 32 Thus the need for cards to be made out of more durable material. Cards made out of cardboard were initially introduced, followed by plastic cards with embossing. 33 The SSN was also used for something other than it was originally intended for, given its usefulness and widespread applicability. See SSA (2002) for other uses of the SSN. 34 The government, especially the military, have been responsible for creating many technologies that have later been adopted by the private sector (Office of Technology Assessment 1981). Internet Protocol (IP) for instance, had its origins in the Advanced Research Projects Agency (ARPA). The first generation network was introduced in 1969 (Stallings & Slyke 1994, p. 430). “In 1989, the U.S. government decided to stop funding ARPANET, and plans were laid for a commercial successor, to be called the “Internet” …the Internet’s first customers were mostly scientists at universities and companies in the computer industry, who used it for exchanging e-mail” (Gates 1995, p. 97). See also Kaku (1998, pp. 45-48), ‘how the Internet and other technologies came about’ where he discusses the Pentagon’s involvement in the research and operation of teleconferencing, virtual reality, GPS satellites and e-mail.

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it could be used as a primary key

35

for storing personal information in databases.

Second it could be linked with any identification technique for authentication or verification.36 What should be observed is that even without advanced machinery and automatic identification techniques, the underlying information systems concept had been born.37 4.4.2.1. The Computerisation of Records The proportion of recorded transactions was now reaching new limits in the United States. Written records had served their purpose but could no longer effectively support the collection, storage and processing of data. Government agencies were plagued by such problems as limited physical storage space for paper documentation; slow response times to personal inquiries; inaccurate information stored in personal records; difficulties in making updates to records; duplicate information existing for a single person; and illegal and fraudulent claims for benefits by persons. By 1970 the SSA had set up its headquarters in Baltimore. The basic data stored there included the “...social security status of every citizen with a social security registration... and equivalent records on all phases of the Medicare program.”38 Thus, the emergence of the microprocessor and the development of electronic storage devices enabled the invention of information technologies that could automate the process of identifying living and non-living things (Yoffie et al. 1997, pp. 41-110).39 35

“The PN, as a computer file key, has the characteristics of uniqueness, permanence, realiability, and universality” (Lunde 1980, p. 2). 36 It was the ID itself that was fundamental to these applications whether in the form of a unique number, character set, symbol or image. The ID device accompanying the ID was more a facilitator. 37 See also, The Essence of Information Systems Concepts (Edwards 1991). 38 The SSA had established 725 field offices and citizen transactions were communicated to SSA headquarters via dedicated circuits where it was received on magnetic tape ready for input into the SSA computer (Miller 1970, p. 77). Initially the types of analysis that could be performed on the records was limited (Lipetz 1966). By 1977 however, the government had not only computerised its paper records but had even developed computer matching applications. The Public Law 95-216 “mandated that state welfare agencies use stage wage information in determining eligibility for Aid to Families with Dependent Children (ADFC). Subsequent legislation also required similar wage matching for the Food stamp program” (Kusserow 1984). By the early 1980s it was common for data matching programs to check personal records between social security, other federal agencies and the banking sector. In this manner the government could determine whether a citizen was receiving legitimate funds and contributing to the nations numerous taxes. 39 Historically, auto-ID systems have been constrained by the capabilities of other technologies they have been dependent upon. Limitations in network infrastructure, central processing unit (CPU) speeds, electronic storage space, microchip miniaturisation, application software and data collection devices are just some of the components that have impacted auto-ID. For example, it has already been noted in this chapter that the first biometric manually recorded for criminal records was the fingerprint as far back as the 1870s. However, it took more than one hundred years to develop a commercial electronic fingerprint 86

From Manual to Auto-ID

4.4.2.1. Problems with Some Government Citizen Identifiers The U.S. social security number ultimately became a multi-purpose identifier though originally it was only meant to be used for social security purposes. As paper records were transferred into a machine-readable format and simple searches performed it became apparent that there were duplicate SSNs.40 The problem arose because the identifier’s composition was not unique; neither was it randomly or sequentially generated. The nine digit SSN was broken up into three sections: area number assigned to states on a population basis, group number (2 digits), serial number assigned sequentially (4 digits) which was controlled by the first six letters of the person’s surname (New Zealand Computer Society 1972, p. 28). When the regional-based ID numbers were pooled together to form a central population register (CPR) the IDs were found not to be unique.41 In addition to this, the SSA itself was forced to admit that more than four million people had two or more SSNs (Westin & Baker 1972, pp. 396400). This immediately posed a problem for both authorities and citizens. The computer system could not handle cases adequately whereby there were more than 999 persons with a surname beginning with the exact same 6 letters living in the same area (as defined by the SSA). While this may sound impossible to achieve some names are very common and a lot of surnames are shorter than 6 characters in length. In other cases the problems that some citizens have endured after their SSN has been stolen, have been well-documented on current affairs programs. The call for some other means of identification, automatic in nature, was heeded and many states more recently have acted to implement state-of-the-art biometric and smart card-based systems to alleviate issues of duplication and crime. The rest of the world have followed the U.S. example,42

recognition system that had the ability to store thousands of fingerprint minutiae and cross-match against a large database of records with a workable response time. 40 One must note that the SSN was created without the knowledge of how computer technology would revolutionise the government’s processes. By the time computers and networks were introduced into the SSA’s practices, the SSN was a legacy system that maintained numerous well-established problems. 41 As Hibbert critically points out, “[m]any people assume that Social Security numbers are unique, but the SSA didn’t take sufficient precautions to ensure that it would be so” (Hibbert 1996, pp. 686-696). 42 The initial person registration system used in Sweden dates back about three hundred years when the process involved the Church of Sweden. Local parishes were considered to be like regional administration offices. But in 1947 each person was assigned a PN that was recorded electronically in 1967 from metal plates to magnetic tape. The Netherlands used the census of 1849 as a starting point for there decentralised PN system. But in 1940 personal cards with unique numbers were issued to the whole population that acted as lifetime identifiers. In Israel a PN was allotted in 1948 via a census after the State of Israel was officially established. A Population Registry Law in 1965 established the basic information that had to be collected when registering. This involved disclosing details about the ethnic group that one 87

From Manual to Auto-ID

more recently even those countries considered as either lesser developed (LDC) or newly industrialised countries (NIC).43 4.4.

The Rise of Automatic Identification Techniques

4.4.1. The Commercialisation of Identification New technological innovations originally intended for government often find themselves being applied commercially within a short period of time. The lessons of the SSN and other early identification systems were used to improve processes in banking and retail from the 1970s onwards, as a variety of auto-ID technologies became available to implement. The introduction of the bar code and magnetic-stripe card especially was noticeable because it directly impacted the way people shopped and banked. Consumers now had the ability to withdraw funds without having to visit a bank branch. Shop store owners could use bar codes on products to improve their inventory control and employ fewer workers because of the speed of checking-out customers. These innovations were not only targeted at what one would term mass market but they affected every single person in the community; the bar code was linked to the purchasing of food and other goods, the magnetic-stripe card to money that is

belonged to, as well as religious beliefs and past and present nationalities. In 1966, this information was computerised. Iceland used a population register since 1953. When a citizen reached the age of twelve they were given a number that was based on the alphabetical sequence of a person’s name in the total population. In 1964, Norway’s Central Bureau of Statistics was asked to establish a national identification numbering system as the world learnt of the potential of electronic data processing (EDP). In 1968, Denmark followed in Norway’s footsteps by computerising their records as well. France used numbering systems for individuals and organisations since 1941. The system was computerised in 1973 after existing records were put on magnetic tape and adapted to include check digits. Finland introduced their personal identification code (PIC) system in 1964. See Lunde (1980, pp. 5-41). The potential for a globally implemented unique national identifier (UNI) is realistic. This could be tied in with the concept of a follow-me telephone number such as that defined in Universal Personal Telecommunications (UPT). UPT “…will enable each user to participate in a user-defined set of subscribed services and to initiate and receive calls on the basis of a personal, network-transparent UPT Number across multiple networks and any terminals, fixed or mobile, irrespective of geographic location limited only by terminal and network capabilities and restrictions imposed by the network operator” (ITC 1992, p. 7). 43 Those LDCs and NICs that have had PNs for over twenty years include: Argentina (Documento Nacional de Identidad DNI), Chile (Rol Unico Nacional RUN), Colombia, Peru (Event Identification Number EIN), Uruguay and Jordan. The need for PN systems in LDCs and NICs are considered as greater than those in MDCs. Usually LDCs in particular, have very large populations and huge data management problems. In terms of planning for such things as basic infrastructure (e.g. housing, education, employment, health) the task becomes even more difficult without a PN. For example, the distribution of benefits like food, if not handled properly, could become life-threatening to citizens. Thus the recent introduction of smart cards for food rations in many LDCs. Most cards also store a photograph of an individual as well as a biometric. Many countries in Asia also, are now beginning to introduce autoID devices for government administration. Examples include Cambodia, Taiwan and China. 88

From Manual to Auto-ID

required for survival in a modern society. As one scientist wrote in 1965 “...the impact of automation on the individual involve[d] a reconstruction of his values, his outlook and his way of life” (Sackman, pp. 36, 552-560). 4.4.2. Too Many IDs? As government and enterprise databases became widespread and increased in sophistication, particularly after the introduction of the desktop computer in 1984, implementing auto-ID solutions became possible for even the smallest of businesses. Auto-ID could be applied to just about any service. The vision of a cashless society gained momentum as more and more transactions were being made electronically and the promise of smart cards was being publicised. But instead of wallets and purses becoming thinner since the need to carry cash was supposedly diminishing, the number of cards and pieces of identification people had to carry increased significantly (see exhibit 4.5 on the following page). Citizens were now carrying multiple devices with multiple IDs: ATM cards, credit cards, private and public health insurance cards, retail loyalty cards, school student cards, library cards, gym cards, licenses to drive automobiles, passports to travel by air and ship, voting cards etc. Dependent on the application and the auto-ID device being used, passwords were also required as an additional security measure. But since passwords such as Personal Identification Numbers (PINs) were never meant to be recorded, expecting consumers to remember more than one PIN was cumbersome. But as Davies pointed out (1996, p. 121f), while “[m]anaging all these numbers is a chore… it’s a state of affairs most of us have learned to accept.” This statement was probably an interim truism until the turn of the 21st century. Today, more than ever, most likely due to major technical breakthroughs, there is an underlying view that computers are supposed to make life less complicated rather than more complicated. The vision is still one where cards (probably multiapplication and multifunctional in nature) will play an important role in identification but whereby other advances such as biometric recognition systems will be an integral part of the solution to ID.

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Please see print copy for Exhibit 4.5

Exhibit 4.5 Multiple ID Papers, Cards, Numbers and Passwords for Individuals

4.4.2.1. Numbers Everywhere In his book, Rome: its people, life and customs, Ugo E. Paoli (1990, ch. XIII) emphasises the significance of numbers by describing what it was like in ancient Roman times without street addresses. He contrasts this setting, i.e. the streets without names and the houses without numbers, by referring to how numbers are used profusely today in modern civilisation. It is worth quoting Paoli at length (1990, p. 139). When we travel, our train has a number, as do the carriages, the compartments, the seats, the ticket-collector, the ticket and the note with which we buy our ticket. When we reach the station we take a taxi which is numbered and driven by a driver similarly numbered; on arrival at our hotel we become a number ourselves. Our profession, age, date of arrival and departure are all reckoned in numbers. When we have booked a room, we become a number, 42 perhaps, and if we are so unfortunate as to forget our number we seem to have forgotten ourselves. If we mistake it, we run the risk of being taken for a thief, or worse. The number is on the disc hanging from the key in our room; it is above the letter rack in the hall; every morning we find it chalked on the soles of our shoes, and we continually see it on the door of our room, and, finally, we find it on the bill. We grow so used to our number that it becomes part of us; if we have a parcel sent to the hotel, we give the number 42; however important we may be, to the porter and the chambermaid we are simply No. 42.

Everything is indeed numbered. Even we ourselves are numbered. And as Paoli (1990, p. 140) continues, this great ease in identifying everything is supposedly “a result of our position as modern civilised men.” These ubiquitous ID numbers (which include addresses) follow us everywhere, and not unexpectedly as Paoli also reckons, have almost become a part of our personalities. On extending this notion Paoli (1990, p. 140) reminds us that even if one finds themselves homeless, without an income, without any hope for the future, they still have their ID number. In a similar light what should be underscored is the increasing requirement today towards obligatory practices to do business with one’s ID number(s). Whether making a transaction over the counter, through the mail, or on the telephone, service providers have become more interested in

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our customer reference number than our name. One is led to a justifiable conclusion of whether in amongst all these manufactured numbers, we are little by little, losing our natural right to be called by our given name, and hence allowing for the defeat of our identity. 4.5.

Conclusion

Given the importance of history in the SI framework and evolutionary theory, this chapter was required to understand the context in which development in auto-ID has occurred from its very beginnings. Tracing the path from manual identification through to automatic identification some conclusions may be drawn. First, the practice of identification has been sourced to very ancient times. Second, throughout history manual ID of humans was not always a voluntary modus operandi, especially in the enforced tattooing of individuals by some extreme groups. Third, the identification processes and procedures that were developed before automation were replicated after automation and dramatically enhanced because computer technology allowed for more powerful processing of information. Legacy systems however did impact automation. Fourth, the success of auto-ID was dependent on the rise of information technology. In many ways auto-ID was limited by a variety of hardware and software system components. As soon as these became feasible options for service providers, both in affordability and usability, auto-ID flourished. Fifth, the widespread adoption and acceptance of auto-ID by citizens is indicated in that people carry so many different ID devices for so many different applications. Sixth, one could safely forecast that auto-ID will become even more prominent in the future as e-commerce facilitates the individual to make transactions “anywhere, anytime”. What follows are a series of case studies that depict a historical account of the introduction, rise and proliferation of five automaticID technologies and ten embedded applications. These cases will assist in understanding the auto-ID innovation process better and in predicting the technological trajectory of auto-ID.

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5.

The Development of Auto-ID Technologies

As I have shown in the Literature Review (ch. 2), a thorough assessment of autoID indicates that there are a large number of techniques and devices available. While studying each of these auto-ID technologies in-depth is beyond the scope of this investigation, the more prominent ones will be examined using a qualitative case study methodology.1 In this chapter the story behind the development of individual auto-ID technology will be explored. First to highlight the importance of incremental innovation within auto-ID; second to show the growth of the auto-ID selection environment as being more than just bar code and magnetic-stripe technology; third to point to the notion of technological trajectory as applied to auto-ID; fourth to highlight the occurrence of creative symbiosis taking place between various auto-ID devices; and fifth to establish a setting in which results in the forthcoming chapters can be interpreted. The high-level drivers that led to each invention will also be presented here as a way to understand innovation in the auto-ID industry. 5.1.

Bar Codes 5.1.1. Revolution at the Check-out Counter Of all the auto-ID technologies in the global market today, bar code is the most

widely used.2 Ames (1990, p. G-1) defines the bar code as: an automatic identification technology that encodes information into an array of adjacent varying width parallel rectangular bars and spaces.

The technology’s popularity can be attributed to its application in retail, specifically in the identification and tracking of consumer goods. Before the bar code, only manual identification techniques existed. Handwritten labels or carbon-copied paper were attached or stuck to ‘things’ needing identification. In 1932 the first study on the

1

For example other technologies like optical character recognition (OCR), magnetic-ink character recognition (MICR), laser card, optical card, infrared-tags and microwave tags will not be studied here. 2 According to Cohen (1994, p. 55) “...bar code technology is clearly at the forefront of automatic identification systems and is likely to stay there for a long time.” Palmer (1995, p. 9) also writes that “bar code has become the dominant automatic identification technology”. 92

The Development of Auto-ID Technologies

automation of supermarket checkout counters was conducted by Wallace Flint. Subsequently in 1934 a patent was filed presenting bar code-type concepts (Palmer 1995, p. 11) by Kermode and his colleagues. The patent described the use of four parallel lines as a means to identify different objects. Yet it was not until the mid-1950s when digital computers began to be used more widely for information storage, that the introduction of automated identification and data collection techniques became feasible. In 1959 a group of railroad research and development (R&D) managers (including GTE Applied Research Lab representatives) met in Boston to solve some of the rail industry’s freight problems. By 1962 Sylvania (along with GTE) had designed a system which was implemented in 1967 using colour bar code technology (Collins & Whipple 1994, p. 8). In 1968, concentrated efforts began to develop a standard for supermarket point-of-sale which culminated in the RCA developing a bull’s eye symbol to be operated in the Kroger store in Cincinnati in 1972 (Palmer 1995, p. 12). Until then, bar codes in retail were only used for order picking at distribution centres (Collins & Whipple 1994, p. 10). But it was not the bull’s eye bar code that would dominate but the Universal Product Code (UPC) standard. The first UPC bar code to cross the scanner was on a packet of Wrigley’s chewing gum at Marsh’s supermarket in Ohio in June 1974 (Brown 1997, p. 5). Within two years the vast majority of retail items in the United States carried a UPC. Bar code technology increased in popularity throughout the 1980s as computing power and memory became more affordable,3 and consumer acceptance increased. An explosion of useful applications was realised. Via the retail industry alone, the bar code had permeated a global population in just a short period of time. The changes in the check-out process did not go unnoticed. It changed the way consumers bought goods, the way employees worked and how businesses functioned. In terms of bar code developments, the 1990s have been characterised by an attempt to evolve standards and encourage uniformity. This has been particularly important in the area of supply chain management (SCM). For a history of bar code see table 5.1 on the following page.4

3

This enabled programs and peripheral devices (complementary innovations) to be built to support bar codes for the identification and capture of data. A bar code can only work within a system environment. Bar code labels in themselves are useless.

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Table 5.1 Timeline of the History of Auto-ID Year 1642 1800 1801 1803 1833 1850 1859

1890

1932 1934

Event Pascal’s numbering machine Infrared radiation Ultraviolet radiation Accumulator Babbage’s proposed analytical engine Faraday’s Thermistor had many of the elements needed for auto-ID Hollerith’s tabulating machine used punched cards for data input and was used to enter data for the 1890 US census P. G. Nipkow invented sequential scanning, whereby an image was analysed line by line

Year 1960 1961 1968 1970 1970

Event Improved photo-conductive detectors Bar codes on rail cars, invented by F. H. Stites Two-of-five (2-of-5) code by Jerry Wolfe Charged coupled devices Modern industrial applications of bar code

1972

Codabar

1972

Interleaved 2 of 5 invented by David Allais

1972

Wallace Flint’s thesis on auto identification for supermarkets using punched cards Frequency standards

1973

First major multi-facility installation, at General Motors in which engines and axles were bar coded with Interleaved 2 of 5. Initial installations by David Collins and Computer Identics, the first significant continuing company to be into bar codes 100% followed by Al Wurz and AccuSort U.P.C adopted

1974

1939

Digital computers with card and switch input

1974

1943

ENIAC computer using punched card input CRT input from pulses on the face of the CRT

1977

1947

Quality amplifier circuits

1948

Information theory

19811982 1982

1946

1979

Marsh supermarket in Troy, Ohio, the first store using U.P.C. bar codes regularly Code 39, the first practical alphanumeric bar code invented by David Allais and Ray Stevens of INTERMEC Corporation EAN-adopted Codabar selected by the American Blood Commission General Motors developed identification and traceability program for automobile parts using Code 39 and Interleaved 2 of 5 autodiscriminantly Code 93 and Code 128 introduced

British Army develops bar code system for military items. U.S. Department of Defence LOGMARS program for replacement of parts using Code 39 1949 Patent applied for by Norm 1984 US Health Industry bar code standard using Woodland for a circular bar code Code 39 1960 Light-emitting diodes 1987 Code 49 and Code 16, high-density, stacked codes developed This table has been compiled using numerous sources, but primarily LaMoreaux (1998, pp. 52-53). It is not meant to be exhaustive but it does highlight the major bar code related developments.

5.1.2. The Importance of Symbologies When examining the technical features of the bar code it is important to understand symbologies, also known as configurations. There are many different types

4

See also Palmer (1995, ch. 3), ‘History of Bar Code’. 94

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of symbologies that can be used to implement bar codes, each with its distinct characteristics.5 New symbologies are still being introduced today. As Cohen (1994, p. 55) explains a symbology is a language with its own rules and syntax that can be translated into ASCII code.6 Common to all symbologies is that the bar code is made up of a series of dark and light contiguous bars (Collins & Whipple 1994, pp. 20-24).7 When the bar code is read (by a device called a scanner), light is illuminated onto the bars. This pattern of black and white spaces is then reflected (like an OFF/ON series) and decoded using an algorithm. This special pattern equates to an identification number but can be implemented using any specification. For instance, the major linear bar code symbologies include: Interleaved 2 of 5,8 Code 399 (also known as code 3-of9), EAN 13,10 U.P.C. 8 and Code 12811. Major two-dimensional symbologies, known

5 Each symbology has benefits and limitations. It is important for the adopter of bar code technology to know which symbologies are suitable to their particular industry. Standards associations and manufacturers can also help with a best-fit recommendation (Grieco et al. 1989, pp. 43-45). Other considerations may include: what character sets are required by the company, what the required level of accuracy of the symbology should be, whether the symbology allows for the creation and printing of a label (in terms of density), and whether the symbology has specifications that make it intolerant to particular circumstances. Sometimes there may also be pressure by industry groups for users to conform to certain symbologies. As Cohen (1994, p. 99f) points out, there are some bodies that have created industrial bar code standards such as: ODETTE (Organisation for Data Exchange by Tele Transmission in Europe) that adopted Code 39; IATA (International Air Transport Authority) that adopted Interleaved 2 of 5; HIBCC (Health Industry Business Communication Council) that adopted Code 39 as well as Code 128; and LOGMARS (Logistic Applications of Automated Marking and Reading Symbols) that has also adopted Code 39. 6 For an in depth discussion on symbologies see LaMoreaux (1998, ch. 4), Palmer (1995, ch. 4), Collins and Whipple (1994, ch. 2) and Greico et al. (1989, ch. 2). Palmer especially dedicates whole appendices to the most common specifications and their characteristics. 7 Each bar code differs based on the width of the bars. Of particular importance is the width of the narrowest bar which is called the ‘X dimension’ (usually measured in millimetres) and the number of bar widths. Essentially, this defines the character width- the amount of bars needed to encode data. 8 Interleaved 2 of 5 is based on a numeric character set only. Two characters are paired together using bars. The structure of the bar code is made up of a start quiet zone, start pattern, data, stop pattern and trail quiet zone. According to Palmer (1995, p. 29) it is mainly used in the distribution industry. 9 Code 39 is based on a full alphabet, full numeric and special character set. It consists of a series of symbol characters represented by five bars and four spaces. Each character is separated by an intercharacter gap. This symbology was widely used in non-retail applications. 10 The bar code is made up of light and dark bars representing 1s and 0s. The structure of the bar codes includes three guard bars (start, centre and stop), and left and right data. The bar codes can be read in an omni-directional fashion as well as bi-directional. Allotted article numbers are only unique identification numbers in a standard format and do not classify goods by product type. Like the Interleaved 2 of 5 symbology, EAN identification is exclusively numerical. The structure of the EAN and U.P.C. includes (i) the prefix number that is an organisation number that has been preset by EAN, and (ii) the item identification that is a number that is given to the product by the country-specific numbering organisation. The U.P.C. relevant only to the U.S. and Canada does not use the prefix codes as EAN does but denotes the prefix by 0, 6, or 7. 11 According to Palmer (1995, p. 37), Code 128 has been increasingly adopted because it is a highlydense alphanumeric symbology that allows for variable length and multiple element widths.

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The Development of Auto-ID Technologies 12

also as area symbologies, include Data Matrix , MaxiCode,13 and PDF417.14 The 2D bar code configuration has increased the physical data limitations of the linear configurations. End-users are now able to store larger quantities of information on bar codes with many company-defined fields. Contrarily, linear bar codes should never extend to more than 20 characters as they become difficult to read by scanners.15 Other linear and 2D bar code symbologies include: Plessey Code, Matrix 2 of 5, Nixdorf Code, Delta Distance A, Codabar,16 Codablock, Code 1, Code 16K, Code 11, Code 39, Code 49, Code 93, Code 128, MSI Code, USD-5, Vericode, ArrayTag, Dotcode. Of the significant incremental innovations to bar code technology has been bar coding small sized objects and the reading of different symbologies using a single hardware device. In 1996 the UCC and EAN recognised the need for a symbology that could be applied to small-sized products such as microchips and health care products. The UCC and EAN Symbol Technical Advisory Committee (STAC) identified a solution that was able to incorporate the benefits of both linear and 2D bar codes. The symbol class is called Composite Symbology (CS), and the family of bar codes is called Reduced Space Symbology (RSS). It has been heralded as the new generation of bar codes because it allows for the co-existence of symbologies already in use (Moore & Albright 1998, pp. 24-25). The biggest technical breakthrough (conceived prior to the 1990s) was autodiscrimination. This is the ability for a bar code system to read more than one symbology by automatically detecting which symbology has been used and converting the data to a relevant locally-used symbology using look-up tables. This not only allows the use of several different types of symbologies by different companies but has enormous implications for users trading their goods across geographic markets.

12

With the introduction of the Data Matrix symbology even more information could be packed onto a square block. Since the symbology is scalable it is possible to fit hundreds of thousands of characters on a block. Data Matrix used to be a proprietary technology until it became public in 1994. 13 As opposed to the light and dark bars of the EAN symbology, MaxiCode is a matrix code which is made up of a series of square dots, an array of 866 interlocking hexagons. On each 3cm by 3cm square block, about 100 ASCII characters can be held. It was developed by the United Parcel Service for automatic identification of packages. 14 Like the MaxiCode symbology, PDF417 is stacked. The symbology consists of 17 modules each containing 4 bars and spaces. The structure allows for between 1000 and 2000 characters per symbol. 15 Collins and Whipple (1994, p. 41) suggest a maximum of 50 characters when using linear symbologies. 16 According to Palmer (1995, p. 31) Codabar was developed in 1972 and is used today in libraries, blood banks and certain parcel express applications. Collins and Whipple (1994, p. 28) do not consider Codabar a sophisticated bar code symbology, though it has served some industry groups well for decades. 96

The Development of Auto-ID Technologies

5.1.3. Bar Code Limitations A technical drawback of the bar code itself is that it cannot be updated. Once a bar code is printed, it is the identifier for life. In many applications this is not presented as a problem, however it does make updating the database where data is stored a logistical nightmare. Unlike other auto-ID technologies that can be reprogrammed, a bar code database once set up is difficult to change; it is easier (in some instances) to relabel products. It should also be noted that labels print quality can decline with age, depending on the quality of the material used for the label, the number of times the label has been scanned, environmental conditions and packaging material. “[I]t is possible (especially with marginal quality bar codes) for the bar code read today… not to be read by the same reader tomorrow” (Cohen 1994, p. 93). Verification, also known as quality assurance, is required during the production process to ensure that bar codes are made without defects. Problems that can be encountered include: undersized quiet zones, underburn/overburn, voids, ribbon wrinkling, short or long bar codes, transparent or translucent backgrounds, missing information which is human-readable, symbol size or font is incorrect, spread or overlays, location on packaging, roughness and spots. For this purpose, quality analysis should be seen as compulsory.17 5.2.

Magnetic-Stripe Cards

Almost simultaneously that the retail industry underwent revolutionary changes with the introduction of bar code, the financial industry adopted magnetic-stripe card technology. What is of interest is that both bar code and magnetic-stripe card enjoyed limited exposure when they were first introduced in the late 1960s. It took about a decade for the technologies to become widespread. Each overcame a variety of obstacles. Coupled together, the two techniques were major innovations that affected the way that consumers carried out their day-to-day tasks. The technologies went hand in hand, on the one side were the actual commodities consumers purchased and on the other was the means with which to purchase them (see exhibit 5.1 on the following page). Yet, the bar code differed from magnetic-stripe card in that it was more a serviceenabler offered by retailers to consumers, in addition to being effective in business back-end operations. The magnetic-stripe card however, had a more direct and personal

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The Development of Auto-ID Technologies

impact on the cardholder, as it was the individual’s responsibility to maintain it. The consumer had to carry it, use it appropriately, and was liable for it in every way.18 Please see print copy for Exhibit 5.1

Exhibit 5.1 Bar Codes and Magnetic-Stripe Cards Revolutionise the Check-out Counter

5.2.1. The Virtual Banking Revolution (24x7) Plain card issuing became popular in the 1920s when some United States retailers and petrol companies began to offer credit services to their customers. McCrindle (1990, p. 15) outlines the major developments that led to the first magneticstripe being added to embossed cards in 1969. By the 1920s the idea of a credit card was gaining popularity... These were made of cardboard and engraved to provide some security... The 1930s saw the introduction of some embossed metal and plastic cards... Embossed cards could be used to imprint information on to a sales voucher... Diners Club introduced its charge card in 1950 while the first American Express cards date from the end of the 1950s.

Magnetic-stripe cards made their debut more than a decade after computer technology was introduced into the banking system in the 1950s. Until that time computers were mainly used for automating formerly manual calculations and financial processes rather than offering value-added benefits to bank customers (Essinger 1999, p. 66). One of the first mass mail-outs of cards to the public was by credit card pioneer, Chuck Russell19 who launched the Pittsburgh National Charge Plan. Out of the one hundred thousand cards that were sent to households about fifty per cent of them were returned, primarily

17

For the “ten commandments of bar coding”, see Meyer’s (2000) feature article in the August edition of Frontline News. 18 Certainly bar codes on cards were being used early on but they were far less secure than magnetic stripe cards and therefore not adopted by financial institutions. Magnetic-stripe cards however became synonymous with the withdrawal of cash funds and the use of credit which acted to heighten the importance of the auto-ID technology. 19 Russell was a creative thinker who later went on to become the chairman of Visa International in the 1980s. 98

The Development of Auto-ID Technologies

because consumers did not know what to do with them or how to use them. Cash remained the preferred method of payment for some time. Historically, embossed cards had made an impact on the market, particularly on the financial services industry. Financial transaction cards (FTC) were widespread by the late 1970s and large firms that had invested heavily in embossed-character imprinting devices needed time to make technological adjustments (Bright 1988, p. 13). Jerome Svigals (1987, p. 28f) explained the integration of the embossed card and the new magnetic-stripe as something that just had to happen: It would take a number of years before an adequate population of magneticstripe readers became available and were put into use. Hence, providing both the embossing and stripe features was a transition technique. It allowed issued cards to be used in embossing devices while the magnetic-stripe devices built up their numbers.

Today magnetic-stripe cards are the most widely used card technology in the world (Kaplan 1996, p. 68), and they still have embossed characters on them for the cardholder’s name, card expiry date, and account or credit number. This is just one of many examples showing how historical events have influenced future innovations. As Svigals (1987, p. 29) noted fifteen years ago, it is not clear when or even if, embossing will eventually be phased out. Hence, his prediction that the smart card would start its life as “...a carrier of both embossed and striped media.” These recombinations are in themselves new innovations even though they are considered interim solutions at the time of their introduction; they are a by-product of a given transition period that continues for a time longer than expected. Perhaps here also can be found the reason why so many magnetic-stripe cards still carry bar codes also.20 Essinger (1999, p. 80) describes this phenomenon by describing technology as being in a constant state of change. No sooner has a major new innovation been introduced than yet another incremental change causes a more powerful, functional, and flexible innovation to be born. Essinger uses the example of the magnetic-stripe card and subsequent smart card developments, cautioning however, that one should not commit the “cardinal sin of being carried away by the excitement of new technology and not stopping to pause to 20

The bar code on the same card can be advantageous to the card issuer. For instance, in an application for a school it can serve a multifunctional purpose: the bar code can be used for a low risk application such as in the borrowing of books, the magnetic-stripe card in holding student numbers, and the embossing can also be used for back up if on-line systems fail. 99

The Development of Auto-ID Technologies

ask whether there is a market for it.” He writes (1999, p. 80) “what matters is not the inherent sophistication of technology but the usefulness it offers to customers and, in extension, the commercial advantage it provides”. 5.2.2. Encoding the Magnetic-strip The magnetic stripe technology had its beginnings during World War II (Svigals 1987, p. 170). Magnetic-stripe cards are composed of a core material such as paper, polyester or PVC. Typically, plastic card printers use either thermal transfer or dye sublimation technology.21 The process as outlined on a manufacturer’s web page is quite basic:22 ...you simply insert the ribbon and fill the card feeder. From there, the cards are pulled from the card feeder to the print head with rollers. When using a 5 panel colour ribbon the card will pass under the print head and back up for another pass 5 times. When all the printing is complete, the card is then ejected and falls into the card hopper.

Finally, the magnetic-strip23 (similar to that of conventional audio tapes) is applied to the card and a small film of laminated patches is overlaid. The strip itself is divided laterally into three tracks, each track designed for differing functions (see table 5.2 on the following page). Track 1 developed by IATA, is used for transactions where a database requires to be accessed such as an airline reservation. Track 2, developed by the ABA contains account or identification number(s). This track is commonly used for access control applications and is written to before the card is despatched to the cardholder so that every time it is presented it is first interrogated by the card reading device. As Bright (1988, p. 14) explains: ...[t]he contents, including the cardholder’s account number, are transferred directly to the card issuer’s computer centre for identification and verification purposes. This on-line process enables the centre to confirm or deny the terminal’s response to the presenter...

Finally, Track 3 is used for applications that require data to be updated with each transaction. It was introduced some time after Tracks 1 and 2. It contains an encoded version of the personal identity number (PIN) that is private to each individual card. The 21

The advantage of dye sublimation over thermal transfer is the millions of colours that can be created by heat intensity. If colour is required by the operator on both sides then one side of the card is coloured first before the other but this is expensive. 22 See http://www.eltron.com/Support/a-faq_card.htm (1998).

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cardholder must key in the PIN at a terminal that is then compared with the PIN verification value (PVV) to verify a correct match. Table 5.2 Magnetic-strip Track Description

Please see print copy for Table 5.2

This table has been compiled using Bright (1988, p. 14).

Each magnetic-stripe card is magnetically encoded with a unique identification number. This unique number is represented in binary on the strip. This is known as biphase encodation. When the strip is queried, the 1s and 0s are sent to the controller in their native format and converted for visual display only into decimal digits. When magnetic-stripe cards are manufactured they do not have any specific polarity. Data is encoded by creating a sequence of polarised vertical positions along the stripe.24 Mercury Security Corporation explains this process in detail.25 When choosing a magnetic-stripe card for an application the following issues should be taken into consideration. First, should the magnetic-stripe be loco or hico. Hico stripes can typically withstand 10 times the magnetic field strength of loco stripes. Most stripes today are hico so that they are not damaged by heat or exposure to sunlight and by other magnets. Second, which track should the application use to encode data, track one, two or three. One should be guided by ANSI/ISO standards here that recommend particular applications to particular tracks. Other considerations include whether the card requires 23 The magnetic-strip, typically gamma ferric oxide “...is made of tiny needle-shaped particles dispersed in a binder on a flexible substrate” (Jose & Oton 1994, p. 16). 24 An important concept in understanding how tracks are triggered to change polarity is coercivity (measured in Oersted, Oe). This can be defined as the amount of magnetic energy or solenoid required which can be broadly defined as low (about 300 Oe) and high (3000-4000 Oe). Most ATM cards are said to have low coercivity (loco) while access control cards have high coercivity (hico) to protect against accidental erasure. Here is one reason why embossed account numbers still appear on ATM or credit cards. If the card has been damaged, information can be manually retrieved and identified (from the front of the card) while the replacement card is despatched. 25 “The magnetic media is divided into small areas with alternating polarisation; the first area has North/South polarisation, and the next has South/North, etc. In order to record each “0” and “1” bit in this format, a pattern of “flux” (or polarity) changes is created on the stripe. In a 75bpi (bits per inch) format, each bit takes up 1/75th (0.0133) of an inch. For each 0.0133” unit of measure, if there is one flux change,

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lamination, to be embossed or watermarked and whether the card will follow ISO card dimensions? The cost of the card chosen should also be considered as it can vary significantly (see table 5.3). Table 5.3 Magnetic Stripe Card Types Type Feature Typical Cost 7 mm paper Cheap 1 cent 10 mm PET Durable 8 cents 30 mm PVC Emboss 25 cents PET laminate Versatile 50 cents PVC D2T2 Graphics 75 cents This table is based on 1999 price estimates.

5.2.3. Magnetic-stripe Drawbacks The durability of magnetic-stripe cards often comes into question. “Magnetic stripes can be damaged by exposure to foreign magnetic fields, from electric currents or magnetised objects, even a bunch of keys” (Cohen 1994, p. 27). This is one reason why so many operators have expiry dates on cards they issue. According to Svigals (1987, p. 185), “[m]agnetic stripes have been tested and are generally specified to a two-year product life by the card technology standards working groups.” Another drawback is that once a magnetic-stripe has been damaged, data recovery is impossible (Cohen 1994, p. 29). Another way that a magnetic-stripe card can be worn out is if it has been read too many times by a reader.26 Svigals (1987, p. 36) is more explicit in describing the limitations of magnetic-stripe by writing that “[m]ost knowledgeable tape experts readily admit that the magnetic stripe content is: readable, alterable, modifiable, replaceable, refreshable, skimmable, counterfeitable, erasable, simulatable.”27

The

magnetic-stripe has rewrite capability and data capacity ranges from 49-300 characters. The latter is clearly a handicap when a chosen application(s) requires the addition of new data or features. While linear bar codes are even more limited as has been explained above, magnetic-stripe may still not be suitable for a particular solution. Another issue that requires some attention is security. As Bright explains (1998, p. 15): then a zero bit is recorded. If two flux changes occur in the 0.0133” area, then a one bit is recorded.” See http://www.mercury-security.com/howdoesa.htm (1998). 26 The read head has a small surface window (known as the field of view) that comes into direct contact with the magnetic-stripe. When a card is passed through or inserted in a reader a read head generates a series of electrical pulses. These alternating voltages correspond to alternating polarities on the magneticstripe. Per bit length, the reader counts the changes in polarity that are then decoded by the reader’s electronics to recover the information that is hidden on the card. 27 Jose and Oton (1994, p. 20) explain in detail the primary methods of magnetic-stripe fraud. These include: theft, counterfeit, buffering, and skimming. See also Watson (2002). 102

The Development of Auto-ID Technologies [t]he primary problem may be described with one word ‘passivity’; lacking any above board intelligence, the magnetic stripe card must rely on an external source to conduct the positive checking/authentication of the card and its holder. This exposes the system to attack. The scale of the problem exacerbated by the relative ease of obtaining a suitable device with which to read and amend the data stored in the stripe.

There are however, numerous innovators that continue to believe that magnetic-stripe technology still has a future and they are researching means to make the technology more secure. For example, “ValuGard from Rand McNally relies on imperfections and irregularities of standard magnetic stripes... XSec from XTec employs the natural jitter of the encoded data to produce a security signature of the card... Watermark Magnetics from Thorn EMI involves modifications in the structure of the magnetic medium” (Jose & Oton 1994, p. 21f). 5.3.

Smart Cards 5.3.1. The Evolution of the Chip-in-a-Card

The history of the smart card begins as far back as 1968. By that time magneticstripe cards while not widespread, had been introduced into the market. Momentum from these developments, together with advancements in microchip technology made the smart card a logical progression. Two German inventors, Jürgen Dethloff and Helmut Grötrupp applied for a patent to incorporate an integrated circuit into an ID card (Rankl & Effing 1997, p. 3). This was followed by a similar patent application by Japanese academic, Professor Kunitaka Arimura in 1970. Arimura was interested in incorporating “one or more integrated circuit chips for the generation of distinguishing signals” in a plastic card (Zoreda & Oton 1994, p. 36). His patent focused on how to embed the actual micro circuitry (Lindley 1997, p. 13). In 1971 Ted Hoff from the Intel Corporation also succeeded in assembling a computer on a tiny piece of silicon (Allen & Kutler 1997, p. 2). McCrindle (1990, p. 9) made the observation that the evolution of the smart card was made possible through two parallel product developments- the microchip and the magnetic-stripe card- that merged into one product in the 1970s. However, it was not until 1974 that previous chip card discoveries were consolidated. Roland Moreno’s smart card patents and vision of an electronic bank manager triggered important advancements, particularly in France. In that year, Moreno successfully demonstrated his electronic payment product by simulating a transaction using an 103

The Development of Auto-ID Technologies

integrated circuit (IC) card. What followed for Moreno, and his company Innovatron, was a batch of patents among which was a stored-value application mounted on a ring which connected to an electronic device. Other subsequent important chip card patents can be seen in table 5.4. Table 5.4 Significant Chip Card Patents After 1974

Please see print copy for Table 5.4

This table has been compiled using Kaplan (1996, p. 228).

By the late 1970s the idea of a chip-in-a-card had made a big enough impression that large telecommunications firms were committing research funds towards the development of IC cards. In 1978 Siemens built a memory card around its SIKART chip which could function as an identification and transaction card (see exhibit 5.2 on the following page). Despite early opposition to the new product it did not take long for other big players to make significant contributions to its development. In 1979 Motorola supplied Bull with a microprocessor and memory chip for the CP8 card. In July of that year Bull CP8’s two-chip card was publicly demonstrated in New York at American Express. French banks were convinced that the chip card was the way of the future and called a bid for tender by the seven top manufacturers at the time: CII-HB, Dassault, Flonic-Schlumberger, IBM, Philips, Transac and Thomson. Ten French banks with the support of the Posts Ministry created the Memory Card Group in order to launch a new payment system in France. Such was the publicity generated by the group that more banks began to join in 1981, afraid they would be left behind as the new technology was trialled in Blois, Caen and Lyon. Additionally, the US government awarded a tender to Philips to supply them with IC identification cards. By 1983 smart cards were being trialled in the health sector to store vaccination records and to grant building access to hemodialysis patients.

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Please see print copy for Exhibit 5.2

Exhibit 5.2 Examples of Early Smart Cards Prior to the 1990s

It was during this period in the early 1980s that the French recognised the potential of smart cards in the provision of telephony services. The first card payphones were installed by Flonic Schlumberger for France Telecom and were called Telecarte. By 1984 Norway had launched Telebank, Italy the Tellcard, and Germany the Eurocheque. A number of friendly alliances began between the large manufacturers who realised they could not achieve their goals in isolation. Bull and Philips signed agreements with Motorola and Thomson respectively. Meanwhile, MasterCard International and Visa International made their own plans for launching experimental applications in the United States. In 1986 Visa published the results of its collaborative trials with the Bank of America, the Royal Bank of Canada and the French CB group. The “...study show[ed] that the memory card [could] increase security and lower the costs of transactions” (Cardshow 1996, p. 1). Visa quickly decided that the General Instrument Corporation Microelectronics Division would manufacture their smart cards. The two super smart card prototypes were supplied by Smart Card International and named Ulticard (see exhibit 5.2 above). In 1987 MasterCard decided to spend more time reviewing the card’s potential and continued to conduct market research activities. Issues to do with chip card standardisation between North America and Europe became increasingly important as more widespread diffusion occurred. Today it can be said that a microprocessor explosion has occurred. “Smart cards are part of the new interest in ‘wearable’ computing. That’s computing power so cheap and small it’s always with you” (Cook 1997, p. xi). The progress toward the idea of ubiquitous computing is quite difficult to fathom when one considers that the creditcard sized smart card possesses more computing power than the 1945 ENIAC computer which: “...weighed 30 tonnes, covered 1500 square feet of floor space, used over 17000 vacuum tubes... 70000 resistors, 10000 capacitors, 1500 relays, and 6000 manual switches, consumed 174000 W of power, and cost about $500000” (Martin 1995, p. 3f).

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Today’s smart card user is capable of carrying a ‘mental giant’ in the palm of their hand. Smart cards can be used as payment vehicles, access keys, information managers, marketing tools and customised delivery systems (Allen & Kutler 1997, pp. 10-11). Many large multinational companies have supported smart card technology because the benefits are manifold over other technologies. It was projected that by the year 2000, an estimated volume of smart-card related transactions would exceed twenty billion annually (Kaplan 1996, p. 10). Michael Ugon, a founding father of smart card, said in 1989 that the small piece of plastic with an embedded chip was destined to “...invade our everyday life in the coming years, carrying vast economical stakes” (Ugon 1989, p. 4). McCrindle (1990, p. ii) likewise commented that the smart card “...ha[d] all the qualities to become one of the biggest commercial products in quantity terms this decade”. And the French in 1997 were still steadily pursuing their dream of a smart city, “...a vision made real by cards that [could] replace cash and hold personal information (Amdur 1997, p. 3). Currently, while there is a movement by the market to espouse smart card technology, numerous countries and companies continue to use magneticstripe cards. 5.3.2. Memory and Microprocessor Cards As Lindley (1997, p. 15f) points out there is generally a lack of agreement on how to define smart card. This can probably be attributed to the differences not only in functionality but also in the price of various types of smart cards. According to Rankl and Effing (1997, pp. 12-14) smart cards can be divided into two groups: memory cards and microprocessor cards (contact/contactless).28 As described by Allen and Kutler (1997, p. 4) memory cards are: ...primarily information storage cards that contain stored value which the user can “spend” in a pay phone, retail, vending, or related transaction.

Memory cards are less flexible than microprocessor cards because they possess simpler security logic. Additionally only basic coding can be carried out on the more advanced memory cards. However, what makes them particularly attractive is their low cost per 28

Ferrari et al. 1998, dedicate a whole chapter to the card selection process in their IBM Redbook (ch. 4). Card selection considerations should include the card type, interface method, storage capacity, card operating functions, standards compliance, compatibility issues and reader interoperability, security features, chip manufacturers, card reliability and life expectancy, card material and quantity and cost. It is

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unit to manufacture, hence their widespread use in pre-paid telephone and health insurance cards. The other type of smart card, the microprocessor card is defined by the International

Standards

Organisation

(ISO)

and

the

International

Electronic

Commission (IEC), as any card that contains a semiconductor chip and conforms to ISO standards (Hegenbarth 1990, p. 3). The microprocessor actually contains a central processing unit (CPU) which ...stores and secures information and makes decisions, as required by the card issuer’s specific application needs. Because intelligent cards offer a read/write capability, new information can be added and processed (Allen & Kutler 1997, p. 4).

The CPU is surrounded by four additional functional blocks: read only memory (ROM), electrical erasable programmable ROM (known as EEPROM), random access memory (RAM) and the input/output (I/O) port. The Smart Card Forum Committee (1997, p. 237) outlines that the card is: ...capable of performing calculations, processing data, executing encryption algorithms, and managing data files. It is really a small computer that requires all aspects of software development. It comes with a Card Operating System (COS) and various card vendors offer Application Programming Interface (API) tools.

One further variation to note is that microprocessor cards can be contact, contactless (passive or active) or a combination of both. Thus users carrying contactless cards need not insert their card in a reader device but simply carry them in their purse or pocket. While the contactless card is not as established as the contact card it has revolutionised the way users carry out their transactions and perceive the technology. For an exhaustive discussion on different types of smart cards from ROM to FRAM to EEPROM see Rankl and Effing (1997, pp. 40-60). 5.3.3. Standards and Security Smart card dimensions are typically 85.6 mm by 54 mm. The standard format ‘ID-1’ stipulated in ISO 781029 was first created in 1985 for magnetic-stripe cards. As smart cards became more popular, ISO made allowances for the microchip to be

interesting to note that even within smart card there are so many options. Taken within a wider context of other auto-ID technologies, the selection process becomes even more complex. 29 Other important standards related to smart card include: ISO 7811 parts 1-6, ID Cards; ISO 7816 parts 1-8, contact IC cards; ISO 10536 parts 1-4, close coupling cards; and ISO 14443 parts 1-4, remote coupling cards. For these and other supporting standards for smart cards see Ferrari et al. (1998, p. 3). 107

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included in the standard.

30

Smaller smart cards have been designed for special

applications such as GSM handsets; these are ID-000 format known as the ‘plug-in’ card and ID-00 known as the ‘mini-card’ (Rankl & Effing 1997, p. 21). In contact smart cards, a power supply requires to have physical contact for data transfer. The tiny goldplated 6-8 contacts are defined in ISO 7816-2. As a rule, if a contact smart card contains a magnetic-stripe, the contacts and the stripe must never appear on the same size. Each contact plays an important role. Two of the eight contacts have been reserved (C4 and C8) for future functions but the rest serve purposes such as supply voltage (C1), reset (C2), clock (C3), mass (C5), external voltage for programming (C6), and I/O (C7). Contactless smart cards on the other hand work on the same technical principles that animal transponder implants do. For simple solutions the card only needs to be read so that transmission can be carried out by frequency modulation for instance.31 Several different types of materials are used to produce smart cards. The first well-known material (also used for magnetic-stripe cards) is PVC (polyvinyl chloride). PVC smart cards however, were noticeably non-resistant to extreme temperature changes, so ABS (acrylonitrile-butadiene-styrol) material has been used for smart cards for some time. PVC cards have been known to melt in climates that reach consistent temperature of 30 degrees celsius. For instance, when the ERP system was launched in Singapore in 1998 a lot of people complained that melting smart cards had destroyed their card readers. Among the group who reported the most complaints to local newspapers were taxi drivers, who were driving for long periods of time. Similarly card errors often occur to mobile handsets that have been left in high temperatures. PET (polyethylene terephthalate) and PC (polycarbonate) are other materials also used in the production of smart cards. The two most common techniques for mounting a chip on the plastic foil is the TAB technique (tape automated bonding) and the wire bond technique. The former is a more expensive technique but is considered to have a stronger chip connection and a flatter finish; the latter is more economical because it uses similar processes to that of the semiconductor industry for packaging strips but is thicker in appearance. New processes have recently been developed to allow a card to be manufactured in a single process. Rankl and Effing (1997, p. 40) explain, “[a] printed 30

The standard size in the magnetic-stripe and smart cards gave way to the possibility of card migration.

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foil, the chip module and a label are inserted automatically into a form, and injected in one go”. Just like in magnetic-stripe technology, the most common method of user identification in smart cards is the PIN. The PIN is usually four digits in length (even though ISO 9564-1 recommends up to twelve characters), and is compared with the reference number in the card. The result of the comparison is then sent to the terminal which triggers a transaction- accept or reject. Additional to the PIN is a password which is stored in a file on the card and is transparently verified by the terminal. While the magnetic-stripe card relies solely on the PIN, smart card security is implemented at numerous hierarchical levels (Ferrari et al. 1998, pp. 11f). There are technical options for chip hardware (passive and active protective mechanisms), and software and application-specific protective mechanisms. With all these types of protection against a breach of security, logical and physical attacks are almost impossible (Rankl & Effing 1997, pp. 261-272). The encryption in smart cards is so much more sophisticated than that of the magnetic-stripe. Crypto-algorithms can be built into smart cards that ensure both secrecy of information and authenticity. External security features that can be added to the card include: signature strip, embossing, watermarks, holograms, biometrics, microscript, multiple laser image (MLI) and lasergravure. While the smart card is a secure auto-ID technology it has been argued that the device is still susceptible to damage, loss and theft. This has led to biometrics being stored on the smart card for additional security purposes (see exhibit 5.3 on the following page). Please see print copy for Exhibit 5.3

Exhibit 5.3 Sensar Iris Recognition Systems Integrated with Smart Card Technology

31

For an in depth discussion on smart cards standards and specifications, see Ferrari et al. 1998 ch. 3. 109

The Development of Auto-ID Technologies

5.4.

Biometrics 5.4.1. Leaving Your Mark

Biometrics is not only considered a more secure way to identify an individual but also a more convenient technique whereby the individual does not necessarily have to carry an additional device, such as a card. As defined by the Association for Biometrics (AFB) a biometric is “...a measurable, unique physical characteristic or personal trait to recognise the identity, or verify the claimed identity, of an enrollee.” The technique is not a recent discovery. There is evidence to suggest that fingerprinting was used by the ancient Assyrians and Chinese at least since 7000 to 6000 BC (O’Gorman 1999, p. 44). The practice of using fingerprints in place of signatures for legal contracts is hundreds of years old (Shen & Khanna, 1997 p. 1364).32 See table 5.5 on the following page for a history of fingerprint developments. It was as early as 1901 that Scotland Yard introduced the Galton-Henry system of fingerprint classification (Halici et al. 1999, p. 4; Fuller et al. 1995, p. 14). Since that time fingerprints have traditionally been used in law enforcement. As early as 1960, the FBI Home Office in the UK and the Paris Police Department began auto-ID fingerprint studies (Halici et al. 1999, p. 5). Until then limitations in computing power and storage had prevented automated biometric checking systems from reaching their potential. Yet it was not until the late 1980s when personal computers and optical scanners became more affordable that automated biometric checking had an opportunity to establish itself as an alternative to smart card or magnetic-stripe auto-ID technology. Table 5.5 History of Fingerprint Identification

Please see print copy for Table 5.5

This table has been compiled using Jain et al. (1997, pp. 1367-1368).

According to Parks (1990, p. 99), the personal traits that can be used for identification include: “facial features, full face and profile, fingerprints, palmprints, 32 It is believed that the first scientific studies investigating fingerprints were conducted some time in the late sixteenth century (Lee & Gaensslen 1994).

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footprints, hand geometry, ear (pinna) shape, retinal blood vessels, striation of the iris, surface blood vessels (e.g., in the wrist), electrocardiac waveforms.”33 Keeping in mind that the above list is not exhaustive, it is impressive to consider that a human being or animal can be uniquely identified in so many different ways.34 Unique identification, as Zoreda and Oton (1994, p. 165) point out, is only a matter of measuring a permanent biological trait whose variability exceeds the population size where it will be applied. As a rule however, human physiological or behavioural characteristics must satisfy the following requirements as outlined by Jain et al. (1997, pp. 1365f): 1) universality, which means that every person should have the characteristic; 2) uniqueness, which indicates that no two persons should be the same in terms of the characteristic; 3) permanence, which means that the characteristic should be invariant with time; and 4) collectability, which indicates that the characteristic can be measured quantitatively.

Currently nine biometric techniques are being used or under investigation in mainstream applications. These include face, fingerprint, hand geometry, hand vein, iris, retinal pattern, signature,35 voice print, and facial thermograms. Most of these major techniques satisfy the following practical requirements (Jain et al. 1997, p. 1366): 1) performance, which refers to the achievable identification accuracy, the resource requirements to achieve acceptable identification accuracy, and the working or environmental factors that affect the identification accuracy; 2) acceptability, which indicates to what extent people are willing to accept the biometric system; and 3) circumvention, which refers to how easy it is to fool the system of fraudulent techniques.

5.4.2. Biometric Diversity Since there are several popular biometric identification devices (see exhibit 5.4), some space must be dedicated to each. While some devices are further developed than others, there is not one single device that fits all applications. “Rather, some biometric Please see print copy for Exhibit 5.4

33 See Withers (2002) and Jain, A. et al (2002) for an overview of biometrics. For emerging biometric techniques see Lockie (2000). 34 Such things as a person’s voice, style of handwriting and DNA are just a few other common unique identifiers. Even the Electroencephalogram (EEG) can be used as a biometric as proven by Paranjape et al. (2001, pp. 1363-1366). 35 See Greening et al. (1995, pp. 272-278) for the use of handwriting identification for forensic purposes.

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Exhibit 5.4 Biometric Device Suite: Fingerprint, Hand, Iris and Facial Recognition

techniques may be more suitable for certain environments, depending on among other factors, the desired security level and the number of users... [and] the required amount of memory needed to store the biometric data” (Zoreda & Oton 1994, p. 167f). Dr J. Campbell, a National Security Agency (NSA) researcher and chairman of the Biometrics Consortium agrees that no one biometric technology has emerged as the perfect technique suitable for all applications (McManus 1996). See table 5.6 for a comparison of biometric technologies based on different criteria.36 Table 5.6 Biometric Comparison Chart

Please see print copy for Table 5.6

This table has been sourced from Jain, A. et al. (1999, p. 16). Note: H=High, M=Medium, L=Low.

The brief technical description offered below for each major biometric system only takes into consideration the basic manner in which the biometric transaction and verification works,37 i.e., what criteria are used to recognise the individual which eventuates in the acceptance or rejection of an enrolee. For each technique verification is dependent upon the person’s biological or behavioural characteristic being previously stored as a reference value. This value takes the form of a template, a data set representing the biometric measurement of an enrolee, which is used to compare against stored samples. In summary, fingerprint systems work with the Galton-defined features and ridge information; hand geometry works with measurements of the distances associated between fingers and joints; iris systems work with the orientation of patterns of the eye; and voice recognition uses voice patterns (IEEE 1997, p. 1343). See table 5.7 for a brief description of various biometric techniques. Table 5.7 Biometric Techniques and Criteria Used for Verification

36 37

See Ferrari et al. (1998, p. 23) for another comparison of biometrics and also Hawkes (1992, p. 6/4). For a thorough technical overview on the topic of biometrics see Bigun et al. (1997). 112

The Development of Auto-ID Technologies

Please see print copy for Table 5.7

5.4.2.1.

Fingerprint Recognition

If one inspects the epidermis layer of the fingertips closely, one can see that it is made up of ridge and valley structures forming a unique geometric pattern. The ridge endings are given a special name called minutiae. Identifying an individual using the relative position of minutiae and the number of ridges between minutiae is the traditional algorithm used to compare pattern matches (Jain, L. C. et al. 1999).38 The alternative to the traditional approach is using correlation matching (O’Gorman 1999, pp. 53-54) or the pores of the hand, though the latter is still a relatively new method.39 Pores have the characteristic of having a higher density on the finger than the Please see print copy for Exhibit 5.5

Exhibit 5.5 Automated Fingerprint Recognition

minutiae which may increase even more the accuracy of identifying an individual. The four main components of an automatic fingerprint authentication system are “acquisition, representation (template), feature extraction, and matching” (Jain et al. 1997, p. 1369). To enrol a user types in a PIN and then places their finger on a glass to be scanned by a charge-coupled device (CCD) (see an example in exhibit 5.5 on the 38

See Meenen and Adhami (2001, pp. 33-38) for fingerprint security. For a neural network approach to fingerprint subclassification see Drets and Liljenstrom (1999, pp. 113-134), and for the Gabor filter-based method see Hamamoto (1999, pp. 137-151). 39

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previous page). The image is then digitised, analysed and compressed into a storable size. In 1994, Miller (p. 26) stated that the mathematical characterisation of the fingerprint did not exceed one kilobyte of storage space; and that the enrolment process took about thirty seconds and verification took about one second. Today these figures have been significantly reduced. 5.4.2.2.

Hand Recognition

Hand recognition differs from fingerprint recognition as a three dimensional shape is being captured, including the “[f]inger length, width, thickness, curvatures and relative location of these features…” (Zunkel 1999, p. 89). The scanner capturing the images is not concerned with fingerprints or other surface details but rather comparing geometries by gathering data about the shape of the hand, both from the top and side perspectives. The measurements taken are then converted to a template for future comparison. A set of matrices helps to identify plausible correlations between different parts of the hand. The hand geometric pattern requires more storage space than the fingerprint and it takes longer to verify someone’s identity. Quality enrolment is very important in hand recognition systems due to potential errors. Some systems require the enrolee to have their hand scanned three times, so that readings of the resultant vectors are averaged out and users are not rejected accidentally (Ashbourn 1994, p. 5/5). 5.4.2.3.

Face Recognition

While fingerprinting and hand recognition require a part of the body to make contact with a scanning device, face recognition40 does not. In fact, recognising someone by their appearance is quite natural and something humans have done since time began (Sutherland et al. 1992, p. 29).41 But identifying people by the way they look is not as simple as it might sound (Pentland 2000, pp. 109-111). People change over time, either through the natural aging process or by changes in fashion (including hair cuts, facial hair, make-up, clothing and accessories) or other external conditions (Miller 1994, p. 28). If humans have trouble recognising each other in certain circumstances, one can only begin to imagine how much more the problem is magnified through a

40

Facial recognition usually refers to “…static, controlled full-frontal portrait recognition” (Hong & Jain 1998, p. 1297). 41 See also Weng and Swets (1999, p. 66); Howell (1999, p. 225); and Chellappa et al. (1995, pp. 705740). 114

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computer which possesses very little intelligence. What may seem like an ordinarily simple algorithm is not; to a computer a picture of a human face is an image like any other that is later transformed into a map-like object. This feature vector is compared against the discriminating power, the variance tolerance, and the data reduction efficiency. Shen and Khanna describe these variables (1997, p. 1422): [t]he discriminating power is the degree of dissimilarity of the feature vectors representing a pair of different faces. The variance tolerance is the degree of similarity of the feature vectors representing different images of the same individual’s face. The data-reduction efficiency is the compactness of the representation.

Engineers use one of three approaches to automate face recognition. These are eigenface, elastic matching, and neural nets (IEEE 1997, p. 1344).42 Once the face image has been captured, dependent on the environment, some pre-processing may take place. The image is first turned into greyscale and then normalised before being stored or tested. Then the major components are identified and matching against a template begins (Bigun et al. 1997, pp. 127f). 5.4.2.4.

Iris Recognition

The spatial patterns of the iris are highly distinctive.43 Each iris is unique (like the retina). Some have reckoned automated iris recognition as only second to fingerprints. According to Wilde (1997, p. 1349) these claims can be substantiated from clinical observations and developmental biology. The iris is “a thin diaphragm stretching across the anterior portion of the eye and supported by the lens” (IEEE 1997, p. 1344). The first step in the process of iris identification is to capture the image.44 Second, the image must be cropped to contain only the localised iris, discarding any excess. Third, the iris pattern must be matched, either with the image stored on the candidate’s card or the candidate’s image stored in a database. Between the second and third step processing occurs to develop an iris feature vector. This feature vector is so rich that it contains more than 400 degrees of freedom, or measurable variables. Most algorithms only need to use half of these variables and searching an entire database can 42

For a more detailed description of face recognition see Bigun et al. (1997, pp. 125-192), “face-based authentication”. For different types of approaches to face recognition see also Weng and Swets (1999, pp. 69-77), Howell (1999, pp. 227-245) and Jain, L. C. et al. (1999, ch. 8- ch. 13). 43 According to Williams (1997, p. 24) the possibility that two irises would be identical by random chance is approximately 1 in 1052.

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take only milliseconds with an incredible degree of accuracy (Williams 1997, p. 23). Matching algorithms are applied to produce scale, shift, rotation and distance measurements to determine exact matches.45 Since iris recognition systems are noninvasive/ non-contact, some extra protections have been invented to combat the instance that a still image is used to fool the system. For this reason, scientists have developed a method to monitor the constant oscillation of the diameter of the pupil, thus declaring a live specimen is being captured (Wildes 1997, p. 1349). 5.4.2.5.

Voice Recognition

The majority of research and development dollars for biometrics has gone into voice recognition systems. Due to its attractive characteristics, telecommunications manufacturers and operators like Nortel and AT&T, along with a number of universities have allocated large amounts of funds to this cause.46 Among one of the most wellknown voice recognition implementations is Sprint’s Voice FONCARD which runs on the Texas Instruments voice verification engine.47 Out of all the variety of biometric technologies, consumers consider voice recognition as the most friendly.48 The two major types of voice recognition systems are text-dependent and text-independent. The way voice recognition works is based on the extraction of a speech interval sample typically spanning 10 to 30 ms of the speech waveform. The sequence of feature vectors is then compared and pattern matched back into existing speaker models (Campbell 1999, p. 166).49 5.4.3. Is There Room for Error? While biometric techniques are considered to be among the most secure and accurate automatic identification methods available today, they are by no means perfect systems. False accept rates (FAR) and false reject rates (FRR) for each type of biometric are measures that can be used to determine the applicability of a particular 44

This can be done using a normal digital camera with a resolution of 512 dpi (dots per inch). The user must be a predetermined distance from the camera (Jain, A. et al. 1999, p. 9). 45 See Camus et al. (1998, pp. 254-255) and Daugman (1999, pp. 103-121). 46 Since there are literally billions of telephones in operation globally, voice recognition can be used as a means to increase operator revenues and decrease costs. See Miller (1994, p. 30). 47 For telecoms applications of voice recognition see Boves and Os (1998, pp. 203-208). 48 Markowitz (2001) writes that “[d]espite the dot.com crash, 2001 has been a very good year for [speaker verification] vendors, with the number of pilots and actual deployments increasing”. See also Markowitz (2000). 49 See Furui (2001, pp. 631-636) for progress toward ‘flexible’ speech recognition. 116

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technique to a given application. Some biometric techniques may also act to exclude persons with disabilities by their very nature, for instance in the case of fingerprint and hand recognition for those who do not possess fingers or hands. In the case of face recognition systems, one shortcoming is that humans can disguise themselves and gain the ability to assume a different identity (Jain, A. et al. 1999, p. 34). Other systems may be duped by false images or objects pertaining to be hands or iris images of the actual enrolee (Miller 1994, p. 25).50 In the case of the ultimate unique code, DNA, identical twins are excluded because they share an identical pattern (Jain, A. et al. 1999, p. 11). Even voice recognition systems are error-prone. Some problems that Campbell (1997, p. 1438) identifies include: “misspoken or misread prompted phrases, extreme emotional states, time varying microphone placement, poor or inconsistent room acoustics, channel mismatch, sickness, aging.”51 Finally the environment in which biometric recognition systems can work must be controlled to a certain degree to ensure low rates of FAR and FRR. To overcome some of these shortcomings in highly critical applications, multimodal biometric systems have been suggested. Multimodal systems use more than one biometric to increase fault tolerance, reduce uncertainty and reduce noise (Hong & Jain 1999, p. 327-344). Automated biometric checking systems have acted to dramatically change the face of automatic identification. 5.5.

RF/ID Tags and Transponders

5.5.1. Non-contact ID Radio frequency identification (RF/ID) in the form of tags or transponders is a means of auto-ID that can be used for tracking and monitoring objects, both living and non-living. One of the first applications of RF/ID was in the 1940s within the US Defence Force. Transponders were used to differentiate between friendly and enemy aircraft (Ollivier 1995, p. 234). Since that time, transponders continued mainly to be used by the aerospace industry (or in other niche applications) until the late 1980s when the Dutch government voiced their requirement for a livestock tracking system. The 50

Carter and Nixon (1990, p. 8/4) call this act forgery. Putte (2001) discusses the challenge for a fingerprint scanner to recognise the difference between the epidermis of the finger and dummy material (like silicone rubber). See also http://news.bbc.co.uk/1/hi/sci/tech/1991517.stm (2002). 51 Another issue with voice recognition systems is languages. Some countries like Canada have populations that speak several languages, in this instance English and French.

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commercial direction of RF/ID changed at this time and the uses for RF/ID grew manifold as manufacturers realised the enormous potential of the technology. Before RF/ID, processes requiring the check-in and distribution of items were mostly done manually. Gerdeman (1995, p. 3) highlights this by the following real-life example: “[e]ighty thousand times a day, a long shoreman takes a dull pencil and writes on a soggy piece of paper the ID of a container to be key entered later… This process is fraught with opportunity for error.” Bar code systems in the 1970s helped to alleviate some of the manual processing, but it was not until RF/ID became more widespread in the late 1990s that even greater increases in productivity were experienced. RF/ID was even more effective than bar code because it did not require items that were being checked to be in a stationary state or in a particular set orientation.52 RF/ID limits the amount of human intervention required to a minimum, and in some cases eliminates it altogether. The fundamental electromagnetic principles that make RF/ID possible were discovered by Michael Faraday, Nikola Tesla and Heinrich R. Hertz prior to 1900.53 From them we know that when a group of electrons or current flows through a conductor, a magnetic field is formed surrounding the conductor. The field strength diminishes as the distance from the wire increases. We also know that when there is a relative motion between a conductor and a magnetic field a current is induced in that conductor. These two basic phenomena are used in all low frequency RF/ID systems on the market today (Ames 1990, p. 3-2).

Ames (1990, p. 3-3) does point out however, that RF/ID works differently to normal radio transmission. RF/ID uses the near field effect rather than plane wave transmission. This is why distance plays such an important role in RF/ID. The shorter the range between the reader and the RF device the greater the precision for identification. The two most common RF/ID devices today are tags and transponders but since 1973 (Ames

52

As Finkenzeller rightly underlines, “[t]he 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” (Finkenzeller 2001, p. 1). See also Hind (1994, p. 215). 53 For a detailed explanation of fundamental RF operating and physical principles see Finkenzeller (2001, ch. 3-4, pp. 25-110). See also Scharfeld (1998, p. 9) for a brief history of RF/ID. 118

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1990, p. 5-2) other designs have included contactless smart cards,54 wedges (plastic housing), disks and coins, glass transponders (that look like tubes), keys and key fobs, tool and gas bottle identification transponders, even clocks (Finkenzeller 2001, pp. 1320).55 See exhibit 5.6 below for some example RF/ID devices manufactured by Deister Electronics. RF/ID has acted to take advantage of numerous existing innovations and further-developed these for the purpose of satisfying specific application needs.

Please see print copy for Exhibit 5.6

Exhibit 5.6 RF/ID Tags, Tokens, Keys, Cards and Transponders

5.5.2. Active versus Passive Tags and Transponders An RF/ID system has several separate components. It contains a reusable programmable tag which is placed on the object to be tracked, a reader that captures information contained within the tag, an antenna that transmits information, and a computer which interprets or manipulates the information (Gerdeman 1995, pp. 11-25; Schwind 1990, p. 1-27). Gold (1990, p. 1-5) describes RF tags as: [t]iny computers embedded in a small container sealed against contamination and damage. Some contain batteries to power their transmission; others rely on the signal generated by the receiver for the power necessary to respond to the receiver’s inquiry for information. The receiver is a computer-controlled radio device that captures the tag’s data and forwards it to a host computer.

The RF/ID tag has one major advantage over bar codes, magnetic-stripe cards, contact smart cards and biometrics- the wearer of the tag need only pass by a reading station and a transaction will take place, even if the wearer attempts to hide the badge (Sharp 1990, p. 1-15). Unlike light, low-frequency (or medium-to-high) radio waves can

54

RF/ID espouses different principles to smart cards but the two are closely related according to Finkenzeller (2001, p. 6). RF/ID systems can take advantage of contactless smart cards transmitting information by the use of radio waves. 55 The size and shapes of tags and transponders vary. Some more common shapes include: glass cylinders typically used for animal tracking (the size of a grain of rice), wedges for insertion into cars, circular pills, ISO cards with or without magnetic stripes, polystyrene and epoxy discs, bare tags ready for integration into other packaging (ID Systems 1997, p. 4). 119

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penetrate all solid objects except those made of metal. Thus the wearer does not have to have direct physical contact with a reader. Transponders, unlike tags, are not worn on the exterior of the body or part. On humans or animals they are injected into the subcutaneous tissue. Depending on their power source, transponders can be classified as active or passive. Whether a system uses an active or passive transponder depends entirely on the application. Geers et al. (1997, p. 20f) suggests the following to be taken into consideration when deciding what type of transponder to use. When it is sufficient to establish communication between the implant and the external world on a short-range basis, and it is geometrically feasible to bring the external circuitry a very close distance from the implant, the passive device is suitable... On the other hand choosing for an active system is recommended when continuous monitoring, independent transmission or wider transmission ranges are required. In particular for applications where powering is of vital importance (e.g. pacemakers), only the active approach yields a reliable solution.

Active transponders are usually powered by a battery that operates the internal electronics (Finkenzeller 2001, p. 13). Some obvious disadvantages of active transponders include: the replacement of batteries after they have been utilised for a period of time, the additional weight batteries add to the transponder unit and their cost. A passive transponder on the other hand, is triggered by being interrogated by a reading device which emits radiofrequency (RF) power because the transponder has no internal power source. For this reason, passive transponders cost less and can literally last forever. Both active and passive transponders share the same problem when it comes to repair and adjustment which is inaccessibility. The transponder requires that adjustments and repairs are “operated remotely and transcutaneously through the intact skin or via automatic feedback systems incorporated into the design” (Goedseels et al. 1990, quoted in Geers 1997, p. xiii). 5.5.2.1.

RF/ID Components Working Together

Electronic tags and transponders are remotely activated using a short range and pulsed echo principle at around 150 kHz. Once a tag or transponder moves within a given distance of the power transmitter coil (antenna), it is usually requested to transmit information by activating the transponder circuit. The transponder may be read only, one-time programmable (OTP) or read/write. Regardless the type, each contains a 120

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binary ID code which after encoding modulates the echo so that information is transmitted to a receiver using the power of an antenna (Curtis 1992, p. 2/1). The whole procedure is managed by a central controller in the transmitter. Read only tags contain a unique code between 32 and 64 bits in length. Read/write tags support a few hundred bits, typically 1 kbit, although larger memories are possible. The ID field is usually transmitted from a tag with a header and check sum fields for validation, just in case data is corrupted during transmission. Transmission is also a vital part of any RF/ID system. When information is transmitted by radio waves it must be transformed into an electromagnetic radiation form. According to Geers et al. (1997, p. 8), [e]lectromagnetic radiation is defined by four parameters: the frequency, the amplitude of the electric field, the direction of the electric field vector (polarisation) and the phase of the wave. Three of these, namely amplitude, frequency and phase, are used to code the transmitted information, which is called modulation.

Two types of modulation are used- analogue or digital. Common encoding techniques for the former include pulse amplitude modulation (PAM) and pulse width modulation (PWM); for the latter pulse coded modulation (PCM) is common. According to Finkenzeller (2001, pp. 44f) digital data is transferred using bits as modulation patterns in the form of ASK (amplitude shift keying) or FSK (frequency shift keying) or PSK (phase shift keying). A bit rate can be determined by the bandwidth available and the time taken for transfer. Error detection algorithms like parity or cyclic redundancy checks (CRC) are vital since radio communication, is susceptible to interference. It can never be taken for granted that the message transmitted has not been distorted during the transmission process but with error detection implemented into the design, “accuracy approaches 100 percent” (Gold 1990, p. 1-5). 5.6.

Evolution or Revolution?

When auto-ID technologies first made their presence felt in retail and banking they were considered revolutionary innovations. They made sweeping changes to the way people worked, lived, and interacted with each other. Before their inception, both living and nonliving things were identified manually; auto-ID devices automated the identification process, allowing for an increase in the level of accuracy and reliability. 121

The Development of Auto-ID Technologies

Supermarket employees could check-out non-perishable items just by swiping a bar code over a scanner, and suppliers could distribute their goods using unique codes. Consumers could withdraw cash without walking into a bank branch and purchase goods at the point-of-sale (POS). And subsequently banks no longer required the same number of staff to serve customers directly. Auto-ID enacted radical change. This cluster of related innovations differed considerably from any others. Though most autoID technologies had their foundations in the early 1900s, all of these required other breakthroughs in system components to take place first before they could proliferate. Up until the 1970s, consumers were largely disconnected from computer equipment. About the most sophisticated household item was the television set. While ordinary people knew computers were changing the face of business, their first-hand experience of these technologies was limited. Mainframe computers at the time were large, occupying considerable floor space and there was a great mystique surrounding the capabilities of these machines.56 One must remember that the personal computer did not officially arrive until 1984. Meanwhile, bar codes and scanner equipment were being deployed to supermarket chains and credit card companies were distributing magnetic-stripe cards in mass mail-outs. Consumers were encouraged to visit automatic teller machines (ATMs), and for many this was their first encounter with some form of computer. No matter how elementary it may seem to us today typing a PIN and selecting the “withdraw”, “amount”, and “enter” buttons was an experience for firsttime users who had most likely never touched a terminal keypad before. By the time the 1990s had arrived, so had other technologies like the laptop, mobile phone and personal digital assistants (PDAs). The range of available auto-ID devices had now grown in quantity, shape and sophistication including the use of smart cards that could store more information, biometric techniques that ensured an even greater level of security, and wireless methods such as radio-frequency identification tags and transponders that required little human intervention. By this time, consumers were also more experienced users. Auto-ID had reached ubiquitous proportions in a period of just over thirty years.

56 Herbert Simon predicted in 1965 that by 1985 “machines [would] be capable of doing any work a man [could] do” (Simon 1965, quoted in Kurzweil 1997, p. 272).

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The changes brought about by auto-ID were not only widespread but propelling in nature. No sooner had one technology become established than another was seeking entry into the market. The technical drawbacks of magnetic-stripe cards for instance led to the idea that smart cards may be more suitable for particular applications. A pattern of migration from one technology to the other seemed logical until biometric techniques increased security not only in magnetic-stripe cards but bar code cards as well. There was also the movement from contact cards to contactless cards and bar codes to RF/ID but by no means were the technologies making one another obsolete but spurring on even more research and development and an even greater number of new applications and uses (Michael 2003, pp. 135-152). Diagram 5.1 below shows the different types of changes that occurred between auto-ID devices. The three main flows that are depicted in the diagram are migration, integration and convergence.

Plain Card

Embossed Card

Magnetic-stripe Card

Biometrics Biometrics Biometrics Biometrics Biometrics Biometrics

Physical Characteristics

Plain Labels

Diagram 5.1 Migration Integration Convergence Integration & Convergence

57

Smart Card

Bar Code

Radio-frequency Identification

Trends in Auto-ID: Migration, Integration and Convergence

The recombination of existing auto-ID techniques flourished in the 1990s with integrated cards and combinatory reader technologies.57 These new product innovations indicated

See http://www.4p-mobile-dp.com/4p/dat500.html (1999) for an integrated peripheral device. 123

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that coexistence of auto-ID devices was not only possible but important for the success of the industry at large. A few techniques even converged as was the case of contactless smart cards and RF/ID systems (see exhibit 5.7). Auto-ID had proven it maintained a driving force of its own while still piggybacking on the breakthroughs in microchip processing speeds, storage capacity, software programs, encryption techniques, networks and other peripheral requirements that are generally considered auto-ID system enablers.

Please see print copy for Exhibit 5.7

Exhibit 5.7 Examples of Migration, Integration and Convergence Patterns

Now having said that auto-ID belonged to that cluster of IT&T innovations that can be considered revolutionary, the process of innovation was in fact evolutionary. There is no doubt that auto-ID techniques were influenced by manual methods of identification, whether it was labels that were stuck onto objects, plain or embossed cards, comparing signatures or methods for fingerprint pattern matching. Early breakthroughs in mechanical calculators, infrared, electro-magnetic principles, magnetic tape encoding and integrated circuits also aided the advancement of auto-ID technologies. Allen and Kutler (1996, p. 11) called this the “evolving computing” phenomenon. McCrindle (1990, ch. 2) even discussed the “evolution of the smart card”, tracing the historical route all the way back from French philosopher Blaise Pascal. 5.7.

Conclusion In conclusion the development of auto-ID followed an evolutionary path, yet

the technologies themselves were revolutionary when considered as part of that cluster known as information technologies. From devices that one could carry to devices one could implant in themselves. The advancement of auto-ID technology, since its inception, has been so magnanimous that even the earliest pioneers would have found the changes that have taken place since the 1970s inconceivable. For the first time, 124

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service providers could put in place mechanisms to identify their customer base and also to collect data on patterns of customer behaviour and product/services traffic. Mass market applications once affected or ‘infected’ by auto-ID continue to push the bounds of what this technology can or cannot do. Technology has progressed from purely manual techniques to automatic identification techniques. Furthermore auto-ID continues to grow in sophistication towards full-proof ways for identification. The above auto-ID cases show that major development efforts continue both for traditional and newer technologies. Even the humble bar code has been resurrected as a means of secure ID, revamped with the aid of biometric templates stored using a 2D symbology. In addition, the lessons learned from the widespread introduction of each distinct technique are shaping the trajectory of the whole industry. For instance, the smart card has not neglected to take advantage of other auto-ID techniques such as biometrics and RF/ID. Thus, new combinations of auto-ID technologies are being introduced as a result of a cross-pollenisation process in the industry at large. These new innovations (that could be classified as either mutations or recombinations) are acting to thrust the whole industry forward. The importance of this chapter is that it has established that auto-ID is more than just bar code and magnetic-stripe card and that coexistence and convergence of auto-ID technologies is occurring (see ch. 7 for the selection environment of autoID). And now, having set the historical context and offered a brief description on the evolution of each device, the dynamics of the auto-ID innovation system will be explored using the systems of innovation (SI) conceptual framework.

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6.

Five Case Studies Analysing the Dynamics of the Auto-ID Innovation System

The literature reviewed in chapter two determined that the auto-ID industry could be defined as a technological system (TS), and chapter five characterised the development of representative auto-ID techniques. This chapter will explore the dynamics of the auto-ID innovation process- those drivers and inhibitors that set the direction of the whole industry on a particular course. First the innovation process of individual technologies will be examined in isolation, then within the notion of a larger system of innovation defined as auto-ID. The organisational, institutional, economic, regulatory and social determinants of auto-ID innovation will be presented. The analysis will put forward a holistic and interdisciplinary view of how an innovation comes about and the complex process that takes place through stakeholder interaction and feedback within the technology system. Patterns emerging from these dynamic interactions act as a guidepost for future developments. Understanding these dynamics better can lead to predicting future possibilities more accurately because history matters in the SI framework. 6.1.

Definition of Stakeholders

Before endeavouring to investigate the complex innovation process of auto-ID, the relevant stakeholders of auto-ID systems must be identified. The stakeholders1 can broadly be categorised into two groups, including those involved: (i) in the invention, innovation and supply of auto-ID technological system components such as manufacturers, universities and government research bodies; and (ii) in the provision of services that require customers to use auto-ID technological system components such as issuers, merchants and consumers.

While the manufacturers (i.e. the firm) are the focal point of the thesis, the interactions between manufacturers and other stakeholders are paramount in this study. Diagram 6.1 on the following page is divided into three parts. The customer stakeholders include

1 See also Braco (1997, pp. 116-119) who discusses card issuers, financial consumers, merchants, device providers and intermediaries as stakeholders.

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consumers, issuers and merchants; the technology provider stakeholders include manufacturers, system integrators and value-added resellers; and finally the service provider stakeholders, the owners of the operation, act to bring the two former groups together.2 Both the customers and technology providers have an infrastructure within which to operate. Customers use a physical infrastructure in the way of information technology and telecommunications (IT&T) to carry out transactions, and technology providers use a knowledge infrastructure that includes standards committees, university researchers, regulators and others. Essentially organisations are those entities that are consciously formed with an explicit purpose and institutions are those that are formed spontaneously to regulate interaction between people. The economic relationships that exist between organisations and institutions can be described as physical and knowledge infrastructures. The interplay between all these different stakeholders forms the technology system specific to auto-ID.

Diagram 6.1

The Auto-ID Technology System (TS) Stakeholder Model

2

After conducting four mini case studies Elliot and Loebbecke (1998) present the major roles of players in smart card implementations. These roles include: card owner, card issuer, acquirer, merchant, cardholder and manufacturer. 128

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Noticeable in diagram 6.1 are the feedback loops inherent in the auto-ID innovation process. Without collaboration a given product innovation will not reach its potential and probably fade away to find a resting place in the mass of great ideas that were never realised. For example, if standards committees do not work with manufacturers to understand their requirements and learning experiences, then a default standard will most likely not be adhered. With each new major invention, a system is formed giving it the support and momentum it requires to follow a particular path. For instance, firms did not just happen to invent bar codes and then make commodity suppliers use them. There had to be some degree of interaction between the relevant actors and more importantly some mutual agreement on how to go forward. For example, suppliers of the technology had to make attempts to engage merchants, but via their commodity suppliers first. Taking the retail metaphor a little further, the questions along the path of bar code innovation may have included some of those listed in table 6.1. All these questions can be addressed by the SI dimensions as will be shown throughout the rest of this chapter. The investigation continues to follow a chronological order to draw out preceding developments that may have influenced or impacted (either positively or negatively) on proceeding innovations. Table 6.1 Bar Code Questions Along the Innovation Path ! ! ! ! ! ! ! ! ! ! ! ! ! ! !

How would the introduction of bar code impact consumers and businesses? Would these entities be willing to change? Would they trust that the technology is accurate and would actually increase productivity? How would this impact on employment opportunities, especially in the retail sector? How much training would be required to re-skill staff to use bar code-related equipment? What about the new skills required to implement, operate and maintain bar code systems? Which bar code symbology should be used? Which configuration is future-proof, if any? How much would the technology cost? And what peripheral equipment would be required? Which bar code numbers should be allocated to products? What about globally? Who would co-ordinate the activity of unique product coding? Could firms produce the amount of bar codes and bar code systems required by enterprise? What incremental innovations could be made to bar codes for different application areas? What results have been published about other auto-ID innovations like bar code? What are the current research activities happening in the field? How would data collected by the bar coding of products related to the check-out process be used by store owners? What are the legal implications if this information is misused?

6.2.

Bar Code: The Auto-ID Pioneer Technology

6.2.1. Committees, Subcommittees and Councils As LaMoreaux (1998, p. 51) points out, “[n]o invention comes in a flash. Each is built on many minds sharing ideas and working towards the same goals.” At first, the auto-ID industry had very few innovators, most of who were involved in bar code 129

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development. As was recognised in chapter five, it was around 1970 that product coding started to be noticed by retail and manufacturing companies, especially in the U.S. Until that time, individual innovators in small firms were attempting to offer solutions to companies in isolation. These solutions were dissimilar because they were based on proprietary solutions. At the time the retail industry especially feared that bar code might cause more problems than it would solve through incompatible check-out systems and the implementation of a number of different product coding schemes (Brown 1997, p. 39). Firms had valuable ideas regarding the direction of bar code but were not able to share these with each other as there was no common body linking everyone together. This eventually led to the urgent formation of the Ad Hoc Committee3 in 1970. Trade associations collectively posed five questions to this committee. These included (Brown 1997, pp. 42f): (1) is a standard industry product code worthwhile even if it not feasible to devise a standard symbol? (2) If so, what should that code be? (3) How can widespread acceptance of the industry standard be obtained? (4) How shall the code be managed? (5) Should there be a standard symbol representing the code, and if so what should it be?

As can be seen, these questions were all concerned with the bar code technology itself, not about such things as end-user acceptance. This is characteristic of a technology in its early adoption phase. The technology must work properly and must make sense economically before it can enjoy widespread adoption. In this manner, progress is connected to technology itself, “vorsprung durch Technik”.4 In 1971 the Symbol Selection Subcommittee was formed, aided by the Ad Hoc Committee. The Committee was made up of young, intense and brilliant individuals who were committed to the cause. Meetings were “electric as idea fed upon idea” (Brown 1997, p. 58). Many skilful people committed large amounts of time to the committee while holding full-time positions during the day. The Symbol Committee enthusiastically sought help from anyone that was willing and so attracted a wider group of players who brought with them a great number of diverse issues, many of which were

3

The committee was made up of ten chief executive officers. Five would come from grocery manufacturers and another five from distributor associations (Brown 1997, pp. 40). 4 “Progress through technology” was a 1986 advertising slogan for Audi motor vehicles. 130

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not technical in nature. The focus was now on how to get bar code successfully to market. Key tasks included to: 1. Develop alternate agreements to license and/or put selected symbol in public domain 2. Visit key equipment companies 3. Initiate and coordinate special studies 4. Contact other affected groups, e.g., printer… manufacturers 5. Develop test parameters and formats 6. Develop environment guidelines 7. Interview and decide on special consultants 8. Develop press releases (Brown 1997, pp. 61f).

This was an important point in the history of bar code because the Committee encouraged firm-to-firm and firm-to-agency interaction. For the first time, industry stakeholders could voice their concerns about the proposed standard. Representatives from companies5 could also share their visions about the technology and potential applications. This kind of information exchange was fruitful in that it encouraged participatory behaviour by stakeholders, giving the Committee the ability to address critical issues in a timely manner. Determined to complete its mission the Symbol Committee finished its two-year investigation in 1973 announcing a suitable standard- the UPC (Universal Product Code) was officially born. A spin-off of the Symbol Committee was the formation of the Symbol Technical Advisory Committee (STAC)6 and later the Universal Product Code Council (UPCC). Seeing the invaluable work done by the UPCC, other standardssetting organisations were also subsequently formed such as EAN7 (Electronic Article Numbering) and AIM (Automatic Identification Manufacturers). It is through these well-known organisations, councils and committees that international standards are set via ISO (International Standards Organisation) today. While bar code enjoyed steady growth after the mid 1970s, it was only when mass merchants like Kmart and Wal-mart 5 Some companies, like Jewel, voiced their concerns through formal letters to the Committee. In one such letter to the Symbol Committee the company president listed seven main concerns about the work, including, whether the standard defined in 1971 would soon become obsolete, that the ten-digit code would not stand the test of time and that the lack of compatibility with other codes would be a major problem. Jewel believed that technological innovation was inevitably a continual process and that it was up to the Ad Hoc Committee to make decisions on key issues (Brown 1997, p. 84). 6 Apart from its technical contributions to refining the symbol specification, STAC was given the task to evangelise and encourage the adoption of the code and symbol.

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committed to U.P.C. scanning that adoption boomed. This is when bar code started to become noticeable to the general public. 6.2.2. Public Policy The primary aim of the bar code was to improve the efficiency and productivity of the checkout process- it was oriented towards savings for business. Increased consumer convenience was a by-product but not something that preoccupied the attention of the Ad Hoc or Symbol Committees in the U.S. Very early on in the development of bar code, labour unions and consumer activist groups joined forces to oppose the new technology.8 First and foremost, any level of automation at the check out counter equated to job losses. Labour unions were quick to highlight the inevitabilities and journalists were quick to report on them. Second, consumers were very sceptical about the removal of price tags on supermarket store items.9 Many shoppers had never seen electronic devices at that time, so the scanner at check-out was treated apprehensively.10 A lot of doubt initially crept in regarding the accuracy of the new technology.11 It was difficult for many consumers to understand how a bar with black and white lines imprinted on products could equate to a cost for the good they were purchasing or a decrease in queuing time.12 Political games eventuated from the polemical situation between consumer activists and the Committee. Members of the Public Policy Committee (for bar code) even ended up at state legislatures and finally succumbed to the demands of consumers 7

Dutchman Albert Heijn transferred the American lessons of the bar code experience to Europe. He began the European counterpart of the Ad Hoc Committee which finally led to the birth of EAN (Brown 1997, p. 195). 8 See consumer reactions to bar codes in Lamoreaux (1998, pp. 17-19) who stated that the “…fears of barcodes, today, are more psychological and economic. People are afraid they will be cheated… or that they will be used for spying. Trade unions still fight barcoding if they perceive that it will negatively affect members’ jobs” (p. 17). 9 Traditionally, consumers were used to purchasing goods with a price tag on the item itself. At the checkout counter, a sales assistant would then key in the price of the item and the consumer would pay the amount. The introduction of bar codes changed the way people shopped. 10 The light emitting from the scanner, and the beeps heard when an item was entered contributed to some of the customer feeling. 11 Brown (1997, p. 128) described the deep mistrust consumers held of business: “[f]rom their perspective, of course industry wanted to remove prices from items: using computer technology would enable prices to be manipulated without fear of detection”. 12 While the bar code did act to increase productivity levels, some consumers could argue that they are still queuing up at large supermarkets for the same amount of time, as less staff is hired offset by the

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by putting forward several proposals for itemised pricing as well as the establishment of by-laws.13 By the late 1970s politicians had grown weary of the debate and abandoned it altogether. The Public Policy Committee ceased to exist in 1977 but served a crucial role in the early stages of bar code development as a mechanism to encourage interaction between various stakeholders. Yet this was not the end of public policy issues related to bar code. By the 1990s, labour unions and other independent bodies were now pointing to serious injuries suffered by employees who had to repetitively scan products for long periods of time with awkward equipment and heavy supermarket store items. Repetitive strain injury (RSI) received a lot of media attention and affected employees sought compensation. The U.P.C. also received attention from religious groups who saw the bar coding of products as a movement towards the fulfilment of prophecies in the Book of Revelation.14 Namely, members of these groups linked the U.P.C. with the “number of the beast” (666).15 6.2.3. Spreading the Word As more and more distributors, suppliers and retailers implemented bar code solutions, the word spread about the significant gains offset by the technology. It caused a ripple effect in company supply chains especially. As a result, a greater number of customer inquiries were made to technology providers who were only too willing to answer queries from prospective customers.16 With each new request for information

productivity gains. Also, the need for a single item to be scanned, like a packet of chewing gum, is debatable. It would be faster to pay for the item and leave. 13 Accuracy issues related to bar code were finally put to rest in 1996 when the Federal Trade Commission (FTC) published its findings on the impacts of bar codes on pricing. “Checkout scanners result in fewer errors than manual entry of prices at the checkout” (Reeves 1996, p. 41). The FTC report revealed that on average most supermarkets will undercharge rather than overcharge when an error has occurred in the price. 14 There are still groups, especially some monastic communities who refuse to purchase goods that are marked with the bar code. This would surely limit their ability to survive on anything, save subsistence farming practices. 15 A plethora of web sites have noted the uncanny coincidence between the number of the beast “666” (Revelation 13:18) and the left (101), centre (01010) and right (101) border codes of the U.P.C equating to 6, 6, 6. Some of the more prominent religious web sites that discuss the UPC include: http://www.666soon.com (2003), http://www.light1998.com (2003), http://www.greaterthings.com (2003), http://www.countdown.com.org (2003), http://www.raidersnewsupdate.com (2003), http://www.av1611.org (1996). At first the sites focused on bar code technology, now they have grown to encompass a plethora of auto-ID technologies, especially biometrics and looming chip implants. See also Watkins (1996). 16 Kevin Sharp (1998, p. 2) emphasises that potential bar code technology users should look at “[t]he reputation and experience of suppliers... Check out the manufacturer and the reseller. How long have they been in the bar code business?... Look for local support, or at least support you can access when you need 133

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(RFI), technology providers could understand the needs of customers better and feed this knowledge back into the development process. The future was thus being moulded by the learning gained from each successive customer engagement. The evolution of bar code innovations became an interactive experience. As the awareness grew that bar code could be used not only for product coding but for literally thousands of other applications, bar code suppliers became inundated with requests and the rate of bar code-related patents17 increased substantially. Auto-ID firms no longer solely relied on their own knowledge production but also on the interaction between the various players in the industry such as issuers of bar code cards, merchants and consumers for valuable feedback. Cooperatives and alliances began to emerge to support and promote activities for auto-ID product innovation such as AIM. Among numerous other associations and forums, AIM assisted to catapult bar code and other auto-ID technologies into the fore. 6.2.4. Clusters of Knowledge and a Growing Infrastructure Formal knowledge generated and documented by councils, standards bodies, patent offices, universities and R&D programs became of growing importance, especially to new bar code company entrants who relied on existing infrastructure to start their operations. Associations like AIM Global provided support by publishing important documents and specifications for members. In addition, a great deal of explicit knowledge continues to be produced by students and staff doing research at universities on behalf of private enterprise18 or government (who fund their work). Among these are the Centre for Auto-ID at Ohio University,19 the Auto-ID Centre at

it, in the language that works best for you... To a large degree you get what you pay for, so I feel it’s imperative to look at features and reputation first, and price last”. 17 For a representative list of relevant patents in the U.S. beginning in 1995, see Palmer (1995, pp. 361369). Kaplan (1996, p. 228) explains that in the U.S. a patent is “a government grant giving its holder the right to exclude others from making, using, or selling a particular invention for the non-renewable period of 17 years.” Usually patents need to be filed in different countries, if the inventor wishes to enjoy the same privileges elsewhere. An applicant must file for a patent, submitting in written form a description of the invention and its potential uses. 18 In July 2002, TEKLYNX donated fifteen thousand dollars worth of software (CODESOFT) to the University of Ohio and another fourteen universities for education research purposes across North and South America. 19 “The Ohio University Centre for Automatic Identification is the nation’s first university-based research centre devoted solely to the study of automatic identification and data capture (AIDC). The Centre was established in 1988… Industry sponsored research projects conducted at the Centre include two very comprehensive bar code symbology tests… The Centre can perform R&D work, standards comparisons as well as independent verification of other customized research results.” See http://www.ent.ohiou.edu/autoid/whatisit.htm (2002). 134

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MIT, the Automatic Data Capture Laboratory at the University of Pittsburgh,20 the NCTU Automatic Information Processing Lab in Taiwan,21 InsightU.org- an on-line university, the Information Management Institute (IMI), the Automatic Identification and Data Capture Program at Purdue University and the Robert W. Rylander Corporation that has numerous collaborative projects with universities throughout the U.S.22 Some universities have even tailored undergraduate programs for the advancement of bar code or related auto-ID solutions.23 University researchers have the opportunity to exchange information with private enterprise via auto-ID conferences, trade publications and industry associations. Knowledge distribution in this environment has been among the most useful.24 What all these stakeholders understand is that communication about bar code technology and its future direction is paramount to its continued success.25 Back in the 1970s, informative communication may have been about letting retailers know that bar codes were useless without scanning equipment to recognise the code (Brown 1997, p. 153) but today the issues are more sophisticated in nature. The stakeholders themselves are generally more educated about bar code technology. Today questions may arise regarding the type of physical infrastructure required such as Local Area Network (LAN) requirements, the suitability of various peripheral devices and how to exploit the information collected by bar code technology.

20

Marlin Mickle and Nickolas A. DeCecco Professor in Pitt’s School of Engineering are working on the PENI Tag project which they expect to be a successor to bar code. 21 See http://debut.cis.nctu.edu.tw/Epages/Research/e_barcode.htm (2002) for recent developments on the 2D bar code. 22 It should be noted that a lot of these universities specialise in a variety of auto-ID technology. Less than five years ago, most of these focused on bar code, magnetic-stripe and smart card technology, now many of these have started to focus on biometrics and RF/ID devices. They do not discount the value of bar code technology but they are now researching multiple auto-ID technologies. 23 See Purdue University, University of Ohio (IT 454 - Automatic Identification), Temple University and Michigan State University. 24 Both manufacturers and VARs are able to exhibit their product innovations and attract interested customers to view a range of possible solutions. Valuable feedback is often gained from such events. The proceedings of these conferences are usually published. 25 Universities are also excellent locations to store archival information as they have public libraries and other specialised facilities. At Stony Brook State University in New York an automatic identification and data capture industry archive was launched in October 2002. The AIDC 100 Archive at Stony Brook University includes “documents, financial reports, conference proceedings, market studies, periodicals, books and prototype hardware… AIDC 100 is an organisation founded in 1997 by industry leaders… the vision of the leaders was to create an intellectual gathering place for those business professionals who have made significant contributions… AIDC archive is constantly growing” (Media Relations 2002). See also “authentication” in the University of Leicester Elite Project Library, http://www.le.ac.uk/li/distance/eliteproject/elib/authentication.html (2002). 135

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6.2.5. Setting Standards Today each individual bar code application requires numerous standards considerations. Before a bar code can be used a symbology for the product innovation must be chosen along with the rules for information content, the bar code label, where the label is to be placed, the electronic data interchange (EDI) standard and verification standard.26 “[I]n some industries not only does the bar code label need to meet the required quality in terms of printing standards, but the data conveyed by the bar code also has to conform to a required structure” (Cohen, J. 1994, p. 100).27 Even the way bar code information is collected using data terminal equipment (DTE), transmitted over a network and stored in a relational database is standardised (Collins & Whipple 1994, ch. 5-7). Bar code standards have also been established by voluntary committees which over time have assisted in convincing other companies in the same industry to follow similar practices. Some standards-setting organisations like UCC/EAN28 are heavily oriented towards offering specific solutions to retail and have in some respect ignored the needs of non-retail members who are not commodity oriented (Moore 1998, p. 6). Please see print copy for Exhibit 6.1

Exhibit 6.1 Some of the Bar Code Standards-related Organisations

Depending on the bar code aspect to be standardised (see exhibit 6.1) the process can be as simple as an employee presenting their findings to their immediate manager or as complex as multiple presentations to AIM International by technology providers, proceeding to global standardisation through ISO. According to Bert Moore29 (1998, p. 3), former director of AIM technical communications, “it already takes an average of one to two years to create a standard” which is pan-national. At the international level it takes at least 50 per cent longer to accomplish anything.

26

See AIM Global (2000, pp. 1-9) for bar code badge guidelines, a technical paper. See also Palmer (1995, pp. 159-174). 28 For an explanation on the UCC/EAN symbology see Adams (1996, pp. 1-3). 29 Bert Moore was the former director of Technical Communications for AIM USA and was executive director of the Federation of Automated Coding Technologies (FACT), a major user group. 27

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Standards differ in type and importance. LaMoreaux (1998, pp. 213-214) distinguishes between major, mid-level, industry, company and lower level bar code standards. Examples of each can be found in table 6.2. Perhaps the most influential standards in the world today are industry-specific. Two examples of this in the retail industry are the U.P.C. and EAN. The U.P.C., a subset of EAN, is used to identify supermarket goods. First a manufacturer’s number must be obtained to ensure uniqueness between say one can of pet food and another from a different manufacturer. Second each product is allotted a number. When combined, manufacturer number and product number uniquely represent a particular product. In the case of EAN-13, the above-mentioned U.P.C. numbers apply, plus an additional first two digits which identify the country of origin in which the manufacturer’s number was allocated. EAN has now been implemented in over 70 countries worldwide.30 Overall, the aims of bar code standards bodies as outlined by J. Cohen (1994, p. 99) include: - multiple use of a single symbology by a number of different users in the same industry - reduce the amount of research needed by any single user to implement a bar code system - encourage the development of standardised data collection systems within any one industry - meet the majority of needs of all users within any one user group or industry.

Table 6.2 Different Levels of Standards

Please see print copy for Table 6.2

This table has been compiled using LaMoreaux (1998, ch. 8).

The gradual industry movement has been towards the tracking of products throughout the enterprise (e.g. Enterprise Resource Planning, ERP) and the supply chain (SCM). The eventual goal is to implement true EDI using bar code technology to take advantage of value added services (VAS) over the company extranet. TRADANET, the UK data network formed in 1982 is based on specific standards now able to offer EDI

30

Although they seem to have struck a reasonable alliance, “[t]he growing use of UCC-EAN standards across industries and borders continues to test the relationship between the two organisations” (Brown 1997, p. 201). 137

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to international companies.

31

However, not all industries want to conform to a single

32

major bar code standard. In a move that could have a major impact on the global bar code market, the UCC and NATO (North Atlantic Treaty Organisation) are believed to have been working together to reach a consensus on shipment identification codes in the form of the SSCC-18 (Serialised Shipping Container Code) standard. If this is true, the ramification would be startling and would cause a ripple effect to take place throughout NATOs supply chain. From NATO supplier companies to other government agencies it has been predicted that “every industry segment would, of necessity, adopt UCC/EAN coding and marking” (Moore 1998, p. 6). This would place immense pressure on bar code suppliers specialising in custom symbologies to conform to a potential superstandard. 6.2.6. Legal Aspects Bar code developers once placed symbologies in the public domain, granting access to whoever needed them, at no cost. As Palmer (1995, p. 243) recollects early on there was a spirit of openness, even between competitors who often assisted one another in an effort to get their products to work with new symbologies. Early developers could see the long-term benefit for all concerned of such cooperation. Today, that same spirit of openness does not exist. Bar code is a mature technology and there are a lot more players in the global market than there used to be, all vying for a share of the profits. By patenting bar code inventions manufacturers have realised that as well as protecting their intellectual property (IP) rights, they can also collect money via royalties from license agreements and other contracts. However, one criticism of recent behaviour has been the incidence of over-patenting, especially by bar code manufacturers. Some inventors are taking advantage of the patent process in some countries and even patenting ideas that are intuitively obvious. According to Palmer (1995, p. 241) these instances have been counter-productive to the real spirit of innovation and ultimately end-users end up paying for the costs, and technical progress in some areas of

31 “Joining forces are the Article Numbering Association (ANA), the standards authority for bar coding and electronic data interchange (EDI) and the Electronic Commerce Association (ECA), which offers guidance and solutions to businesses seeking to take up paperless trading” (Jones ed. 1998, p. 13). 32 While EDI has matured within the UCC there are quite a few historical issues which have caused friction between EDI leaders and UPC pioneers. Brown (1997, p. 173) believes that “time… will bring new understanding and cooperation” between the two groups.

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development is stifled as a result. Patents in the field of bar code are usually related to symbologies, hardware or applications. It is important for all stakeholders to be aware of what is happening in the industry because they do not want to find themselves having to pay large amounts of money to inventors who are mostly concerned with royalty revenues than solutions. Formal challenges have been launched against a variety of committees, other manufacturers, and even end-users in the past.34 6.3.

Magnetic-Stripe Card: the Consolidating Force

6.3.1. Retail and Banking Associations Join Forces The rise of the magnetic-stripe card, as we know it today, can be attributed to the collaborative efforts between the banking and transport associations, namely the American Banking Association (ABA) and the International Air Transport Association (IATA).35 It is commonly stated that an American National Standards Institute (ANSI)36 publication in 1973, developed jointly by ABA and IATA for a plastic credit card with a magnetic-stripe, laid the foundations for widespread diffusion.37 By banding together, the two associations were able to present a positive case for standardisation. Banking and transport are two broad application areas that affect the masses, so the influence of the organisations on the direction of the magnetic-stripe card cannot be underestimated. Early on however, magnetic-stripe technology like bar code was hampered by a lack of standards: “[a]s has so often been the case with the commercialisation of new ideas, one of the delaying factors was the absence of recognised international standards during its early existence” (Bright 1988, p. 14). ISO finally resolved this issue through its Technical Committee for information processing standards (TC 97). International Standards (IS) 7810 and 7811 were published outlining definitions about the physical

33

In 2000, Hutchison reported that PSC and Symbol Technologies were embroiled in yet another patentinfringement suit over a portable bar code scanner named the Grocer e-Scan. The reporter noted that the two companies had a history of litigation. 34 In some of the more prominent bar code-related legal battles, can be included Walter Kaslow’s coupon validation system (1976), Ilhan Bilgutay’s challenge on the UPC symbol (1985) and IAMPO’s UPC definition (1992). See ‘Formal Challenges’ in Brown (1997, ch. 12). 35 See http://www.iata.org/eticket/eticket.htm (1999). 36 See ANSI specifications for encoding Track 2 at http://www.mercury-security.com/ansi.htm (1999). 37 For a guide to magnetic encoding on cards according to ANSI and ISO/IEC standards see http://www.idt-net.com/magnetic/index.cfm (2001). 139

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dimensions of the magnetic-stripe card, embossing, layout and reading requirements.38 With input from the IATA, ABA and the Thrift industry, specific tracks were defined on the magnetic-stripe for specific uses. Track 2 for instance, reserved for banking applications, contained a field for the primary account number (PAN) of 19 digits.39 6.3.2. From Exclusivity to Interoperability Solutions for magnetic-stripe cards based on proprietary schemes40 were initially used strategically by banks and other companies to secure a loyal customer base.41 Cash dispensers were not plentiful initially, so banks were able to attract customers by being the first to market. Louderbacker (1980, p. 40) recounts that one of the first cash dispensers was installed by the Chemical Bank in New York City in 1969. By early 1970, other banks began planning for full-service ATM (Automatic Teller Machine) installations. By the late 1970s bank card technology became a mechanism for differentiating financial institutions. If a bank was able to offer the card linked to its existing portfolio of services it was considered technologically advanced. Egner (1991, p. 56) wrote that ATM services were exclusive, and institutions like Citibank were actually able to shift market share by their promotion. The same could be said for Barclays Bank in the UK.42 There was often friction between the major bank players who had reaped the rewards for taking the risk with the new technology versus the banking association that wished to exercise authority on behalf of all the other (and in most cases smaller) banks to make it a level playing field. In fact Citibank, so protective of its market share, vehemently challenged magnetic-stripe standardisation. Yet the

38

Magnetic-stripe can boast a 30 year stockpile of documentation. ISO and ANSI have published a plethora of information on the topic, together with IATA and ABA. 39 Another field for additional data such as the expiration date (4 digits) of the card, restriction or type (3 digits), offset or PVV (5 digits) or discretionary data is available, as well as control characters for the start and end sentinel, field separator and redundancy check character. 40 It is important to note, that not all applications require a standardised magnetic-stripe card format, especially for ‘closed’ systems like amusement parks. In fact there are some instances when a non-ISO design would be more appropriate, acting to increase security by non-conformity. This usually makes counterfeiting or fraudulent alterations to the card difficult (Mullen & Sheppard 1998, p. 1). 41 Although the majority of this section of the chapter focuses on bank card standardisation there is an equal amount of literature dedicated to the telecommunications sector. For a historical review of credit card standards for telecommunications see Lind (1992). 42 According to Essinger (1999, p. 172-173), “[t]he UK’s first cash dispensers, branded ‘Barclaycash’, were installed by Barclay’s bank in 1967. They were not strictly speaking ATMs, as their function was restricted to providing cash. They were only open for limited periods in the day and were off-line (i.e. not connected to the central computer in real time)… The first implementation in the UK of a machine which was recognisably an… ATM rather than simply a cash dispenser is regarded as having taken place on 30 June 1975”. 140

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bank soon realised that if it did not commit to the changes that it would be left behind, eventually becoming the minority.43 In essence, what Citibank and others in a similar position were afraid of was losing their competitive advantage to interoperability. Also known as interchange, interoperability “…[r]elates to a situation whereby a card issued by one organisation, e.g. a bank, can be used in an ATM belonging to another” (Bright 1988, p. 15). Today most major service provider’s cards can be used in each others’ ATMs.44 And all this is possible because of the PAN45 that is defined in Track 2 of the magnetic stripe. 6.3.3. The ATM Economic Infrastructure As ATM machines began to sprout up all over North America, the UK, Japan and Scandanavia in the 1980s, a physical infrastructure began to grow to support the banking sector.46 First and foremost, magnetic-stripe cards without ATMs were almost entirely useless: “[i]mprovements in card technology would not be particularly valuable without reader technology” (Browne & Cronin 1996, pp. 102). Second, internal bank equipment needed to be able to communicate with ATMs. A physical network was required for this to become possible, and telecommunication data providers quickly sought these opportunities as they became available using protocols such as X.25. Here is perhaps one reason why smart cards have not yet replaced magnetic-stripe cards in North America- the physical infrastructure in terms of the installed base of ATMs and POS47 equipment kept growing and growing throughout the 1990s.48 In some parts of the world like the United States, Japan and Hong Kong large investments in magnetic-

43

“[T]he US Citibank, which pioneered the ‘magic middle card’ based on infrared technology for ATM transactions, against the mainstream of magnetic stripes... failed to gain support from other banks… and as a result Citibank today uses those same magnetic stripes that it fought so hard against” (Cohen 1994, p. 17). 44 In Australia customers were only able to access funds from the ATMs of different banks in 1992. The National Bank’s corporate affairs manager was quoted as saying: “[t]he attitude of the 1980s has certainly changed for the better and it’s only a matter of time before a uniform system comes into being” (Daily Telegraph 1992). See also the notion of international ATM sharing (Essinger 1999, p. 160). 45 All PANs contain an industry code for the issuer (1 digit), an issuer identification (5 digits), customer identification (12 digits) and check digit. It was this very field that enabled different banks to accept magnetic-stripe cards at ATMs, regardless the operator. The PAN can identify the card issuer and cardholder, thus making interoperability possible via advanced card readers. 46 It should be noted however that this infrastructure was very expensive and it took about 16 years for the first one hundred thousand ATMs to be installed. 47 In the 1970s and 1980s ATM volumes boomed but in the 1990s manufacturers turned their attention to adding POS functionality (Mitchell 1996, p. 57). 48 For instance, in 1997, NCR installed three thousand units (ATMs) in just 150 days for Banc One (Korala & Basham 1999, p. 6-7). China seems to be the next big market for mass ATM deployment. 141

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stripe equipment have tied card issuing organisations to the technology.49 Weighing up the total potential losses as a direct result of fraud and other drawbacks of magneticstripe cards, against the potential multi-million dollar investment of upgrading readers and writers for smart cards worldwide; one is able to understand how physical infrastructure directly affects innovations. Smart cards are also more complicated to produce and need more expertise than magnetic-stripe. And the more complicated the production process, the harder it is produce large quantities.50 6.3.3.1. The Global Inter-bank Network The success of magnetic-stripe card technology can be measured by the increasing need for the interconnection of thousands of banks across every continent in the world. Colton and Kraemer (1980, p. 22-23) list some of the major centralised network operations.51 Federal Reserve System (FedWire) manages Federal reserve banks across the US interconnecting 275 banks; Clearinghouse Interbank Payment System (CHIPS) has the capability to execute international transactions among 62 financial institutions in New York; interbank switching in Japan is provided by Zenginkyo and the National Cash Service (NCS) network systems; the UK clearing banks have formed a company called Bankers Automated Clearing Services (BACS); Society for Worldwide International Financial Telecommunications (SWIFT)52 links more than 239 banks.

One can only begin to guesstimate the number of agreements that are in place between so many different entities to allow it all to work properly.53 This kind of meshed structure cannot be established instantaneously but only after years of formal exchanges. 49

Apart from the initial investment it should also be considered that ATMs also incur ongoing rental space costs (Godin 1995, p. 178). 50 Murphy (1996, p. 82) outlines the intricate process by which one can only assume that the person in charge must have acquired some first hand experience previously. “Converting to smart card production is no easy task. Not only does a company need state-of-the-art printing presses, it must upgrade its plastics to a thickness that can accommodate the computer chip that makes a smart card ‘smart,’ as well as ensure the cards are temperature resilient; it needs special machines to drill holes for the chips, and another set of machines to place computer chips in those holes…” Economies of scale are necessary here. 51 See also Central Bank’s Payment Systems in Eleven Developed Countries (1989) and Kirkman (1987, pp. 224-227). 52 SWIFT stands for the Society for World-wide Interbank Financial Telecommunications. It was established in 1973, and by 1984 it enveloped 1,104 banks in 49 countries (Dean 1984). Dean’s article on the cashless society raises ethical issues about the power of an organisation like SWIFT. 53 Without this infrastructure in place, the magnetic-stripe card would not have become as prolific as it has. Brands like Visa and Mastercard would not have had in excess of twenty million members each. See also Moore (1996, p. 41) who described the launch of the Integrion Financial Network in North America. “The network offers bank customers another avenue to pay bills, transfer funds between accounts and monitor account balances, using either the private IBM Global Network or the Internet… the 15 member

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The European Union is another example of inter-bank data transfer standardisation that will require thousands of banks to agree on a particular type of electronic payment system (EPS) that goes beyond even SWIFT (Central Banks 1989, p. 102). Of course to understand the extent of sharing, of not only data but of physical resources such as ATMs, one must consider the networks of the large credit card and banking associations of Visa, MasterCard, Cirrus, PLUS, GlobalAccess, ATM™, AutoCash. What is worthy of noting here is the support structure that has been built around the magnetic-stripe functionality, i.e. being able to withdraw, deposit and transfer funds almost anywhere in the world. Not only are networks making communications possible but business processes have been established to overcome the complexities, across geographies and borders, across economic and political systems, across currencies and across dissimilar institutions.54 6.3.4. Calculated Social Change “Twenty-five years ago, the very idea of going to a machine in order to withdraw money from a bank seemed outlandishly fanciful. Yet, with the rapidity so often associated with technological change, it soon became just another part of everyday life” (Korala & Basham 1999, p. 6-1). The same could be said for Electronic Funds Transfer at Point of Sale (EFTPOS).55 It important to note however, that while change was “rapid”, it still took a considerable amount of time for end-users to come to terms with the fact that they did not have to physically enter a branch to withdraw money.56 Governments across the globe committed resources to investigating the potential impact of the technical change.57 As in the case of bar code, labour unions and other groups

banks claim as customers more than half the households in North America.” In on the network are Banc One, Keycorp and Royal Bank of Canada among others. 54 A landmark report was written by the Council of Europe (1983) based on the notion of international recognition of national identity cards. Magnetic-stripe was one of the first technologies to enable these theoretical concepts to become a possibility. 55 Numerous business people were convinced during the mid 1980s that EFTPOS would be an unsuccessful application and yet it is increasingly being used today (Essinger 1999, p. 9). For an explanation on EFTPOS and how it works see Read (1989). 56 Essinger regards ATMs to be the “[m]ost visible, and perhaps most revolutionary, element of the virtual banking revolution… That it has changed our lives is incontestable. Every day, millions of people around the world in thousands of walks of life rely on the speed and convenience of cash machines to get access to the money they need” (Essinger 1999, p. 159). 57 In Australia a Technological Change Committee investigated the possible changes EFT would initiate (ASTEC 1986). One of the earliest EFT trials in Australia was conducted in 1982 between the Whyalla Credit Union and the G.J. Coles company (S.A. Council of Technology 1983, pp. 21-25). The government had a role to play in regulating EFT transactions but before doing so it had to ensure that it 143

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were again quick to point out that the automation would mean job losses for bank staff. The technology appealed more to the needs of business,58 as they sought ways to operate more efficiently.59 Many bank branches have been closed as a result of the automation and face-to-face over the counter staff numbers have been significantly reduced, driving consumers to change their habits for the sake of minimising bank fees and charges.60 Stephen Bennett (1995, p. 10) a senior manager with KPMG wrote: [e]lectronic transactions are considerably more cost effective than the counter based equivalent. This led to banks in the U.S. charging fees for branch based transactions and providing “free” transactions via telephone, ATM’s and EFTPOS, a concept that is now being embraced in Australia.

As part of their marketing campaign in the 1970s credit companies mailed out plastic cards to consumers and in the early 1980s banks mailed out magnetic-stripe cards to prospective cardholders. For many of the recipients, it was unclear what added benefit the card could provide, although this was later realised.61 In addition, some consumers believed that the new technology would eventually lead to breaches in privacy.62 The rise of magnetic-stripe cards coincided with numerous Big Brother63

had adequately researched the implications of the new technology. Worldwide studies were also conducted on EFT by the OECD in particular (OECD 1989; Revell 1983, pp. 108-110). 58 Both banks and retailers saw the advantages that had to be gained by using financial transaction cards. Speed and security were among the most important attributes. Retailers also saw a reduction in the amount of cash-on-hand they required to handle. 59 Learning about consumer spending habits through transaction history records was also important. 60 This has particularly affected rural communities many of which have started their own independent local banks. 61 Essinger (1999, p. 8) wrote: “…it is likely that the availability of the new technology, and the fact that someone had decided to create it, is what is determining the application, rather than the customer need for it. In effect, after the invention has been put on the market, the customer demand is created for it.” He continues by pointing out that “…the cash machine was not an instant success; people needed to get used to the idea. However, once they had, the cash machine rapidly became an essential part of the customer service armoury of any bank…” (p. 68). 62 For a comprehensive overview of issues related to the invasion of privacy see Rothfeder (1995, pp. 152-162). Colton and Kraemer (1980, pp. 28-30) also provide a good summary of ‘controversial issues’ surrounding EFT technology. This study on public policy was years ahead of its time. I have deliberately avoided a detailed discussion on privacy due to the scope of this chapter. For a detailed discussion of issues on privacy see (Campbell et al. 1994; Wacks 1993; Tucker 1992; Young 1978; Federal Department of Communications and Justice in Canada 1974; Madgwick & Smythe 1974; Cowen 1972). Watts (1997) highlights that breaches in privacy have more to do with government outsourcing contracts than auto-ID itself. 63 See Will’s The Big Brother Society (1983). Compare this with ‘Big Brotherdom has benefits’ (MIS 1994, p. 80): “[i]t is a mistake to believe that the information supplied to such public and private organisations, or to the tax commissioner or to your employer, is your property…” Some other publications that reference the term as related to auto-ID include: Thompson (1997), Andersen (1995), Conolly (1995), Martin (1995), Privacy Committee of NSW (1995), Smith (1995a), Vincent (1995), Crosby (1994), Stix (1994), Davies (1992; 1996), Hogarth (1987), Donelly (1986). 144

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predictions made by Orwell and others.

It was also at this stage that many countries

across the globe formulated Privacy Acts.65 Citizen identity cards were also a topical issue in which civil libertarians66 became involved.67 The media added fuel to the debate by reporting on cases that were related to social security fraud and stolen identities which caused some consumer groups to lobby against the idea of a card altogether. Yet what most consumer groups did not realise is that they were really arguing against an identity number and not the card itself.68 At the same time, professional thieves were taking advantage of the lack of security69 on the magnetic-stripe card and in some instances siphoning thousands of dollars from legitimate cardholder accounts.70 All this

64

See also Essinger’s (1999, pp. 184-185) discussion on 1984 vs Nineteen Eighty-Four. For community attitudes to privacy in Australia see the privacy commissioner’s publications at http://www.austlii.edu.au/au/other/hreoc/privacy (1997). It is commonly held that the Australia Card proposition in 1986-1987 was primarily linked to the requirement for Australia to establish a Privacy Act, the ID number itself was secondary (Jones 1987b). 66 See the Privacy International web site for frequently asked questions regarding identity cards http://www.privacy.org/pi/activities/idcard/idcard_faq.html (Davies 1996) and the opposition campaign to ID cards http://www.privacy.org/pi/activities/idcard/campaigns.html (Davies 1993). For an interesting case study on the Australia Card defeat see Smith (1989). This book is dedicated to “all those who fought against the Australia Card”. The Privacy Committee (1986) also wrote a report on issues to do with a national identification scheme. 67 See Jones (1987a) on the secret Australian government plan to push ID on citizens; Walker (1987) a feature article on the Australia Card debate; Evans (1987) who highlights just how invasive the Card would become interlinking all facets of life; Collier & Hill (1987) that present the power of the government to introduce the ID card; Walsh (1987) on the demise of the card; Perkins (1987); Kosmos (1987); Fewster (1986) on the potential ID card non-compliance penalties; Cumming (1986) on the declining support for Australia’s proposed national ID card; Glynn (1987); Dawes’ (1986) letter to the editor discussing how one number would reveal all; Ransom’s (1986) letter to the editor alleging that the ID card is a fraud on the people; and Hurry’s (1987) advertisement about the hidden clauses of the proposed Australia Card, in the interest of the community. Apart from all the media press, the government also published a number of reports on the topic of an Australia Card, for instance, Commonwealth Department of Health (1987) and Joint Select Committee (1986). See also a relevant research paper by Graham (1990) on bureaucratic politics and the Australia Card as well as a NSW Combined Community Legal Centres Group (1988) submission to the Senate on a national identification system for Australia. For a short summary of the bureaucratic issues with the Australia Card see Martin et al. (1997, pp. 27-30). For an American perspective on the national ID card debate see Eaton (1986). 68 While an Australian citizen card did not make an appearance, a tax file number (TFN) eventually did in its place. See Hogarth (1997, p. 4); Parliament of the Commonwealth of Australia (1988) on the feasibility of a national ID scheme (i.e. the TFN); Davies (1992, ch. 3) on the government versus the people; and Clarke (1993) on why people are scared of the public sector. 69 For a discussion on PINs, see Essinger (1999, pp. 162f). Essinger is correct in highlighting that cardholders also need to adhere to the bank’s instructions of never writing a PIN down. However recent attacks against magnetic-stripe cards in Australia have focused on using secret cameras or other equipment to steal cardholder PINs as they are entering them onto the ATM keypad (Smith 2002, p. 3). See also Watson (2002, p. 2). 70 In 1994, fraud on Visa was about 0.4 per cent of total credit card transactions (Harris 1994). See also Newton (1995, pp. 198-201) for a report on how to reduce plastic counterfeiting and how to fight organised crime. 65

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acted to create some level of mistrust of the technology.71 There are still people today who will not use plastic cards to make any sort of transactions, though it is becoming more and more difficult for them to continue this practice. The younger generation, who have been brought up surrounded by technology like the Internet are less cynical about high technologies in general.72 There is now an established customer base with which to leap into the new-age authentic cashless society (Egner 1991, pp. 105-109).73 6.3.5. A Patchwork of Statutes Current laws worldwide have lagged behind technological innovation. US privacy law, for instance, has been developed in a piecemeal fashion and in a case-bycase mode. It is no wonder that some types of personal information that have been enabled mostly by auto-ID techniques, such as supermarket transaction records, are still unprotected (Barr et al. 1997, p. 75). As can be seen from table 6.3 on the following page, U.S. privacy-related laws are a patchwork of statutes addressing specific areas and specific types of data. There is, however, no structure or governing authority in place to enforce these statutes.74 This means that not only can laws vary between states but with respect to the global arena, laws in other countries are also disparate, if existent at all. Table 6.3 U.S. Federal Law Statutes ! ! ! !

Examples of Federal Law Statutes in the U.S. Fair Credit Reporting Act (Credit records) Internal Revenue Code (Tax return) Electronic Funds Transfer Act (Banking records) Electronic Communications Privacy Act (Information transmitted electronically)

71

For the notion of “trust” within the context of electronic commerce see Kini and Choobineh (1998). While the content of the article relates to the Internet, it is the closest discussion one will find regarding electronic commerce. 72 Internet banking (Yan et al. 1997, pp. 275-284) has been adopted by a technology-savvy population that appreciates the convenience of banking from anywhere/ anytime. 73 Some countries like Singapore disclosed their agenda to abandon cash by the year 2000, thus preparing all consumers for the change, even though this did not exactly eventuate. “In France, an agreement has been signed that forms the basis of a nationwide, electronic replacement for cash” (O’Sullivan 1997, p. 57). See also Fisher (1996) and Pope (1990). 74 A similar problem is faced in Australia. Harris (1994) reported that “[t]he Australian Federal Police Association (AFPA) [was] calling for national legislation to curb credit card fraud… officials find themselves virtually powerless…” In 1994, counterfeit cards accounted for $US260 million of credit card fraud worldwide, i.e. one quarter of the world’s credit card fraud. Cornford (1995) reported that Australian “[f]ederal police fear that our laws are inadequate to deal with this type of crime. The Indonesian criminal caught with the card encoder was set free on a legal technicality. Two Americans who used counterfeit cards to steal $250,000 and then sent it back to the US could be charged only with illegal transfer… A Malaysian is awaiting trial after being arrested with 77 counterfeit Visa cards. A Hong Kong criminal was jailed for nine months after using three counterfeit credit cards to get $40,000 in Sydney… The Chinese Public Security Bureau raided factories in Beijing and Shantau, which together made more than 110,000 counterfeit Visa and MasterCard holograms.” See also European fraud (Freeze 2000). 146

The Dynamics of the Auto-ID System of Innovation ! ! ! ! ! ! ! ! ! ! ! !

National Labour Relations Act (Labour-related records) Computer Security Act (Benefits-related records) Video Privacy Protection Act (Video rental or sale records) Cable Communications Privacy Act (Subscriber records) Family Educational Rights and Privacy Act (Educational records) (see Barr et al. 1997, p. 75) Credit Card Abuse Laws Wire Fraud Act The National Stolen Property Act U.S. Copyright Act Electronic Communications Privacy Act State Computer Crime Laws (see Cavazos & Morin 1995, pp. 109-117) Computer Matching and Privacy Protection Act (see O’Connor 1998, p. 10).

Consider the case where a traveller to a foreign country has his credit card stolen and misused by a perpetrator.75 Where does the liability lie- with the traveller, with the credit card company, with the perpetrator?76 Whatever the perspective, for those unfortunate persons who have found themselves in this predicament (and these are not isolated incidences) the experience can be daunting as they attempt to provide evidence of their innocence. In the U.S. there is no law governing electronic payments; these aspects are covered by provisions in the Civil Code (Central Banks 1989, p. 217). The Uniform Commercial Code (UCC)... drafted in 1953... is currently being expanded to address the rights and liabilities of parties to large-dollar electronic funds transfers... Small-dollar electronic funds transfers, principally consumer-oriented automated clearing house payments, ATM transactions, and POS transactions are governed by Regulation E. This regulation was issued by the Federal Reserve in response to the Electronic Funds Transfer Act of 1978. It applies to all financial institutions and takes precedence over state law to the extent that it provides greater consumer protection than state law. Regulation E sets forth standards for financial disclosure, card issuance, access, and error resolution procedures. It also addresses the rights and liabilities of both consumers and financial institutions.

Regulation E under the Act of 1978 does not include cheque guarantee and authorisation services, transmission of data between banks and any transaction that is about the purchase or sale of securities (Scott, M.D. 1994, p. 497). Canada has also followed the United States by setting up a voluntary code of practice for debit card issuers, retailers, and consumer associations, as well as the federal and provincial regulatory bodies. In 1992 the code for Consumer Debit Card Services was introduced

75

See Polding (1996, pp. 23-25) who reported on the initiative of the Association of Payment and Clearing Services (APACS) to investigate the use of smart card technology as an evolution of the discussions between Visa, Mastercard and Europay in 1994. 76 As consumers would know, “[i]n most national jurisdictions, once the customer has notified the bank of the loss or theft, the customer is then no longer liable for any withdrawals made by a third party, although sometimes the liability remains if the customer has disclosed the PIN to somebody else” (Essinger 1999, p. 27). 147

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by the Canadian Bankers Association (CBA).77 Numerous associations have endorsed the code.78 High-tech innovations like EFTPOS79 require long-term commitments to improvements to rules and regulations if they are to continually evolve to meet the needs of the end-user and withstand the test of time. 6.3.6. Incremental Innovations A number of incremental innovations to the basic magnetic-stripe card have been introduced since its inception (see table 6.4 on the following page, for Xico-specific product changes). Developers in magnetic-stripe have primarily aimed to increase basic track capacity80 and protect data content with some form of encryption.81 While some of these improvements are theoretically possible many hold that the widespread introduction of these techniques is not economically viable and not worth pursuing. Take the example of the Magnetics and Information Science Centre (MISC)82 who have discovered a way of protecting the magnetic-stripe card against fraud. “The biggest Table 6.4 Xico “Firsts” in Magnetic Stripe Technology

Please see print copy for Table 6.4

77

However, it would be essential to remember, “[t]he code applies only to services which use debit cards and personal identification numbers (PINs) to access automated banking machines and point of sale terminals in Canada. It does not apply to cross-border transactions. The code establishes a code of practice for the issuance, use, and security of PINs. It sets the general requirements for cardholder agreements, transaction records, and transaction security, and is intended to set a minimum standard which participating organisations meet or exceed. It does not preclude protection given by other laws and standards. The code deals with the theft, fraud, technical malfunction, and other losses, and requires card issuers to establish fair and timely procedures for resolving disputes” (Campbell 1994, p. 44). 78 The most prominent members include: the Canadian Payments Association, the Trust Companies Association of Canada, Credit Union Central of Canada, Retail Council of Canada, Canadian Federation of Independent Business and Consumers’ Association Canada. 79 The Commonwealth of Australia wrote a detailed report on the rights and obligations of users and providers of EFT systems in 1986, however much of what was documented was voluntary codes of practice like in the case of Canada and the United States. 80 See Smith et al. (1996) for possible algorithmic solutions to increasing the storage capacity on a magnetic-stripe card. 81 For a novel magnetic card protection system see Chu (1995, pp. 207-211). 82 “Washington University has been active in magnetic information technologies since 1986… with funding from the National Science Foundation, in collaboration with Hewlett-Packard Laboratories in Palo Alto, research was begun. In 1988 Professor Ronald Indeck joined Muller after a year long fellowship in Japan. This created a strong program in both experimental and theoretical research… MISC was established in 1992 as an interdisciplinary theoretical and experimental centre focusing on fundamental recording physics and information science.” http://www.misc.ee.wustl.edu/misc_intro.html (2002). 148

The Dynamics of the Auto-ID System of Innovation Source: Xico, Inc. http://www.xico.com/refs.html (1999).

expense of deploying Magneprint will be replacing or modifying card readers so they can read the magnetic wave patterns” (Stroud 1998, p. 2).83 Other experts, particularly those in smart card, believe that the costs of delivering projected magnetic-stripe innovations are too high and fall short when compared to smart card solutions which are already proven and on offer now. Svigals (1987, p. 146) predicted that if smart card was to replace magnetic-stripe cards that “...the economic and functional break-even point might be reached within a five-year period.” Svigals did not believe that the incremental density changes to the magnetics would come close to even challenging the advantages of the smart card. Yet these and other predictions made in the late 1980s and early 1990s have not eventuated and those that were quick to publicise the demise of the magnetic-stripe card have been left wondering where things went wrong. It is true that smart card is starting to reach economies of scale and is becoming more affordable but this does not necessarily equate to the total extinction of magnetic-stripe.84 Even Svigals (1987, p. 175f) himself, acknowledged that: [a]ll evidence suggests that the magnetic-stripe FTC will have a place in the future. A financial institution with a static market, a significant investment in magnetic-stripe work stations, a very low card acceptance rate and/or rapid customer turnover, and little prospect of additional types of electronic services will probably stay with the magnetic-stripe FTC... At the other end of the spectrum is the institution with a large stable of aggressive magnetic-stripe FTC users, a fast-growing range of electronic services, an increasing set of interchange and sharing arrangements, and a growing concern about magneticstripe-based losses and frauds. That institution will take an early look at Smart Cards... In between the two extremes are the majority of institutions... In the final analysis, an active effort to accommodate both types of financial transaction cards appears to be the appropriate action path.” (Svigals 1987, p. 175f).

The new-found relationship between the magnetic-stripe and biometrics techniques has also opened a plethora of new opportunities for the technology.85 In addition

83

This is not to discount the efforts of MISC or other commercial manufacturers. There is evidence to suggest that companies are still investing R&D dollars into magnetic-stripe. For example see the new developments listed by International Plastic Cards (IPC) at http://www.ipccards.com/developments/developments_main.htm (2001). 84 Some reasons why applications should use magnetic-stripe cards can be found at http://www.mercurysecurity.com/whyuse.htm (Nickel 1999, pp. 1-2). 85 The University of Kent began to conduct research on encoding facial images on blocks of data small enough to fit on a magnetic-stripe in (Middleton 1998). See also de Bruyne (1990). 149

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manufacturers of numerous auto-ID devices have even seen a possible convergence between the bar code, magnetic-stripe and integrated circuit (IC) onto the one device.86 6.3.7. Collaborative Research Together with firms and standards-setting organisations, universities are also investing research dollars in developing further magnetic-stripe innovations, admittedly however many of these projects are sponsored. Yet it is firms that are generally more overprotective about their intellectual property (IP). But as Bright (1988, p. 136) does rightly point out, the reluctance on the part of potential suppliers to disclose their techniques and progress is understandable, granted the commercial sensitivity. Universities on the other hand, to some degree, are able to be less secretive about their research, taking bigger risks as they attempt to gather more funding for future projects by attracting industry players. For instance, at Washington University in St. Louis, there is a research institute dedicated to magnetic information technologies. MISC has developed MAGNEprint to increase the security of magnetic-stripe technology. Previously, this had been one of the technology’s technical limitations, making smart card technology more favourable for access control applications. Researchers at Washington University have invented a method for the positive identification of any piece of magnetic recording medium. The innovation permits a reading device to verify the authenticity of a document bearing magnetically recorded information, and to reject unauthorised copies... The innovation eliminates all types of magnetic fraud.87

This innovation can now be implemented by manufacturers of magnetic-stripe cards to increase the attractiveness of magnetic-stripe technology compared to other card technologies. The innovation was first presented at a number of technical forums. Thereafter an article was published in a recognised journal and in 1993 became protected through worldwide patenting. With further trials conducted the university licensed Magneprint to Mag-Tek Incorporated, a firm that makes electronic readers (Stroud 1998, p. 1). It is especially encouraging to observe research efforts continue with magnetic-stripe media- this is yet another sign that the technique is continuing to evolve and will continue to meet the needs of a variety of applications.

86

IDTECH’s MagBar solution http://www.idt-net.com/products/mag_stripe/magbar.cfm (2000) is essentially a chipset that decodes bar codes and magnetic-stripes. 87 See http://www.magneprint.earth.wustl.edu/maneprint/ (1999) and http://newsinfo.wustl.edu/tips/2002/business-law/indeck.html (2002). 150

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6.4.

Smart Card: the Next Generation 6.4.1. Social Specialisation of Labour

The fundamental difference between the smart card and magnetic-stripe card is the on-board intelligence.88 Since the smart card’s invention, the microchip has acted to boost the profile of the device. The ultimate vision for the card has been that of a ‘PC in your pocket’, i.e., a mobile PC.89 Although the card did not achieve expected diffusion rates in places like North America in the mid 1980s,90 entrepreneurs did not abandon it (especially in Europe).91 Throughout the 1990s smart card gave rise to a new breed of start-up companies that were eager to exploit opportunities as they arose.92 With these new start-up companies93 came new knowledge94 and also the delineation of niche areas of expertise. These companies included: integrated circuit (IC) manufacturers, smart card manufacturers, terminal manufacturers, smart card integrators,95 smart card software specialists (operating systems,96 applications and access) and numerous other

88

Yet while the smart card is a far more sophisticated technology it does not mean it should be considered superior per se. See Chadwick (1999, pp. 142-143) for a discussion on why smart cards are not always the smart choice. For advantages of the chip technology see Kaplan (1996, p. 8) and Allen and Kutler (1997, pp. 5-7). See also Zoreda and Oton (1994, ch. 1). 89 Shogase (1988) coined the term ‘plastic pocket bank’. He worked for the Toshiba corporation while they were developing the VISA SuperSmart Card. 90 For a discussion on the barriers to smart card success see Kaplan (1996, pp. 22-24) and Hill (1996, p. 1). A Gartner study in 1998 also reported that smart cards were a push technology and until new developments established their business value, that the technology would continue not to meet wild expectations (Essick 1998, p. 1). See Dataquest’s worldwide chip market forecast for 1997-2002 at http://www.smartcardcentral.com/research/ (1999). In 1997 M. Johnston (pp. 62-63), reported on how smart cards were poised to takeoff in the U.S.- it is debatable whether this in fact has happened. For a discussion on technology adoption relevant to smart card, see Schiffer (2000) who discusses why the electric automobile lost market share and the way that social behaviour stifled that development process. 91 In the late 1980s, Bright (1988, ch. 8) wrote that France and Japan were leading the way followed by the U.S. Today, this geographic concentration still exists but other markets are starting to make an impact on the smart card industry, such as Hong Kong, Taiwan, Singapore, Belgium, Denmark, Spain, U.K. and Australia. See also, worldwide developments and player motivations (McKenna & Ayer 1997, ch. 3). 92 The excitement even attracted some traditional magnetic-stripe card manufacturers. This was especially true of the system integration specialists who now had the job to build systems that could “talk” to each other (Ferrari 1998, ch. 13). Not all auto-ID system integration companies were up to the task however, acquiring smart card knowledge required employee retooling and training (Keenan et al. 1997, p. 35f). 93 After 1996, emerging companies have primarily focused on the innovation of “security and encryption applications, operating systems and graphics for collectible cards” (Allen & Kutler 1997, p. 19). 94 Hendry (1997, p. 250) suggests a T-shaped knowledge base in a smart card organisation where there are many people who have a top-level understanding of the technology while a few people will develop detailed knowledge. 95 See ORGA, the smart card integrator specialists, at http://www.orga.com (2001). 96 Different vendors have different operating systems (OS) at present. For instance, IBM introduced the MultiFunction Card (MFC) operating system in 1990, Bull introduced Odyssey I for the JavaCard and 151

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third parties.

Smart card product development was unlike traditional technologies.98

With so many individual stakeholders, many of whom were extremely specialised, designing an end-to-end smart card solution was a complicated task.99 Fruin (1998, p. 248) summarises developing smart card technology as “[h]ighly problematic, fraught with technical, organisational, managerial, and human resource difficulties”. Apart from the few large smart card manufacturers,100 the other technology providers were usually small in size and had limited resources.101 Departments within the company had to be agile and customer-oriented but also forward-looking in terms of building generic hardware and reusable software.102 At the same time smart card component suppliers were also dependent on one another, particularly because no one vendor could provide the whole solution without relying on contributions from smaller players (Lindley 1998, p. 87).103 Gemplus has PCOS among others. For a sample list of smart card OS see Ferrari et al. (1998, pp. 2f). For an applied case study of the Java Card see Fünfrocken (1999). 97 In the closing chapter of his book Hendry (1997, ch. 19) considers forward-looking strategies for several types of smart card stakeholders including manufacturers (semiconductors, masks and cards), system designers and managers as well as scheme operators. He offers some very important insights. 98 Part of the difficulties with smart card, besides the fact that it is a relatively new high-technology is that most often project requirements are ill-defined, and they keep shifting throughout the lifetime of the project. Timeframes for each phase of development are difficult to estimate along with costs and exactly what resources are required and when. Coordinating efforts between various suppliers can also be problematic. In addition smart cards are privy to high rates of technical change and higher levels of uncertainty than other technologies. For a deeper discussion see Fruin (1998, pp. 241-249). 99 Some of the more complex issues are: “[h]ow can smart cards include multiple brand logos without confusing the consumer? Who is liable for lost and/or stolen cards and how are they replaced? Who provides customer service and how is it made seamless to the consumer? How are applications developed, certified, installed, and upgraded? How are privacy, accuracy, and security insured? How are revenues shared?” (Allen & Kutler 1997, p. 12f). 100 Fruin (1998, p. 246) provides a project-specific organisation chart for Toshiba and Yanagicho’s development of the VISA SuperSmart card. The team comprised of 172 members at its prime, 47 of which were corporate-level personnel. Large projects such as these require decision-making power at the highest levels. 101 Dreifus and Monk (1998, pp. 305-314) describe the typical job roles within various smart card organisations and departments. 102 It is not always easy to mobilise resources in companies whose core products are applicable to more than just one high technology. For instance, in the case of integrated circuit suppliers, smart cards are only one technology among many that they are supplying. It is the same in the case of ISVs (Independent Software Vendors) who may be developing software for not only smart card players but also Internetcentric applications etc. It can be a dangerous proposition to freeze resources on a product-by-product basis but a fine balance needs to be struck between the two possible extremes. 103 For a thorough list of smart card and system components see Hendry (1997, ch. 8-9). In the VISA SuperSmart card development, Fruin (1998, p. 243) observed that “[n]either Toshiba nor Yanagicho boasted the complex and precise component-design, system-development, and product/process capabilities required for the project. A need for these forced Yanagicho to forge alliances with other Toshiba units and outside vendors.” In addition, one company may have the capabilities to do a particular part of the design process but the sheer magnitude of the project may not afford the time to complete tasks in-house, or there are other firms that have certain core competencies that would do that particular phase more economically. 152

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6.4.2. Firm-to-Firm Collaboration Firm-to-firm collaboration between smart card companies continued to proliferate particularly in Europe (Allen & Kutler 1997, p. 20), even though the North American market104 was still struggling. The establishment of the Smart Card Forum (SCF)105 in 1993 was an attempt to bring stakeholders even closer together. Citicorp, Bellcore, and the U.S Treasury Financial Management Services Division were integral to the formation of the Forum attracting business leaders from the public and private sector to share a common smart card vision. By the end of 1997, the Forum boasted of 230 corporate and government international entities (Allen & Barr 1997, pp. 268-273). The common goals of SCF included the: - promotion of the interoperability of cards, devices, and systems to assure an open market capable of rapid growth - facilitation of information exchange, communications, and relationship development across industries in order to stimulate market trials - service as a resource to policy makers, regulatory bodies, and consumer groups on issues impacting smart cards, especially in the areas of social responsibility and privacy (Allen & Barr 1997, p. 266).

Working groups and cross-industry committees were subsequently set up to brainstorm on issues specific to applications. The results of the studies are routinely published in white papers, standards and delivered at industry presentations. Similar forums have begun to sprout throughout the globe (see exhibit 6.2).106 For example, the Asia Pacific Smart Card Forum (APSCF) based in Australia was established in 1995 and had over fifty members in 2001. APSCF not only brings firms with common interests together but also promotes the interests of members to key policy makers at both the political and bureaucratic level of government (ASPF 2000). Please see print copy for Exhibit 6.2

104

For more recent predictions about the smart card market in the U.S., see Cagliostro (1999) who offered promising statistics from IDC and Forrester Research. Cortese (1997) also reported how the smart card market was poised to grow in the U.S. 105 See http://www.smcardforum.org (2002). 106 See also the JavaCard Forum, among others. 153

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Exhibit 6.2 Smart Card Forums and Associations

6.4.3. Geographic Clustering A pattern soon began to emerge linking the success of the smart card technology provider to its physical proximity to the customer. Lindley (1998, p. 88) also noted this stating that there was globally “…a strong correlation between the incidence of local suppliers and smart card application users.” In an effort to increase their revenues, European and Asian suppliers entered the US market, establishing a local presence in the hope that this would result in sales. Some of these smart card suppliers in the US believe that a smart card manufacturing group should be established in Silicon Valley: “[a] group such as this is needed to provide a road map, if you like, and a vision for the industry over the next decade.” Townend believed that the full spectrum of industry should participate in the group (McIntosh 1997, p. 45) in order for greater collaboration to take place between firms and also as a central location to be able to demonstrate the full potential of smart card to prospective customers. 6.4.3.1.

Private Enterprise and University: Forging New Links

As a result of geographic clustering very useful relationships began to form between private enterprise and local university research institutes. Not only was this a mechanism to perform useful collaborative research and development but it was also a way to attract skilled talent into the industry.107 Big smart card players like Schlumberger108 continue to fund and support initiatives. The University of Michigan’s Centre for Information Technology Integration (CITI)109 is just one example. In late 1999 it formed a partnership with Schlumberger to develop the world’s smallest web server to run on a smart card.110 Prior to that CITI was investigating the future possibilities of the U-M card, the university’s campus smart card, supplied by

107 The period at the turn of the second millennium saw a very competitive IT&T labour market where skilled resources were in short supply. While this has changed due to the current global economic circumstances, at the turn of the century, private enterprise attempted to secure skills in the longer term by investing in universities, albeit by scholarships or research funding. See also Dreifus and Monk (1998, pp. 218f) regarding the types of skill sets that are in demand. 108 See http://www.smartcards.net/ (2002). 109 See http://www.citi.umich.edu/ (2002). 110 See http://industry.java.sun.com/javanews/stories/print/0,1797,20667,00.html (1999) and http://www.umich.edu/~newsinfo/Releases/1999/Feb99/r020999c.html (1999).

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Schlumberger. Both groups believed that the partnership will be mutually beneficial in the long term. At the University of Malaga the GISUM111 group is also researching smart card. The work is being supported by the European Union (EU) and the Spanish Ministry of Science. Two projects are of interest here- the eTicket project and the electronic

forms

framework

for

citizen-to-government

(C2G)

Internet-based

transactions.112 Some collaboration between universities and enterprise has resulted in university campus space being dedicated to technology parks/centres. For instance, the Smart Card Design Centre113 is operated as a business unit, housed within the City University of Hong Kong. 6.4.3.2.

Consortiums and Alliances

The late 1990s saw a trend towards the formation of consortia and strategic alliances. Consortiums in high-tech typically pool together specialist resources from private enterprise, universities and other institutes, usually in anticipation of a new opportunity. As opposed to collaborative research on a specific topic that seeks to satisfy particular outcomes, a consortium’s scope is broader and usually more exploratory in response to a government or prospective large customer initiative.114 An example of this is the VerifiCard project in Europe which includes six partners from four different countries, though it is not unusual to find consortiums with twenty partners containing mostly private companies.115 Most consortia usually have at least one or two big players that influence the direction of the rest of the group. It is also not unusual to find fierce competitors come together in consortiums, although typically this is avoided in overly competitive scenarios whereby separate consortia form.

111

See http://www.lcc.uma.es/~gisum (2002). See http://www.ercim.org/publication/Ercim_News/enw49/merino.html (2002). 113 See http://www.smartcard.com.hk/layout.htm (2002). The Smart Card Design Centre is funded by the Innovation and Technology Commission and the Hong Kong Government. “It provides technical support to Hong Kong industry for design of smart card modules, crypto-engines, readers and chip operating systems.” 114 Some consortium stay in operation for over ten years especially if their very existence is linked to supporting industry-wide stakeholders, though typically most consortium disband within a year or two as newer opportunities present themselves. Knowledge gained from one initiative is subsequently reused. 115 The list of partners includes: the University of Nijmegen (Netherlands), INRIA (France), Technical University of Munich (Germany), University of Kaiserslautern (Germany), Swedish Institute of Computer Science (Sweden) and SchlumbergerSema (France). See http://www.cs.kun.nl/VerifiCard/files/partners.html (2002). 112

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Traditional players in auto-ID applications have especially sought to form alliances with providers of infrastructure, including banks, financial services, and telecommunications companies (Allen & Kutler 1997, p. 16; Keenan et al. 1997, p. 37). Smart card business developers have identified new creative possibilities,116 piggybacking on the success of existing applications but in many cases the market response from users117 and merchants118 has been uncertain. For instance, there is the possibility for telecommunications operators to be earning revenues from public payphones capable of acting as cashless de facto ATMs or consumers being able to add vending machine purchase charges to their mobile phone bill or even CATV companies making use of set-top boxes to give subscribers online services-on-demand. All these ideas sound very useful but in addition to the possibility of very slow take-up rates, deployment can be very tricky as well. Independent software vendors (ISVs) specialising in smart card can build what look to be cutting-edge applications but without the access infrastructure (fixed or wireless), it is impossible to proceed.119 In the same way telecommunication operators may wish to deploy state-of-the-art applications but how to collect revenues from subscribers (i.e. billing issues) and how to share profits between the players in the value chain may be fuzzy. Alliances also act to curb the threats from non-traditional new entrants that may know little about the smart card business but have the venture capital to invest.120 Kaplan (1996, p. 22) provides a good

116

For a discussion on how to protect intellectual property related to smart cards see Kaplan (1996, ch. 9) and Bright (1988, pp. 21-23). In 1995, Douglas Taylor received a notification from the patent office that his patent application had been accepted. Taylor patented the idea behind the multiapplication smart card, although it is quite debatable whether or not he really was the first to consider this idea, he was however the first to patent it in the U.S. 117 Cooper, J. et al. (1996) put forward a sociotechnical approach to smart card design that incorporates the user as an aid to defining requirements. See Zoreda and Oton (1994, ch. 7) on designing smart card applications and Lokan (1989). 118 Mitchell (1995) believes that one of the reasons that smart cards have not reached their potential in the U.S. is because merchants do not accept the card. The merchant indifference towards smart card means that consumers cannot offer the payment method to purchase goods and services because the likelihood of their being an available device to read the card is very low. 119 Hendry (1997, p. 250) makes the important observation that while individual applications can be built in a very short time frame (especially for closed systems), it can take two to three years for a national infrastructure to support the application to emerge and even five to ten years for a global one. Hendry’s analysis is precise: “[g]etting the infrastructure right, and making it easy to upgrade and add applications, should… be a top priority for any scheme.” 120 With the rise of the dot.coms, non-traditional players especially entered the banking and telecommunication sectors hoping to make a lot of money from online applications. Many of these companies were attracted by the inflated revenue forecasts that were being predicted by analysts and their whole business was built on shaky foundations from the outset. There was little in the form of user surveys granting valuable feedback, and unfortunately millions of dollars have been wasted during this 156

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example of the Smart Card International experience. The company assembled worldwide licensing rights but it was unable to distribute its product because it had no strategic alliances with other companies to assist with reselling.121 6.4.4. Communicating Information With smart card development innately encouraging so many interactions between stakeholders it is no surprise that so much literature has been published on the topic. The distribution of information has acted to continually educate all the various stakeholders, including users,122 about smart cards and their applications. People are generally more well-informed than they were when bar code and magnetic-stripe card were introduced.123 Even the number of journals dedicated to smart cards is indicative of the general growth of the auto-ID industry over the years.124 There is an explicit knowledge infrastructure that has grown with the industry. Industry associations are also contributing to smart card growth, like the Smart Card Industry Association (SCIA) that was established in 1989. SCIA acts as a resource centre and is also involved in organising conferences and other industry events.125 SCIA’s primary purpose is educational in nature. SCIA represents smart card technology providers.126 Card Europe is another association that helps promote user confidence in smart cards. Card Europe believes (Kaplan 1996, p. 318):

time on ‘get rich quick’ schemes. For an overview of successes and failures in the smart card industry pre-1996 see Kaplan (1996, ch. 4). See also Marron (2000b), ‘incubators nurture e-com ventures’. 121 For example, the Global Chipcard Alliance. 122 Today users are a lot more technically astute than they used to be. The PC, cable television, game play-stations, Internet and mobile phone, and more recently the personal digital assistant (PDA) have all contributed to a more technology-savvy society. In some ways the permeation of so much information may have been one reason why some users have resisted the change. For a discussion on social resistance as it pertains to smart card see Lindley (1998, pp. 144-145). See also Keenan et al. (1997, pp. 26-34) for what consumers think about smart cards. 123 The Internet has played a large role in granting people access to information that was otherwise in hard-copy form in limited locations, such as public libraries. Today there are daily reports on worldwide smart card activities. See Smart Card Central online at http://www.smartcardnews.com (1999). 124 Some of the more prominent journals include: Card Technology Today (now CTT), Report on Smart Cards, Smart Card and Systems Weekly, Smart Card Monthly, Smart Card News and Smart Cards and Comments. 125 The association was a co-founder of the very successful CardTech/SecurTech conferences. See also http://www.scia.org (2001) and http://cardtech.faulknergray.com/scia.htm (1999). In 2001 SCIA had over 70 members in total contributing to varying capacities. See also EuroSmart, the European smart card industry association at http://www.eurosmart.com/ (1999). 126 See also the SmartCard Developers Association, the International Card Manufacturers Association (ICMA) and the Smart Card Club. 157

The Dynamics of the Auto-ID System of Innovation ...that only by achieving consensus across both industry and country borders, will we be able to achieve a true representative set of products and standards leading to full interoperability with a multi-service capability...

6.4.5. The Importance of ISO It is not difficult to see why standards127 play such an important role in smart card development. Without them there would be no common point of reference for any of the stakeholders to follow. ISO128 is a worldwide federation of national standards bodies which has worked towards ways of making cards and equipment interoperable. Adherence to ISO standards is not compulsory but it is advisable.129 In the case of magnetic-stripe card technology, it was no coincidence that ISO 7810 was composed, “rather [it was] the close cooperation among major providers that established global standards and specifications” (Kaplan 1996, p. 210). Early smart card developers adopted existing magnetic-stripe standards initially in order to allow a smooth migration from magnetic-stripe.130 Other important ISO standards that influenced the rise of smart cards were ISO 7816131 which defines ICCs (Integrated Circuit Cards) with contacts and ISO 10536 which defines contactless ICCs. Suppliers should be ISO 7816 or ISO 10536 compliant even though adhering to ISO standards does not ensure that interoperability is achieved between cards and terminal equipment. ISO leaves room for industry-level specifications but when none exist mismatches can happen (McKenna & Ayer 1997, p. 48).132

127

According to ISO, “[s]tandards are documented agreements containing technical specifications or other precise criteria to be used consistently as rules, guidelines, or definitions of characteristics, to ensure that materials, products, processes and services are fit for their purpose” (Dreifus & Monk 1998, p. 29). See also chapter three of the same text and appendix B. 128 See standards for identification cards at http://www.iso.ch/cate/3524015.html (1999). 129 Unlike magnetic-stripe cards where proprietary schemes could possibly increase the security of applications in particular scenarios, smart cards have in-built security features and standardisation is almost always desirable. 130 Today all three technologies can be utilised on the same card- “the information... can be accessed by reading the chip, swiping the magnetic stripe, or making an imprint from the embossing” (Dreifus & Monk 1998, p. 31). 131 ISO 7816 contains seven parts stipulating guides to physical characteristics, dimensions and locations of the contacts, electrical signals and transmission protocols, inter-industry commands, application identifiers and data elements for interchange. 132 For a complete list and description of ISO standards related to smart cards see Hendry’s (1997, pp. 253-258) appendix, “Standards”, Hegenbarth (1990) and Devargas (1992, ch. 3). See also Ferrari et al. (1998, ch. 3) which includes a discussion on standards and specifications, especially ISO 7816, CEN726 (the ETSI version), GSM, EMV (MULTOS), PC/SC, the OpenCard framework (Macaire 2000), IATA Resolution 791, SEIS (Secured Electronic Information in Society), Cryptoki, CDSA (Common Data Security Architecture), PC/SC Workgroup, and MASSC a generic architecture for multiapplication smart cards (Tual 1999, p. 52). Rankl and Effing (1996) cover the technical details of standards. 158

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6.4.5.1.

Specifications

As has already been mentioned ISO ICC standards are not so constraining that there is no room for industry-specific standards. Thus in some cases additional specifications need to be drawn. In late 1993, Europay, MasterCard and Visa took the initiative to join forces as EMV to formulate ICC Specifications for Payment Services. As Kaplan (1996, p. 214) explains, the EMV cooperation was the pooling of expertise for a common goal. The objective was, “to eventually permit interoperability among chip-based payment cards for credit and debit applications. Without common technical standards, an array of incompatible systems would proliferate- building serious barriers to both consumer and merchant acceptance” (Allen & Kutler 1997, p. 8).

Dreifus and Monk (1998, p. 42) notice that the development of the EMV specification followed a series of evolutionary steps. The EMV specifications were delivered in three parts each focusing on a different set of issues. EMV-1 described the smart card and its environment, EMV-2 described the terminal environment and EMV-3 described how data would be exchanged between the card and the terminal.133 An excellent lesson learnt from the development of the EMV specification is (Allen & Kutler 1997, p. 12): that progress will require collective discussion, and action. No one company can optimise smart cards unilaterally, and even industry-wide coordination through, say, a banking or retailing association, will fall short of the mark.

Just like EMV, ETSI (European Telecommunications Standard Institute) decided to formulate an industry specification in the 1980s for its proposed Global Systems for Mobile (GSM) network. The specification, known as SIM (Subscriber Identity Module) is predominantly used in Europe and Asia. The SIM has the functionality to perform authentication and offer a personalised service to subscribers. GSM offers international compatibility and allows for the subscriber to roam in any country where there is GSM coverage. GSM specifications include: security aspects (02.09), SIM (02.17), network functions (03.20) and SIM interface (11.11). When designing smart card solutions

133 EMVCo was established by the EMV alliance in 1999 to administer EMV standards for debit/credit cards. The newly published CEC (Chip Electronic Commerce) and the existing SET (Secure Electronic Transaction) is combined in the new EMV specifications (D. Jones 2000b). See the EMVCo web site http://www.emvco.com/ and SET http://www.setco.org/ (2000). It also should be noted that new e-purse standards have emerged (not in competition to EMV but at another layer of detail) called CEPS (Common Electronic Purse Specifications) and TAPA (Terminal Architecture for PSAM Applications), i.e. PSAM standing for Purchase Secure Application Modules. “The PSAM is a device that performs security functions during an electronic purse purchase transaction. TAPA provides a structure for terminals that can process single or multiple applications” (D. Jones 2000b).

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different levels

of standards need to be adhered to dependent on the application. It

should also be noted that standards and specifications can change and/ or evolve.135 6.4.6. Legal, Regulatory and Policy Issues In 1987 Svigals (p. xviii) noticed that the national governments of Japan and France were beginning to implement government policies and actions relating to smart cards. Fifteen years later the rise of smart card schemes in operation has brought the question of regulation into the spotlight. This is not necessarily a bad thing for the industry; some experts see it as an evolutionary step in the life-cycle of smart cards.136 Barr et al. (1997, p. 69) believe that a technology such as smart card is becoming commercially significant when lawyers and regulators begin to study the legal, regulatory and policy implications, as is happening presently. From about the late 1990s discussion about Regulation E has increased.137 In the past it has been easier to identify smart card applications that require financial transactions to be performed and need appropriate regulations, but with the introduction of multiapplication smart cards138 this defining line has blurred.139 Financial institutions are no longer banks, building societies and credit unions; they can be anything from telecommunications companies to airlines, it all depends on the services being offered.140 The Federal Reserve board believes “that if cards are used to access an account” they are subject to Regulation E (Noe 1995, p. 44). Thus, the Board has issued proposed changes to Regulation E and how it should be

134

These levels may pertain to the physical card itself, the contact pads, the card reader, the interface, the Application Programming Interface (API), the application itself, even card management. 135 According to Dreifus and Monk (1998, p. 46) changes in standards are “…a result of the natural evolution and the maturation of the technology”. 136 Argy and Bollen (1999) argue that “[t]he general commercial law operating in Australia is sufficient to govern e-commerce, but it is sometimes difficult for lawyers and judges who are not familiar with emerging technology to apply traditional legal concepts” (p. 56). In 1999 an Electronic Transactions Bill was introduced by Parliament so that businesses felt encouraged to take advantage of electronic commerce capabilities. 137 “Regulation E was promulgated by the Federal Reserve Board as the implementing regulation for the Electronic Fund Transfer Act of 1978. It is designed to protect consumers and defines the right and obligations of consumers and ‘financial institutions’ with respect to electronic transaction affecting consumer accounts” (Barr et al. 1997, p. 70). 138 For an explanation on multiapplication cards see Hendry (1997, ch. 16), Allen and Kutler (1997, pp. 12-13), and J. Elliot (1999), Schaumüller-Bichl (1987) and Piller (1987). 139 According to Barr et al. (1997, p. 78), the following issues need to be considered: “is the issuer of a SVC going to be treated as a bank for federal or state purposes; will there be export control restrictions because of the encryption used in the smart cards; and how will general commercial law principles which have evolved in connection with old-style payment systems apply to smart card.” 140 For a discussion on the institutional and economic implications of stored value see Crowley (1996). See also Browne and Cronin (1995, pp. 101-116) on the impact of electronic money. 160

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applied to stored value cards (SVCs).

Namely, what is the definition of an ‘account’

as applied to smart cards, SVC conditions and terms, transaction receipts and consumer liability are important. One industry spokesman, the president of Cash Station Incorporated, James Hayes, does not think that Regulation E should be imposed on SVCs. Hayes rather compares SVCs to cash equivalents rather than customer transaction accounts. He believes that smart card development will be impeded by regulation imposed before the purpose, risks and benefits can be clearly assessed... [he] cautioned that smart card regulation is in its infancy and that it will continue to evolve (Noe 1995, p. 45).

Smart cards also bring with them a whole new array of questions related to privacy.142 Consumer acceptance143 of the smart card in some geographic regions is very low, even in some cases where adoption of other high-technologies such as mobile phones has been high. Tarbox et al. (1997, p. 262) is blunt regarding the amount of information that can be potentially stored on a smart card. He believes that smart card issuers must disclose to application developers and consumers, how and who will have access to information,144 and how it will be distributed.145 When considering the rise of

141 For a comprehensive discussion on regulations, legal and privacy issues as they relate to credit cards, debit cards and SVCs, see Owens and Onyshko (1996). This 37 page report has over 160 references and is among the most up-to-date publications on the topic by a legal firm. The report can also be downloaded from the web at the following address, http://www.smythlyons.ca/it/credit/index.htm (1999). 142 For privacy issues as they pertain to smart card see Lindley (1998, pp. 132-142). See also Barr et al. (1997, pp. 73-78) and Vincent (1995). A case study on the Ontario Smart Card Project can be found on the Information Policy Research Program (IPRP) web site http://www.fis.utoronto.ca/research/iprp/sc/ (2002). The site contains a number of useful press clippings and articles on public policy and smart card that offer another perspective. Included in this site are links to Roger Clarke’s articles on public policy issues related to identification. For Clarke’s main publications http://www.anu.edu.au/people/Roger.Clarke/DV/RogersDVBibl.html (1997). The Privacy Committee of NSW (1995) also contributed a report on smart cards and named it ‘Big Brothers little helpers’. Following this report the Human Rights of Australia published another report on smart card implications for privacy compiled by the Privacy Commissioner (1995). 143 For a brief introduction into consumer acceptance issues see Bright (1988, pp. 145-149). See also Card World (1990, pp. 42-45) for a specific case study on early cultural resistance to plastic cards in Italy in the 1990s and Radigan (1995), ‘consumers are lukewarm on smart cards’. Svigals (1987, ch. 16) is one of the first authors to discuss the potential societal impacts of smart card as is C. P. Smith (1990, ch. 9). For key strategies and considerations for user acceptance of smart cards, see Lindley (1994). 144 See Branscomb (1994) Who Owns Information?, for a thorough discussion on privacy versus public access to information. On the topic of smart cards (p. 70) she provocatively questions: “[b]ut are we willing to have so much medical information about ourselves contained in so little electronic space, with possible access not only to us and the doctors treating us, but as well to our insurance companies, our employers, and the FBI, not to mention that bizarre world of computers voyeurs?” Additional texts that should be referred to include: Cuddy (1994), Brin (1998), Davies (1996, ch. 7; 1992, ch. 4). 145 See Larson (1992). His book titled, The Naked Consumer, adds an interesting perspective to how private information has become a public commodity. See also Flaherty (1979) for a discussion on privacy and government data banks. For community attitudes towards privacy see O’Connor (1995). Clarke (1993) sheds some light on the topic of why people are generally afraid of the public sector.

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multiapplication cards, the problem of ‘who owns the information’ is even more complex an issue to solve.146 At least a single application card can undergo some sort of assessment with visible limits. Another question mark that surrounds world-wide interoperability of smart cards is how they will be regulated when they are used in different countries. For example, does a regulation applied in the U.S. have any legal bearing in Australia or Japan? Some have suggested the enactment of a number of privacy torts related to smart card, others are encouraging the use of electronic contracts between issuers and consumers since new laws are not about to appear overnight.147 The problem of card management is also not straightforward. In the case of multiapplication smart cards which can hold concurrently several applications, which company is liable for card issuance, faults in applications linked to the card, and other such matters.148 Many citizens across the globe have vehemently protested the use of smart cards for citizen identification.149 However in some countries citizens are powerless to voice their concerns, and governments have already introduced unique lifetime identifiers (ULI)150 linked to an ‘everything’ card.151

146

Chaum (1992) discusses how to achieve electronic privacy in a way that will see control of personal information return to the individual. Together with his colleagues at the Dutch nationally funded Centre for Mathematics and Computer Science in Amsterdam, Chaum puts forward new cryptographic solutions. 147 The contract should give the consumer confidence that they will have full control of personal information on the card (i.e., in case of error); why this personal information is required, who will use it and for how long; how the consumer’s privacy is protected to ensure non-disclosure and if a particular application is covered by existing statutes; and reference to the issuer’s privacy policy (Cavazos & Morin 1995, pp. 34-45; Barr et al. 1997, p. 76). 148 For a discussion on card management see Ferrari et al. (1998, ch. 12). See also multiple application cards, including a discussion on branding and ownership issues in Barr et al. (1997, pp. 64-68). 149 For a closer look at how some religious groups view the ULI see Wilshire (1992; 1993), Relfe (1982; 1981), Smith (1980; 1985). Common beliefs can be summarised, in the expected formation of a one world government and the dawn of a new monetary system that will give birth to a new one world order. For a broader perspective of how the use of technology is understood within a religious context see Noble (1999), Hensley (1998), Lucas (1996), Fisher (1990), Klinken (1977), Jeeves (1972). See Stahl (1996) especially, God and the Chip: Religion and the Culture of Technology. 150 Refer to Drudge (1998), http://www.warroom.com/natid.html. It is not the technology itself that most people fear but what it represents and how the capability of unique identification can be used by anyone who has access to the information, particularly potential totalitarian governments or regimes. 151 While there are many advantages gained by the use of multiapplication smart cards for government and non-government applications, more research needs to go into what these advantages mean in real terms. The notion of many ‘little brothers’ versus one Big Brother has been put forward in opposition to multiapplication cards. While the intent of the issuer may be noble, i.e. to offer a better service to its customers, no one can guarantee that the information will not be used ‘against’ an individual. These are not conspiracy theories but lessons from history. One of the most infamous uses of dossiers against a people was that of the Nazis against the Jews (Black 2001). See also Evan (1987) who writes with reference to the proposition of an ID card in Australia: “I can understand why many people- particularly those who have lived under totalitarian regimes or fled from Nazism- oppose the Australia card”. 162

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6.5.

Biometrics: In Search of a Full-Proof Solution 6.5.1. An Emerging Technology

The biometrics industry is considered “young” and “emerging” (Kroeker 2000, p. 57; Tilton 2000, p. 130).152 It is made up of about 150 separate hardware and software vendors (Liu & Silverman 2001, p. 30).153 The companies are usually small in size when compared to the rest of the computer industry. For this reason they are dependent on resellers and systems integrators to get their product to market (Burnell 1998, p. 2).154 Given the newness of the technology it can be a difficult task finding the right integrators in the right place at the right time to implement a particular type of solution.155 A fair degree of customisability and niche expertise is required in biometric applications- it is not a case of one size fits all. For example, an integrator specialising in fingerprint recognition systems may not have the same level of competency to do a voice recognition implementation. Thus, each new customer contract is not only an opportunity to gain more revenue but also exposure to a different set of problems that will equip all the stakeholders with valuable tacit insights for the longer-term. Over the last five years, integrated solutions for biometrics have seen the formation of a number of alliances that has led to a greater acceptability of the auto-ID technique.156 In most cases the hardware suppliers are teaming with software companies, while some other companies have enjoyed such synergy within an alliance that they have sought to form completely new companies together (Cummey 1998b, p. 3). Investors have generally been wary of sponsoring technologies like biometrics that

152 As Burnell has accurately stated, “[f]our years ago, if you talked about a biometric, it was new to just about everybody… That’s just not the case anymore. Resellers are seeing the benefits of biometrics for certain applications” (Burnell 1998, p. 2). 153 Estimates in 1990 (Parks, p. 98) indicated that there were over one hundred firms, institutions and government agencies that had substantial activity in the area of Automatic Personal Identification (API). 154 For an extensive list of biometrics companies see http://www.findbiometrics.com/Pages/ (2002) and the Google web directory at http://directory.google.com/Top/Computers/Security/Biometrics/Companies/ (2002). 155 While integrators and support technology providers play an important role in biometric implementation, the actual service provider is equally responsible for the longer-term operational success of the application. Realising this, the Department of Social Services in Connecticut made extensive use of cross divisional workgroup teams to ensure a buy-in of the new process by DSS staff first. The work group teams focused primarily on process integration (Connecticut Dept. 1998, p. 1). 156 For instance, in 1999, biometrics provider Sensar had seven high profile partners including: Citibank, OKI, Siemens Nixdorf, Fujitsu, NCR, LG Electronics and WANG Global. See http://www.sensar.com/partners/partners.stm (1999).

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have not proved completely roadworthy in certain situations; and in these instances “banks [especially] tend to err on the side of caution” (Jacobs 1998, p. 1).157 In recent times however, the major computing, networking, security and Original Equipment Manufacturers (OEM)158 have begun to play a more visible role in the support and development of biometric technology as they have seen its potential bolster, particularly through government adoption for mass market applications. As end-to-end solution providers start to surface and the infrastructure to support biometrics is put in place the technology will inevitably stabilise. 6.5.2. From Proprietary to Open Standards One problem that so many small players in biometrics causes is in the fragmented and non-standard manner in which vendors develop their products, in isolation from one another. For instance, Vendor A may have developed a robust biometric technology that solves a particular part of an overall solution, and Vendor B may have a supplementary piece of technology, but the two products from each vendor cannot be integrated159 for a particular solution without some expensive and arduous programming.160 This has deterred customers from choosing biometric solutions and in the opinion of many players has held back the industry.161 Like most new technologies, biometrics companies have been slow to embrace a set of standards.162 But according to Tilton (2000, p. 130) this is exactly what the industry requires.163 Traditionally 157

Even government departments are said to stay away from bleeding edge technology that are not on the evaluated list of products (EPL). They need to undergo thorough testing before they are adopted (Withers 2002, p. 78). 158 An example of an OEM agreement in smart card is between Australian company Intellect and NCR. Some of Intellect’s smart card system components are NCR-badged (Bell 1997, p. 37). The NCR brand name is more well-known than that of Intellect and NCR like to promote a uniform brand image to their customers so it looks like they can provide an end-to-end smart card solution. 159 As has often been stated, “[t]his makes it difficult to link biometric technologies from different vendors, freely substitute biometric technologies, or use a single technology across multiple applications…” (Lawton 1998, p. 18). 160 Historically, algorithms were hardcoded into custom biometric applications (Tilton 2000, p. 130). 161 “The existence of a single industry standard will settle the confusion caused by competing specifications and hasten the adoption of biometric technology for a wide range of commercial applications” (Tilton 2000, p. 132). Standards play a strategic role in deregulating the industry and making it a more competitive field, granting customers a greater variety of choice. 162 Lazar (1997, p. 3) believes that biometric technology is not different to any other new technology. Initially, there are few standards and most systems are proprietary contributing to a lack of standard infrastructure for storing and transferring data captured. 163 The important features organisations seeking to adopt biometric technology should look for are outlined by Liu and Silverman (2001, p. 32). These include: “the biometric’s stability, including maturity of the technology, degree of standardisation, level of vendor and government support, market share, and other support factors. Mature and standardised technologies usually have stronger stability.” 164

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biometric technology was used for government and law enforcement applications where a high degree of custom integration was required.164 Today what is needed is off-theshelf type biometrics for rapid deployment and this is currently what is being evolved. 6.5.2.1.

BioAPI

With so many small companies, and so many different types of biometric techniques and components one can only imagine the number of proprietary interfaces, algorithms and data structures that were introduced by the biometrics community. As the small industry began to grow, vendors started to offer software development kits (SDKs) with proprietary APIs.165 While this was a step in the right direction the standards were still proprietary. According to Burnell (1998b, p. 1) 1998 was a defining stage in biometrics history as suppliers began to reach out to the wider computing community.166 The standards issue gathered momentum as large players like the Microsoft Corporation167 saw the technology’s potential and the BioAPI Consortium was born. The creation of a standard application programming interface (API) was championed by the Consortium.168 BioAPI is an open-systems standard developed by a consortium of more than 60 vendors and government agencies. Written in C, it consists of a set of function calls to perform basic actions common to all biometric technologies, such as enrol user, verify asserted identity (authentication), and discover identity (Liu & Silverman 2001, p. 30).

BioAPI is based on an architecture model which contains two to four layers, depending on the design. The highest level contains the fundamental biometric functions. The

164

Manual standards for instance existed since the 1920s when the FBI (Federal Bureau of Investigation) in the U.S. started processing fingerprint cards. These standards ensured completeness, quality and permanency. In the 1980s another standard was devised to herald in the new live-scan fingerprint devices; the Minimum Image Quality Requirements (MIQR) was born. Eventually the FBI allowed virtual fingerprint cards to be submitted electronically and a new set of standards had to be introduced including “comprehensive guidelines on the required message formats and image quality standards” (Higgins 1995, p. 2). Finally the FBI transitioned to the Integrated Automated Identification System (IAFIS). Higgins observed that many of the existing standards had corollaries in the electronic world- they did not just disappear, but were carried over. For example, ANSI/NIST-CSL 1-1993 describes the record types associated with digital fingerprint transmission. 165 The speech recognition community has already developed Speaker Verification API (SVAPI) and the National Security Agency (NSA) sponsored the development of Human Authentication API (HA-API) in 1997. See http://www.bioapi.org (2002). 166 Several specifications were published by ANSI, the International Computer Security Association (ICSA) certified biometrics products for the first time, and AIM USA began undertaking biometrics efforts along with the formation of the International Biometrics Industry Association (IBIA). 167 Ironically Microsoft later dropped out of the race to pursue its own super-interface standard. 168 See the importance of the BioAPI standard in Dunstone (2001, pp. 351-354). 165

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lowest level is where the control of interfaces with devices occurs (Tilton 2000, p. 131).169 Subsequent to the fine work of the BioAPI Consortium has been that of the Information Technology Laboratory (ITL). After the tragic events of the September 11th attacks, biometric standards activities were accelerated in response to newly formed U.S. security legislation. ITL spearheaded this development in collaboration with Federal Agencies, end-users, biometric vendors and the IT industry at large. The current standards activities are extensive and are gaining a great deal of attention.170 6.5.3. Consortiums and Associations Apart from the BioAPI Consortium, a number of other working groups have formed to support biometric technology. These consortiums differ somewhat from the smart card consortiums. They have been established for the purpose of instilling stakeholder confidence in the technology and to bring together key representatives who have a common interest. Among the list of consortiums and associations are the International Biometric Association (IBIA),171 the Commercial Biometrics Developer’s Consortium (CBDC), the Biometric Testing Services (BIOTEST),172 the Association for Biometrics

(AfB),173

the

Financial

Services

Technology

Consortium,174

the

International Association for Identification (IAI),175 and the National Centre for

169

An example of a draft level standard is the Biometric Exchange File Format which defines how to store and exchange data from a variety of biometric devices (Liu & Silverman 2001, p. 30). 170 Some of these standards activities include the INCITS M1-Biometrics Technical Committee, Common Biometric Exchange File Format, ANSI INCITS 358-2002 Information Technology- BioAPI Specification (Version 1.1), Human Recognition Services Module (HRS) of the Open Group’s Common Data Security Architecture, ASNI X9.84-2000 Biometrics Management and Security for the Financial Services Industry, ANSI/NIST-ITL 1-2000 Fingerprint Standard Revision, AAMVA Fingerprint Minutiae Format/National Standards for the Driver License/Identification Card DL/ID-2000, Part 11 of the ISO/IEC 7816 standards, and NIST Biometric Interoperability Performance and Assurance Working Group. For an explanation of each of these see http://www.itl.nist.gov/div895/biometrics/legislation.html (2002) and http://www.ncits.org/tc_home/m1.htm (2002). 171 “The IBIA focuses on educating lawmakers and regulators about how biometrics can deter identity theft and increase personal security” (Kroeker 2000, p. 57). The IBIA has established a strong code of ethics for members to follow. 172 BIOTEST is a European project aimed at developing standard metrics for measuring/comparing the performance of biometric devices. 173 See http://www.afb.org.uk (2001). The AfB want to be considered an international authority on biometrics. “Whereas other industry organisations are mainly designed for biometric industry companies, the AfB’s membership will continue to be a broad church comprising biometric suppliers, end users, government agencies, academics and consultants” (Lockie 2001). 174 See http://www.fstc.org/ (2002). 175 See http://www.theiai.org (2002). 166

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Identification Technology.

Perhaps the most influential of them all however is the

Biometric Consortium (Alyea & Campbell 1996). The Biometric Consortium can be likened to the Smart Card Forum in aim and purpose, except that it is working on behalf of the U.S. Government177 and represented by officials from six executive government departments and each of the military services.178 By establishing one central body for the research, development, testing and evaluation of biometrics, the National Security Agency (NSA) formed the Consortium as part of its Information Systems Security mission and invested personnel resources and funds to provide support to the Consortium. The NSA considered biometrics to have excellent potential for DOD (Department of Defence) applications and other Federal agencies and wanted the independent technical capability to make decisions for government needs.179 The Consortium however, is also concerned with the exchange of information between the government, private industry and academia. If biometrics is to continue to develop worldwide, these vital forms of interaction must continue. 6.5.4. Government and Industry Links with Academia Biometrics research centres have sprouted up all over the globe. This is one technology where there is a lot of scope for government and industry linkages with academia for the development of potential biometric applications. In 2001, for instance, 176

This list was obtained from http://www.biometrics.org/html/sites.html (1998). See also http://directory.google.com/Top/Computers/Security/Biometrics/Organizations/ (2002) for a more complete directory of associations. Some informative sites that are not that well known include the Southern California Association of Fingerprint Officers dedicated to scientific investigation and identification since 1937 http://www.scafo.org/ (2002), the Association for Biometrics in the UK (2002), the TeleTrusT Biometric Group in Germany http://www.afb.org.uk/ http://www.teletrust.de.default.asp (2002) and the Biometric Institute in Australia http://www.biometricsinstitute.org/ (2002). 177 Lawton (1998, p. 18) makes an interesting observation about biometric technologies, stating that “[s]ecurity technologies start with the government, and work their way down to industrial and then finally to personal applications” (Lawton 1998, p. 18). This is true of most auto-ID techniques. 178 The Consortium was established in 1992 (its charter formally approved in 1995) and meets to promote biometrics, create standards and relevant protocols, provide a forum for information exchange between stakeholders, to encourage government and commercial interaction, to run workshops linking academia and private industry and address ethical issues surrounding the technology among other things (Alyea & Campbell 1996, p. 2). It has quite a broad agenda. 179 The U.S. government became especially interested in biometrics in the 1970s. They commissioned the Scandia Labs to compare various biometric identifiers. The report concluded that this technique was more accurate than the others. So influential were the findings of the government-commissioned report, that “[t]he impact of the study was to shift focus on fingerprint technology. Because of this early emphasis on fingerprint technology, the years since 1970 have produced a large body of research and development in fingerprint identification algorithms and integrated systems” (Ruggles 1996 p. 8). Thus it is not surprising

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DOD became a member of the Centre for Identification Technology Research (CITeR) at West Virginia University (WVU). WVU has one of the world’s leading forensics degree programs. CITeR180 was developed in collaboration with Marshall University, Michigan State University181 and San Jose State University to serve as one of the first academic biometric centres. The latter was awarded a 400,000 U.S. dollar contract in 1995 to “study and develop standards for biometric identifiers for use with commercial truck drivers’ licenses” (Woodward 1997, p. 1482). Research on biometrics at San Jose University began in 1994. In 1997 the Biometric Consortium established the National Biometric Test Centre at the university.182 San Jose is also the only university to participate as a member in the Biometric Consortium.183 In Asia, the Hong Kong Polytechnic University have some impressive ties with industry and other academic institutions including the National Tsing Hua University in Taiwan, University of Sinica and University of South Florida. The Lab in Hong Kong specialises in transferring multiple biometric technologies to industry and is currently exploring integrated biometric solutions. It is continually building up its knowledge base as it sees local opportunities for biometrics arising.184 Other universities involved in biometric research include: MIT Lincoln Labs,185 Purdue University, Nagoya University (Japan) and Rutgers University.186 Some of the European universities researching biometrics include: the University of Bologna (Biometric Systems Laboratory in Italy), the University of Neuchatel (Pattern Recognition Group- IMT in Switzerland), and the University of Cambridge (Speech Vision and Robotics Group). that the U.S. government, more than twenty years later, invested time and money into the establishment of the Biometrics Consortium. 180 See http://www.csee.wvu.edu/citer (2002) and http://www.wvu.edu/~forensic/ (2002). “The goal of CITeR is to further the development of biometrics through new technologies research, interdisciplinary training of scientists and engineers, and facilitation of the transfer of this technology to the private and government sectors” (Dobbs 2001, p. 2). According to the CITeR web site, it is the first National Science Foundation Industry/University Cooperative Research Centre focusing on biometrics. 181 See the Pattern Recognition and Image Processing Lab web site which is maintained by Arun Ross and Anil Jain, http://www.cse.msu.edu/rgroups/prip/ (2002). For a list of biometrics publications, including patents, interviews, books and conference proceedings that have come from MSU see http://biometrics.cse.msu.edu/publications.html (2001). 182 See http://www.engr.sjsu.edu/biometrics/ (2002). “The resources of the Test Centre have been brought to bear on substantial questions that have been impeding the evolution of the industry… It is important to recognise that the Test Centre works with people in industry and in government to optimise resources and assist in the development and enhancement of the industry as a whole.” 183 See http://www.engr.sjsu.edu/biometrics/publications_sjsu.html (2002). 184 See http://www.comp.polyu.edu.hk/research/selectproject/4/ (2002). 185 See the Viisage Gallery product based on an MIT facial recognition patent referred to as “eigenfaces” at http://www.viisage.com/facial (1999).

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6.5.5. Legislation and New Technologies Laws almost always lag behind new innovations.187 In the case of biometrics, this is not any different (Walden 2000, pp. 2/1-2/11). Kralingen et al. (1998, p. 2) clearly state that “[w]hen a new technology is introduced, its applicability and the adequacy of existing laws needs to be examined.” Yet opinions are divided whether present laws are sufficient to handle privacy issues or new protections for privacy need to be introduced specifically for biometrics. Right now, biometrics is still new for courts- there is no law governing biometrics.188 The best service providers can do is to develop their own Code of Fair Information Practice (CFIP) to gain the confidence of the consumer, even if these are not enforceable by law (Woodward 1997, p. 1484). It follows from this that there is a growing need for policy makers to understand biometric technology and how unique human features stored digitally can or may be used. Kralingen et al. (1998, p. 1) prefer the proactive approach rather than “simply waiting until problems arise and then think[ing] up an ad hoc legal solution.” By the time a new innovation is introduced and adopted by the mass market, some analysis of the legal implications of those applications can be conducted. At the present, the reverse can be said to be taking place, as governments especially, throughout the world, implement mass market biometric applications for voting189 and social security welfare.190 One of the most contentious issues in biometrics today is whether enrolment in particular applications is obligatory as opposed to voluntary.191 The former has statutory implications (Kralingen et al. 1998, p. 2) because a biometric can be considered a type

186

See http://www.caip.rutgers.edu/ARPA-SLT/index.html (2002). Laws at different levels should be considered including at the constitutional, federal or state level. 188 Woodward (1997, p. 1487) argues that “[w]e do not need a new “Law of Biometrics” paradigm; the old bottles will hold the new wine of biometrics quite well.” See Miller (1971), especially the chapter on the federal government’s handling of information. 189 In 1998 Mexico and Brazil followed several other countries when its national parliaments officially decided to use biometric technology to secure the voting process (Bunney 1998b, pp. 2f). 190 This is not to say that governments are ignoring legislative impacts of the technologies they are using to facilitate citizen services. Rather, it seems that government choices in technology are driving legislation in some states to enable the deployment of more of the same. Wayman (2000, p. 76) supports this argument: “[e]ncouraged or mandated by federal legislation, governmental agencies at all levels have turned to technology in an attempt to meet… requirements.” 191 See Wayman’s (2000, pp. 76-80) important study on federal biometric technology legislation covering drivers licensing, immigration, employment eligibility, welfare and airport security. 187

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of personal data,

192

owned by the individual. However, what court cases in the U.S.

have consistently ruled on, is that certain biometrics do not violate federal laws like the Fourth Amendment.193 O’Connor (1998, p. 9) determined that the “…real test for constitutionality of biometrics… appears to be based on the degree of physical intrusiveness of the biometric procedure. Those that do not break the skin are probably not searches, while those that do are”.194 In purely rational terms it is also a difficult case to argue against a technology that could save governments (and subsequently taxpayers) millions of dollars in areas like Social Security by reducing fraud.195 The fear is however, that biometrics gathered for one purpose could be submitted as admissible proof, in a court of law, for a completely different purpose.196 The debate over access to biometrics has taken on another perspective since the recent terrorist attacks on the U.S. World Trade Centre197 in 2001 and the Bali bombing in 2002. O’Connor (1998, p. 9) prophetically stated years before that “[t]he government may still be able to show compelling state interests in combating terrorism, defending national security, or reducing benefits fraud sufficient to preserve the program’s constitutionality.” In these extreme circumstances (i.e. terrorism attacks) the case for mandatory biometric

192

Perhaps the fundamental question is whether or not a government requirement to record a particular biometric is in breach of one’s legitimate right to privacy (O’Connor 1998, p. 8). 193 See relevant federal court cases Katz v. United States, Schmerber v. California, Rochin v. California, Davis v. Mississippi, United States v. Dionisio, United States vs Sechrist, Perkey v. Department of Motor Vehicles (O’Connor 1998, pp. 8-9). 194 Incidentally, O’Connor’s finding which is looking at the issue purely from a legal perspective is not in contradiction with the pure definition of the “mark” of the beast (Revelation 13:17). In the Greek (New Testament), the “mark” is described as a “charagma”, and is not usually considered a surface feature but an incision into the skin. For a complete definition see Michael (1998, p. 278, ft. 3). 195 For example, in the U.S. changes to Regulation E in 1994 granted citizens, limited liability to EBT (Electronic Benefits Transfer) at the federal, state and local government level. “The Government Office of Accounting (GAO) projected fraud losses as a result of the Regulation E amendment, in the vicinity of 164 million and 986 million dollars” (Fuller et al. 1995, p. 8). In another example in the U.K. the National Audit Office (NAO) reported that one in ten welfare claims are fraudulent. In 1995 NAO estimated that 561,000 people made fraudulent Social Security claims at a cost to the government of 1.4 billion U.K. pounds (SJB ed. 1996b, p. 1). 196 Among the most versatile biometrics used to show criminal activity are fingerprints and DNA. See http://www.biology.washington.edu/fingerprint/dnaintro.html (Brinton & Lieberman 1994). O’Connor (1998) has suggested that guidelines be set-up for biometric records such as in the case where an arrest does not lead to a conviction etc. See also the national DNA database established by the FBI (Herald Tribune 1998, p. 7). The database is similar to that launched in the U.K. in 1995 that has matched 28,000 people to crime scenes and made 6,000 links between crime scenes. 197 As a result of the September 11th attacks, the U.S. moved quickly to create several Public Laws. Relevant to biometrics are Public Law 107-56 and Public Law 107-71. The former describes the appropriate tools required to intercept and obstruct terrorism and the latter focuses on introducing emerging technologies like biometrics for airport security (including passengers and airport personnel). See http://www.itl.nist.gov/div895/biometrics/legislation.html (2002). See also Snyderwine and Murray (1999). 170

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identification is a lot stronger.

198

Having said that, government applications that use

biometrics should be considered carefully. Kralingen et al. (1998, p. 3) stipulate that the government has a role to play in ensuring that an adequate framework is in place for a given context, that special attention be placed on user acceptance, and the quality of critical social processes is to be guaranteed.199 6.5.6. Privacy: Friend or Foe? There are two schools of thought when it comes to biometrics: either these devices are privacy safeguards or they are privacy’s foe.200 The positions can be summarised: 1) biometrics do help to protect an individual’s right to privacy because identification is ensured and access to information is limited; 2) biometrics is “a threat to civil liberties, because it represents the basis for a ubiquitous identification scheme, and such a scheme provides enormous power over the populace” (Clarke 1994).

Those who belong to privacy’s foe hold numerous fears201 about biometrics and related technologies. First, they do not like the idea that they must give up a biometric identifier which is unique. Second, they believe that an underground market will form around

198

When comparing the mandatory recording of a biometric feature against the innocent loss of lives in a terrorist attack, biometrics as a ‘human rights violation’ diminishes in importance. However, “[w]hile some people have revised their opinions about the invasiveness of various biometric techniques in light of September’s tragedies, the privacy debate continues throughout the US. If this hurdle is to be overcome, accurate information and education will still be required” (Watson 2001). 199 The legislative process to get a bill through parliament can take a long time. In the case of the Connecticut DSS (Department of Social Security) it took three years for welfare recipients (those on general assistance (GA) and Aid to Families with Dependent Children (ADFC)) to be digitally fingerprinted. Jeanne Garvey who worked on the legislation said the process was unexpectedly difficult. She is quoted as saying “I didn’t know the process or the key people, but I know one thing- if you want to get something done you go to the top” (Storms 1998, p. 2). The article by Storm on Garvey shows the complexity of human relationships in these types of projects. One is left to ponder on whether Garvey’s endeavour to reduce DSS fraud turns out to be a self-seeking journey to topple her opponents. Garvey says: “[i]f you want something badly enough, you have to be in people’s faces a little bit harder”. Perhaps however, it is not about wanting something badly enough, it is about doing the right thing by citizens, since as a senator you are acting on their behalf. Garvey continues: “I had to baby-sit this thing like a hawk… the thing I learned through this whole experience was never, never, never give up… these are once-in-a-lifetime type things” (Storms 1998, pp. 3-4). 200 For a thorough explanation of the notion of privacy foe within biometric literature see Woodward (1997, pp. 1485-1487). He also discusses the notion of privacy’s friend (pp. 1488-1489). See also http://www.dss.state.ct.us/digital/privacy.htm (1998). Dunstone (2001) describes the opposing thoughts in another way, those users who believe that there is no downside to privacy by using biometric technology and those who would only use biometrics in extremely limited circumstances (if at all). He writes: “[b]oth sides have salient points to back up their views. However there is significant middle ground which deals with the responsible and pragmatic use of biometrics”. 201 See Computing (1999), ‘Why the fear of biometrics?’ and Moskowitz (1999, p. 85). For the risks associated with biometrics see McMurchie (1999, p. 11). 171

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biometric data. Third, that biometric data may be used for law-enforcement purposes.202 Fourth, some biometric data may be linked to centralised databases containing medical history (Woodward 1997, p. 1484). Fifth, data gathered for one purpose will be used for another depending on who has power over it203 (this is known as function creep).204 Sixth, biometrics technology discriminates some persons with disabilities.205 It is to this end that widespread consumer acceptance of the technology has been hampered.206 The following paragraph is a typical scenario of what civil libertarians claim they are fighting against.207 Imagine an America in which every citizen is required to carry a biometrically-encoded identification card as a precondition for conducting business. Imagine having your retina scanned every time you need to prove your identification. Imagine carrying a card containing your entire medical, academic, social, and financial history. Now, imagine that bureaucrats, police officers, and social workers have access under certain circumstances to the information on your card. Finally, imagine an America in which it is illegal to seek any employment without approval from the United States government (Williams 1996, p. 1).208

202

See http://dlis.gseis.ucla.edu/people/pagre/bar-code.html (Agre 2001). Agre argues: “[f]ace recognition systems in public places… are a matter for serious concern. The issue recently came to broad public attention when it emerged that fans attending the Super Bowl had unknowingly been matched against a database of alleged criminals…” (p. 1). See also Lockie (2001b) and Scholtz & Johnson (2002, p. 564). Agre provides the most extensive list of web resources for both sides of the debate. His concerns about facial recognition are similarly voiced by Rosenweig (2000). In Hong Kong, Mathewson (1998) reports how hair testing helps detect drugs in school students. In this case, if a sample of hair was retained for DNA records it would be unethical. 203 Davies is adamant, “[w]e would go for outright prohibition on the transfer of biometric data for anybody, for any purpose. If I give my biometric data for a specific purpose then it is locked-in, for all time, for that purpose. I cannot give my consent for its transfer and no one can force, or request for access to that information” (Roethenbaugh 1998, p. 2). 204 The U.S. social security number (SSN) introduced in 1936 is an excellent example of function creep (Hibbert 1996, p. 686). It ended up being used by the banking sector, among numerous other uses. “The risks to privacy therefore do not lie in data by themselves, but in the way in which they are concatenatedor, more, generally, ‘processed’ or ‘handled’- for some specific purpose” (Sieghart 1982, p. 103). 205 Jim Wayman, head of the National Biometrics Test Centre at San Jose State University, says that biometric systems are not perfect. He notes that 2% to 3% of the population cannot use them at a given time: “[e]ither they don’t have the (body) part or the part doesn’t look and work like everyone else’s, or something is just off” (Weise 1998, p. 2). 206 Service providers are aware of people’s privacy concerns and are conducting trials before implementing fully operational biometric systems to gauge the amount of end-user resistance. For example, when Nationwide considered using iris identification, a spokesman said: “[i]t’s a very unknown area, and we want to see what the reaction is like and whether or not it is commercially viable” (Craig 1997, p. 3). What trials have discovered is that in general, “[t]he less intrusive the biometric, the more readily it is accepted” (Liu & Silverman 2001, p. 32). However there are certain groups such as religious and civil-liberties groups that have rejected the implementation of any biometric technology altogether. 207 See Woodward (1997, pp. 1489-1490) and the idea of biometric centralisation versus balkanisation. 208 For a discussion on the S. 269 bill that was put forward in 1996 to Congress see Williams (1996, pp. 23). 172

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According to Wayman (2000, p. 76), the privacy fear is very much related to how governments could use biometric records in the future to track individuals in realtime.209 In an interview Davies states: “[w]e can conceivably end up with a multiple purpose national/international system from which people can’t escape” (Roethenbaugh 1998, p. 2).210 Perhaps the most controversial of all biometrics is DNA and its potential future applications.211 6.5.7. End-User Resistance Biometrics has also differed to any other auto-ID device before it, in terms of its level of invasiveness.212 People were used to remembering PINs and carrying cards but they were definitely not used to using body parts to grant them access to funds etc. Biometrics has forced an ideological and cultural shift to take place. The human body almost becomes an extension of the machine for that one moment that the physical trait is being verified or authenticated.213 This is what could be considered intimate human-

209

Wayman states that those people who propose, design and implement biometric solutions for government applications are sympathetic to citizen concerns about potential breaches in privacy etc. This is likely to be true but as vigilant as the technology providers may be there are defining limits to the number of hours and the number of resources any one company can dedicate to a project. In a perfect world, a perfect biometric solution could operate without any qualms but the world we live in is not perfect, and no one can categorically state that a system is full-proof even if the teams working on the solutions do their very best. See Dale (2001) who writes that privacy concerns are an issue for biometrics used for law enforcement. The challenge is in the sharing of sensitive data between the relevant agencies. 210 It is interesting that Davies notes that “[w]e are always thinking about The Terminator at some point in the future”, in response to Roethenbaugh’s comment on the movie. This can be associated back to the movies referenced in the Literature Review as to possible insights into the future. 211 According to the Privacy Committee of Canada (1992), current and potential uses of genetic testing (i.e. acquiring a DNA sample) include: workplace testing, screening associated with human reproduction, screening as part of basic medical care, genetic screening to determine the right of access to services or benefits, forensic DNA analysis in criminal investigations and testing for research (pp. 16-25). For example: “[e]mployers (both public and private sector) may wish to identify “defective” (less productive) or potentially defective employees or applicants through genetic screening” (p. 16). “Governments may one day wish to test persons to see if they are genetically suited to have access to certain services (advanced schooling, immigration or adoption)… or benefits (disability payments)” (p. 20). “Forensic analysis identifies victims and connects suspects to crimes. In about one-third of the cases in which it is used in the United States, it exonerates suspects by showing that their genetic samples do not match samples taken from a crime scene” (p. 21). While the Privacy Committee of Canada offer a number of recommendations, one can only begin to ponder on the potential privacy issues linked with such widespread use of DNA. An incorrect record entry could affect an individual’s life indefinitely. 212 According to the Sandia report, retinal scan had the most negative client reaction when compared to other biometric techniques. The “users have… concerns about retina identification, which involves shining an infrared beam through the pupil of the eye” (Ruggles 1996, p. 7). See also Gunnerson (1999), ‘Are you ready for biometrics?’ 213 Davies (1996, pp. 236-239) describes something similar to this in his section entitled the Future of Fusion. 173

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computer interaction (HCI). And biometrics designers have had to pay attention to consumer requirements when building biometric systems to minimise resistance.214 Fears of ‘Big Brother’- combined with intrusive measuring devices such as bright lights and ink pads- have had even technophiles dragging their feet on occasion. As the systems have become less intrusive however, user resistance has dwindled, but the suspicion is still there, vendors said, and agencies should not underestimate the importance of a user feeling comfortable with a technology (Lazar 1997, p. 4).

While designers can respond to making biometric systems more user friendly, they really cannot cater for the needs of those people who hold religious beliefs about how biometric technology may lead to the fulfilment of prophecy in the Book of Revelation (13:16-17).215 16 Also it causes all, both small and great, both rich and poor, both free and slave, to be marked on the right hand or the forehead, 17 so that no one can buy or sell unless he has the mark, that is, the name of the beast or the number of its name.

Short of calling this group of people fundamentalists, as Woodward (1997, p. 1488) refers to one prominent leader, Davies is more circumspect: “I think they’re legitimate [claims]. People have always rejected certain information practices for a variety of reasons: personal, cultural, ethical, religious and legal. And I think it has to be said that if a person feels bad for whatever reason, about the use of a body part then that’s entirely legitimate and has to be respected” (Roethenbaugh 1998, p. 3).216

Opponents to the DSS Connecticut fingerprint imaging scheme for instance, mostly argued that fingerprinting was invasive and dehumanising.217 These opponents cannot 214 For example, the stigma that biometrics is for law enforcement has some users opposed to being fingerprinted even for physical access control applications (Lazar 1997, p. 2). When biometrics for social security services was first proposed in the state of Connecticut to say it was controversial “…would be an understatement… Public perception and the association of fingerprinting with the criminal element was pervasive” (Connecticut Dept. 1998, p. 1). But this in itself did not stop its implementation. 215 See some religious publications (in Greek) that are against some applications of auto-ID technology including: Hristodoulou (1994), Kontogiannis (1994), Witness (1993), Moulatsioti (1991), Greek Herald (1988) and Athonite Monks (1986). Moulatsioti, now an Abbot of an Orthodox monastery even produced an album with a hit song titled ‘say no to the chip’. He also dedicated a whole issue of his Orthodox Witness periodical, 18(109), in opposition to financial applications of auto-ID. See especially April-June (2000, pp. 2-9, 46-68). Articles are often published against auto-ID, especially smart card. 216 Dunstone (2001), the executive director at the Biometrics Institute also adds “[p]ublic concerns over biometric use should be taken seriously. It is particularly important that these issues are openly recognised as valid, both by the biometric vendors and by system implementers, if they are to reduce the risk of adverse public sentiment, particularly for those systems that are intended for wide scale deployment.” 217 See Jain, A. et al. (1999, p. 35): “[a]ny biometrics-based technology is traditionally perceived as dehumanising and as a threat to an individual’s privacy rights”. Sims (1994) discusses the decriminalisation of the fingerprint.

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be considered fundamentalists because they do not agree with the State. The naive response of the DSS was to “narrow [public] perception” by making the states chief executive the first to be fingerprinted (Connecticut Dept. 1998, p. 2).218 Of course, if it was that easy to change public perception, it would be equally easy to change people with all sorts of cultural, religious and philosophical objections against biometrics. This kind of intolerance to diverse attitudes however is dangerous.219 One of the least discussed topics in biometrics which is related to privacy is ethics. Davies stated in 1998 that “[t]he biometrics industry need[ed] to develop an ethical backbone” (Roethenbaugh 1998, p. 3). This was with specific reference to the targeted use of biometric technology on minority groups such as prisoners, uniformed personnel and the military. Davies is quoted as saying: “I’ve heard it said that captive groups are a good target market and that the biometrics industry can work outwards from there… The idea of target captive populations is offensive and sneaky” (Roethenbaugh 1998, p. 3). In the same token, multimodal biometrics220 present more ethical dilemmas. The legitimacy of one or two biometrics being used for a variety of applications may be warranted but the use of numerous biometrics could be considered somewhat intrusive and dangerous.221 However, multimodal biometrics vendors pronounce that several modalities “…achieves much greater accuracy than singlefeature systems” (Frischholz & Dieckmann 2000, p. 64). In the final analysis, “[d]espite 20 years of predictions that biometrics devices will become the next big thing, proliferation has been slow because of technical, economic, human-factor, legal, ethical, and sociological considerations” (San Jose 2002, p. 1). Until these matters are brought to the fore biometrics innovation will be stifled.

218

Another strategic plan to change public perception was the publication of the Digital Imaging Fact Sheet with answers to frequently asked questions (FAQ). In addition to this an Internet webpage was also set up. 219 The Federal Privacy Commissioner and the president of the Australian Council of Liberties have expressed concerns over privacy implications for an Australian passport based on face recognition. The response has been “whether we like it or not, it’s going to happen” (Withers 2002, p. 79). 220 “Sandia envisage multiple biometrics being used for ultra-secure physical access control applications in the future. They are working on a system that simultaneously applies facial, voice and hand geometry checks” (SJB ed. 1996, p. 1). 221 Multimodal biometrics may be convenient but there still seems to be a fair degree of privacy issues that have not been considered. It is regularly expressed that “[c]ivil libertarians worry that we’re moving toward a world where our privacy is the price of convenience” (Weise 1998, p. 1). 175

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6.6.

RF/ID Tags and Transponders: The New Arrival

6.6.1. A Time to Grow, a Time to Nurture Due to the relatively small number of manufacturers in RF/ID222 coupled with the lack of standardised equipment, service providers have had a limited range of systems to choose from.223 According to Kitsz (1990, p. 3-41) the issue of interoperability has hardly been addressed.224 Users cannot pick and choose different equipment from several vendors based on price or capability (or any other differentiating factor) with the assurance that everything will work together.225 In fact, the likelihood at present is that equipment will not work together seamlessly.226 For instance, tags purchased from one vendor may not be read by a device from another vendor.227 The goal of standardisation is to create a generic tag and reader that ideally could be purchased from several vendors, resulting in lower costs and multiple ready sources of supply. While standardisation makes specifying easier, standards pose a problem in that the tag-to-reader communication is typically

222

In 1997 Geers et al. (p. 90) identified only “ten manufacturers of passive electronic identification transponders for animals (subcutaneously injectable, bolus, eartag).” Some of the companies on this list included AVID, DataMars, Destron/ID and Euro-ID/Trovan. Within a space of one to two years, this figure more than tripled to include companies that specialised in other applications apart from transponders for animals. Some of these companies include: Amtech Corporation, Checkpoint Systems, Cochlear, Electronic Identification Devices, Elmo-Tech, HID Corporations, Identichip, LipoMatrix, Tagmaster, and Trolley Scan. More recently, the potential of RF/ID has drawn many new companies to the technology, especially for supply chain automation and the tracking of humans and animals. 223 “At the end of 1988 there were approaching 500 companies which either manufacture or supply auto ID technologies and which were members of an AIM association somewhere in the world” (Smith 1990, p. 49). This figure of 500 includes companies involved not just in RF/ID tags and transponders but other auto-ID devices as well, i.e., the whole auto-ID industry. This figure should not be misinterpreted or quoted out of context. 224 More recently however, some efforts to standardise on certain criteria have begun. 225 As Gerdeman has precisely captured, “[s]tandards have been a cornerstone to the computer revolution and the identification community. Without standards the user community would have significant troubles in communicating with their constituents, gaining significant productivity from common capabilities, or having a point of comparison reflecting the views of the experts” (Gerdeman 1995, p. 45). 226 “[S]ystems of one vendor must be compatible with those of another, and must additionally operate under both foreign and domestic regulations. Efforts to develop standards for RFID and various applications are continuing” (Scharfeld 2001, p. 9). 227 This conflict in RF/ID equipment is prevalent in the microchipping of domesticated animals. One politician in Taipei called the microchipping of animals the “joke of the century”. Shu-ling (2001, pp.1f) explains that “… electronically tagged dogs haven’t been reunited with their owners because of the poor quality of some ID chips or conflicting scanner and tag systems… competing tag and scanner systems available on the market make it difficult to facilitate reunions, as public shelters are unlikely to be equipped with a collection of different scanners that could decode every chip in existence.” See also an American Pet Association (APA) press release discussing the shortcomings of animal chip implants at http://www.apapets.com/pro1.htm (2001). These shortcomings could be overcome with standard equipment. Compare these references with Simpson (2002, p. 5), ‘Microchip saves trauma for Benson’. “Mrs Stewart said she feared for the worst when her dog went missing. But council rangers were able to identify Benson because he had been microchipped and obtained a lifetime registration.” 176

The Dynamics of the Auto-ID System of Innovation proprietary to each manufacturer. The problem is compounded by the fact that tags come in many differing forms and information capacities, and are used in different environments.228

This has surely deterred some users from choosing RF/ID over other auto-ID technologies. Consider the service provider who needs to make a large investment in RF/ID and only has a choice between vendors and not between equipment components such as tags, transponders, readers, software, etc. In this instance, a proprietary solution from one vendor alone has major implications.229 To offset this predicament, advocates of RF/ID point to the ever-increasing investment in new start-up companies focussed on RF/ID technology and applications. These new companies are vital to the technology’s accelerated growth. As users, present and potential, see more and more players entering the market they become more comfortable with the technology and are more likely to purchase RF/ID systems for long-term solutions. Ames (1990, p. 6-10) uses the words “legitimacy” and “credibility” to describe the effects that new companies have on users and the industry worldwide.230 6.6.2. Standardisation: Opposing Forces at Hand The fact that some RF/ID manufacturers see standardisation as a threat to their survival (Ames 1990, p. 5-6) does not comfort potential users at all.231 Some manufacturers believe their core business is based on remaining a closed system supplier so they are not concerned about contributing to a global standards process. The reality is that conforming to a set of open standards will inevitably lead to a reduction in competition based on proprietary interfaces and protocols. Other differentiating factors will subsequently become the basis for competitive advantage. As RF/ID begins to find applicability in open systems, vendors have a lot to lose if they are not willing to

228

See http://www.autoidnews.com/technologies/concepts/need.htm (Auto I.D. News 1998, pp. 2f). For instance, will the vendor support products sold for the lifetime of the business? Will the vendor maintain the system for a substantial period of time? Will future product changes mean that the user will have to make future mandatory investments? Will future expansion cost too much to implement? 230 More recently however, users are becoming more critical of new start-up companies in most areas of IT&T. Citizens are even more cautious today to buy shares in any company that has not proven itself over time. As one industry analyst put it, the technology needs to be ‘cooked not eaten raw and today’s businesses have products that haven’t even thawed’. Compare this remark with the pre-dot.com crash article written by Ferguson (2000, p. C1) about how “to think big, start smart and scale fast” in the new competitive economy. 231 RF/ID veteran, Gerdeman, (1995, p. 45) states that “[g]enerally, politics surround the formation of a standard. There is also a significant amount of technical engineering support” that is required. See also http://www.rfidnews.com/returns.html (2002). 229

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conform to a set of standards. The potential for the technology is incredible but as long as “[n]obody’s system is ever compatible with anybody else’s” the technology will fall short of its mark (Kitsz 1990, p. 3-41). Ames’ (1990, p. 5-8) prediction that interoperability will become a critical issue after the year 2000, particularly for applications with a global purpose, has been found true. In the example of herd management, tags are still utilised in proprietary environments. Worldwide, governments have started to impose regulations which will affect farmers, particularly in Europe and the U.S. As traceability of individual animals, literally from the farm onto the kitchen table, becomes a directive rather than a proposal, “[i]nteroperability is essential, and any animal identification system that is not compatible with the larger system will lose its value” (Look 1998, p. 3). Technology providers will be forced to weigh up the benefits and costs of standardisation, the latter of which are likely to be short-term. 6.6.2.1.

From Industry-Specific to Global Standards

“According to industry experts, the growth of RFID, despite its potential, has been stymied by the inability of RFID systems to communicate with each other” (Tuttle 1997, p. 7). The problem is very much related to the manner in which RF/ID technology was applied historically. As new applications for RF/ID were conceived, lead manufacturers with the greatest expertise in that area funnelled their resources towards getting that application to market. Over time, standards were developed sporadically and in almost every case prior to 2000, those standards (if any) were industry-specific, for instance for trucking, rail, etc.232 To solve this problem some manufacturers are now working towards a RF/ID global open standard for communications. Several industryspecific233 and global organisations are progressing towards addressing RF/ID standardisation, hopefully to bring about some commonality in systems.234 Some of

232

“All major RFID vendors offer proprietary systems, with the result that various applications and industries have standardised on different vendors’ competing frequencies and protocols. The current state of RFID standards is severe Balkanisation… This lack of open systems’ interchangeability has hindered RFID industry growth as a whole, and has resulted in slower technology price reductions that often come with broad-based interindustry use” (AIM Global 1999, p. 2). Tuttle (1997, p. 7) agrees that “[s]ingle source supplying creates monopoly, which drives prices up- and deters customers.” 233 For detailed industry standards on ISO Freight Containers and the American Trucking Association (ATA) see chapters 6 and 7 of Gerdeman (1995). 234 Common items of concern listed by Gerdeman (1995, p. 46) that should be considered as part of the standardisation process include: reliability, accuracy, tag life, speed, temperature, frequency, tag position, data content and distance. 178

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these can be found in table 6.5. More recently, new RF/ID ventures like the Electronic Product Code (EPC) initiative of the Auto-ID Centre fully appreciate the importance of standards. Part of the vision of EPC is to create a “Smart World” where there is intelligent infrastructure linking between objects, information and people, through a computer network. This infrastructure would be based on “…open standards, protocols and languages to facilitate worldwide adoption of this network” (Brock 2001, p. 5). Before launching any type of commercial product the Auto-ID Centre is settling on a standardised architecture model. Table 6.5 RF/ID Standards and Committees

Please see print copy for Table 6.5

6.6.2.2. Organisations Supporting Change The most influential standards-support group in RF/ID has been AIM. “AIM brings together products with one common capability... [and] has been liberal in including products in the definition235 of automatic identification” (Ames 1990, p. 519). AIM differs from other organisations in that its purpose is industry-wide. With such a massive potential in auto-ID there was a need “for a specialist non-commercial association to coordinate national and international education. AIM has now firmly established itself as such an association” (Smith 1990, p. 49) and with global coverage.236 It offers a host of services including a library of technical literature, an online web site www.aimglobal.org, educational videos, comprehensive exhibitions and conferences on auto-ID (e.g. SCAN-TECH), it publishes Auto ID Today and it is a

235

Byfield (2002, p. 1) concurs with Ames that the term “Auto ID” is an umbrella word to represent all technologies which automatically identify coded items. However, more recently, the term seems to have been “hijacked to mean only miniscule RFID tags.” 236 First set up in the United States as the Automatic Identification Manufacturers (AIM) association, similar associations are now in operation in New Zealand, Australia, Japan, Korea, Europe in general and France, Britain, Denmark, Finland and Spain on a national basis. “These associations have been licensed to operate as AIM affiliates by AIM International, the overall governing body…” (Smith 1990, p. 49). AIM member companies are located in all these countries and they are mostly technology providers, inventors, developers and suppliers of auto-ID technologies. For a list of AIM contacts and locations see http://www.aimglobal.org/techinfo/rfid/aimrfidbasics.html (AIM Global 1998, p. 13). 179

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cosponsor of the Auto-ID User Association

237

among other things (Smith 1990, p. 50).

ISO has also realised the importance of RF/ID standards and together with the International Electrotechnical Commission (IEC) has sponsored a Joint Technical Committee (JTC)238 to accomplish some milestones. Two committees that are addressing the critical issues of standardisation include: Sub-committee 31 (SC31)239 Automatic ID and Data Capture and Sub-Committee 17 (SC17) Contactless Card Working Group.240 There are ways to bypass particular steps in the ISO process but one should be aware that there are potential pitfalls to fast-tracking (Halliday 1999, p. 1). 6.6.3. Abiding to Regulations 6.6.3.1.

Frequency Ranges and Radio Licensing Regulations

Manufacturers may voluntarily respect standards but they must abide by regulations. RF/ID requires the use of radio spectrum “[b]ecause RFID systems generate and radiate electromagnetic waves” (Finkenzeller 2001, p. 111). It is important that radio services of any kind do not impact one another negatively. To this end, RF/ID systems are allotted a special frequency range within which they may suitably operate.241 RF/ID systems designers need to comply with these regulations. It should also be noted that the spectrum available for RF/ID is a limited national resource which is managed independently by each country.242 For example, in Japan there is no spectrum available for RF/ID as it has been taken up by other radio services. Ames (1990, p. 6-10) and Marsh see this as a serious impediment to RF/ID which will however be rectified in the long-term.243 Marsh writes:

237 As Smith (1990, p. 49) well observes, “[t]he Association is in the unique position of helping users and potential users understand the benefits, develop standards, apply the technologies and solve the technical problems that can arise…” 238 See http://www.jtc1.org/ (1999). 239 See http://www.uc-council.org/sc31/home.ht (1999). 240 See http://www.autoidnews.com/technologies/concepts/need.htm, (Auto I.D. News 1998, pp. 2f). The working group, ISO/IEC JTCI/SC31/WG4, is aiming for standardisation which will allow interoperability (Franciosi 2001, p. 7). 241 See also Finkenzeller (2001, ch. 5). 242 As well as international regulations there are also national licensing regulations. For example, “[i]n the U.S.A. RFID systems must be licensed in accordance with licensing regulation FCC Part 15. This regulation covers the frequency range from 9 kHz to above 64 GHz…” (Finkenzeller 2001, p. 123). 243 “A new CEPT harmonisation document has been available since October 1997 that serves as the basis for new regulations. The old regulations for Short Range Devices (SRDs) are thus being successively withdrawn. This document also refers to the ETSI standards EN 300330, EN 300220 and EN 3000440 that are relevant to RFID systems” (Finkenzeller 2001, p. 119).

180

The Dynamics of the Auto-ID System of Innovation [i]n order to bring a measure of uniformity the world has recently been divided into three regulatory areas with a view to trying to get some uniformity within the areas. Uniformity will however only be achieved towards the year 2010 as it requires each country to implement the plans for that region. The regions are: (1) Europe and Africa, (2) North and South Africa, (3) Far East and Australasia.244

Related to the issue of regulation,245 Geers et al. (1997, p. 4) see the major problems of RF/ID as being “the availability of sufficient radiofrequencies with adequate bandwidths, the complexity of governmental regulations and, extremely important, the interference of other users. Another aspect regarding implant applications is the potential damage of the high-frequency waves to the living tissue.” Particular applications will be allotted particular frequency bands, according to the bandwidth required for an application to be successful. For example, injectable transponders require a frequency band of less than 125 kHz whereas an EAS (Electronic Articles Surveillance) transponder systems in retail stores require between 1.95 mHz and 8.2 mHz. Thus RF/ID regulation can be broken down into four levels- international, national, local246 and application-specific, the latter of which will be discussed below. 6.6.3.2.

Application-specific Regulations

The tracking of farm animals is beginning to be stringently regulated in some countries. Among the most regulated markets for the identification and recording of animals is within the European Union. The Council Directive 92/102/EC of 27 November 1992 made it mandatory for certain types of livestock to be marked. In the U.S. AIM and the National Livestock Trust are playing a coordinating role with regard to farm animals. “However, there is no consensus on whether or not one system has to be used for all species, and whether or not there should be only one central database” (Geers et al. 1997, p. 29). In the U.K. farmers ear tag their animals and record them in a

244

See http://rapidttp.co.za/transponder/frequenc.html, (Marsh 1998, p. 1). For relevant RF/ID standards and regulations see appendix 15.1, (Finkenzeller 2001, pp. 293-294). 246 In the City of Toronto, as in many cities and municipalities of the world, there are microchip by-laws for pets like dogs and cats. License fees vary depending on the length of the license (annual versus lifetime). In some cities penalties apply for non-compliance (e.g. Indianapolic, Ind., Albuquerque, N.M., and Dade County, Florida). See http://www.petnet.ca/files/municipal.htm (1999). See also the Ventura County Animal Regulation on microchip implants at http://www.ventura.org/animreg/infopet.html (2001) and the Australian Companion Animals Act. A local Australian council pamphlet for the municipality of Kiama, NSW, stated: “[a]fter 1 July 1999 we must permanently identify and register any puppy or new dog. We have three years to transfer older dogs from annual registration to the new lifetime system… Also from 1 July 1999 all cat owners must identify their cat either by collar and tag or by microchip” (Local Government 1998, p. 3). 245

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central database 36 hours after birth. Farm animals in the Netherlands have been uniquely identified since 1975 for animal health and breeding support. Farmers have the choice of plastic or electronic ear tags or injectable transponders. In the future the animal’s DNA code may be used as a unique identifier. Farmers in the Netherlands use ISO protocol (ISO/DIS 11788-1) to exchange information with central registers. In Belgium a system called SANITEL is in operation which was developed by the Ministry of Agriculture for disease surveillance and premium control (Geers et al. 1997, pp. 29-32). Ever since major outbreaks of bovine spongiform encephalopathy (BSE) in Europe,247 the most recent of which was in 2001, and even greater number of regulations have been introduced by government bodies.248 6.6.4. The Importance of Collaboration 6.6.4.1.

Collaboration within the Firm

RF/ID systems are nowhere near as straightforward as bar code systems. With developing standards, enforced regulations, and technical rules to follow, open internal collaboration within RF/ID companies themselves is paramount. Both as an entrepreneur and employee, working for a new high-tech company is a challenge. Resources are limited and employees are most likely to be juggling more than one job role. When RF/ID companies were initially established, interaction between firms was still premature with few competitors willing to share any part of their intellectual property. Thus entrepreneurs of new start-ups have to be focussed- on employing the right people with the necessary skills and experience,249 to be motivated to achieving company goals, to attract investors,250 to have sufficient capital to continue the

247

See http://www.bse.org.uk/, http://www.pbs.org/newshour/bb/health/mad_cow.html (2002), http://www.fda.gov/opacom/backgrounders/bse.html and http://www.mad-cow.org/ (2002). 248 In the case of the mad cow disease the European Union implemented new rules as of January 2001 “…requiring all cattle over 30 months old to be tested for the disease. The EU has set aside about $1 billion for the tests, which cost about $100 per animal… The European Commission estimates the cost of incinerating slaughtered animals at $3.3 billion”. See http://www.pbs.org/newshour/bb/health/mad_cow.html (2001). With such losses, countries are looking to safeguard themselves from future disasters by using RF/ID tags and transponders. See also Associated Press (2001). 249 See how human resources play a key part in the success of any e-business (The Globe 2000, p. C3). 250 activeRF “succeeded in completing its first round of funding. Having completed the experience Beart learnt that investors bring much more than money and the importance of checking the skills of his direct and indirect team. He also learnt that, in raising finance, it is important to act in good time and keep a buffer. It is interesting to note that in the several months since the investment, about one third of the initial investment has been spent on professional fees, including lawyers for investment and commercial 182

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development of products and to be able to pay for on-going expenses (Ames 1990, p. 612).251 Without products, customers cannot buy any equipment from a company, and without frequent incoming sales revenue a business will eventually discontinue operating. This is another reason why companies start small and build up over time. RF/ID companies have traditionally begun with a size of 5-10 employees and reached levels of 80-100 persons as customer demand increased.252 The initial team usually comprises of experts that are technical and have general application knowledge.253 The employer is usually the one that builds up the reputation of the firm and makes the initial customer contacts, as well as keeping abreast with what everybody else in the industry is doing.254 As the start-up company becomes involved in the bidding process and wins contracts, a new interactive process begins between the firm and the customer. Ames (1990, p. 5-21) describes this creative process of product innovation in RF/ID: The products either come into existence primarily in two ways. First, a company goes outside the ‘business or industry they are in’ to combine existing technologies in a new way, or second potential customers describe problems facing them and the attributes of various products that are needed to solve the problem and this description becomes the blue print for a totally new product. In either case, confusion about what exists, stimulate creative thought and results in a new product- as in the hypothetical example- or a new way to apply existing ones, resulting in a higher quality solution for users.

contracts, and patent agents.” See http://www.cec.cam.ac.uk/teaching/vln/fhg1/rc/cases/activeRF.htm (1999). 251 See also Driefus and Monk (1998, ch. 10) for an overview of smart card development skills, methods and tools. 252 Some larger companies that manufacture contactless smart cards have very large global staff counts however due to the recent downturn in the economy have begun to lay off thousands of employees. For news on staff reductions at Gemplus and Schlumberger see RFID Journal headlines on 12 December 2002, ‘Smart card companies slash jobs’, http://www.rfidjournal.com/news/dec02/jobcuts121202.html. These two companies have announced a collective reduction in their workforce of 4,300 employees. 253 The most valuable employee in the formative years of an RF/ID company is one that can deliver solutions to meet the customer’s requirements. The employee will typically have good communication skills to complement their sound technical know-how. Biomark’s “Our People” description on its web site stated that the company employed people with a wide range of expertise and experience. Drawing these individual resources together to work as a team is paramount. “The team concept used in developing a system ensures the customer of a well thought out, tried and tested solution…” The “Company Philosophy” description supports this: “[d]evelopment and innovation emerge from Biomark’s strongest resource- its employees. Employees are actively encouraged to pursue new theories and ideas in an environment created to foster intellectual growth and development. A team philosophy is utilised in creating new systems for clients; a solution is built upon a solid platform of unified individual strengths” (Biomark 1999, pp. 1-2). 254 In a great number of countries, particularly in Asia, entrepreneurs realise that it is not solely about ‘who has the best product at the least cost’ but about developing business relationships. 183

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6.6.4.2.

Private Enterprise and University Collaboration

As firms grow in confidence and stature new relationships begin to take shape outside the company. The least threatening relations a technology provider can form are those with public institutions such as universities. Not only is this a positive public relations (PR) strategy but the research conducted can bear some good fruit.255 For example, Symbol Technologies established an affiliation with Nankai University of Tianjin in China to support technology-based research. Symbol has strategically chosen a China-based university as a way to show local business partners in commerce and government that it is committed to solutions for the Chinese market. In addition, “Symbol Technologies has always placed a great emphasis on training and education. Some of the most important technological breakthroughs that Symbol has developed has been achieved by working closely with universities” (Picker 1999, p. 1). A number of university-based research projects have also been funded by the Defense Advanced Research Projects Agency (DARPA) involving RF/ID including investigations into the miniaturisation of RF/ID tags (i.e. the PENI tag256) and landmine detection257 equipping bees with RF/ID “backpacks”.258 Perhaps the most proactive university-based RF/ID initiative was the establishment of the Auto-ID Centre. “The Auto-ID Centre is an industry sponsored research centre charged with investigating automated identification technologies and their use with disparate technologies such as the Internet” (Engels et al. 2001, p. 76). Already the Centre has the support of bar code associations like the Uniform Code Council and EAN International. It is also funded by major companies like Proctor and

255

Elektrobit is one company that enters into partnerships with universities because it feels it is their social responsibility to support students, PhD’s and institutes. “We cooperate with different university teams in Europe especially in Switzerland, including the Swiss Federal Institute of Technology Zurich (ETHZ), HSR University of Applied Research Rapperswil and Aalborg University Denmark, Centre for PersonKommunikation” (Elektrobit AG. 2002, p. 1). The company also highlights that it benefits from the research being conducted by the universities. 256 Professor Mickle of the University of Pittsburgh may have contributed to a monumental RF/ID technical improvement but he candidly states: “I’m not a good judge of what makes a good product… [noting he has no ambitions to dive into the business himself]. I leave that to somebody else” (Spice 2002, p. 2). See also http://www.pitt.edu/utimes/issues34/020307/19.html (2001). 257 See Maloof (1999, pp. 1-2). The project is being coordinated by the University of Montana in Missoula in collaboration with the Department of Energy’s Pacific Northwest National Laboratory. 258 See http://www.pitt.edu/utimes/issues34/020307/19.html (2001) and Little (2002, pp. 2-3). See also Dr Derrek Dunn at the North Carolina State University who is conducting a project on wireless indoor position location systems for NASA. The work links RF/ID with GPS equipment (Dunn 2002, p. 1). 184

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Gamble, Gillette International Paper, Sun Microsystems and Invensys who are all keen to profit by EPC, either within their own respective supply chain or by on-selling complementary EPC technologies. Still other organisations are making contributions through participating in field trials and supporting staff learning through secondments.259 The Auto-ID Centre Research Labs260 are located within Massachusetts Institute of Technology (MIT), University of Cambridge, and the University of Adelaide (Australia).261 The labs undertake research in three domains including: infrastructure, application and synthesis. Each laboratory is complementary to the other, drawing on individual established strengths.262 Cambridge,263 for instance, has a plethora of experience within its Institute for Manufacturing. Initially the research programme will be linked to the Automation and Control Group although eventually it is hoped that there is multidisciplinary participation from groups across the University.264 The Auto-ID Centre was also the host of the 15th Automatic Identification and Data Capture Institute in 2001. This Institute brings educators together from all over the world to share material on various topics to enable the suitable realignment of undergraduate and postgraduate auto-ID programs being offered by universities worldwide.265

259

See http://www-mmd.eng.cam.ac.uk/automation/News.htm (2002). See http://www.autoidcenter.org/home_team.asp (2002). 261 For example the “[e]stablishment of the world’s first professional chair in radio frequency identification systems (RF/ID) at the University of Adelaide has been hailed as a positive model for Australian electronics research and development... There are huge opportunities for all sorts of commercial development. Billions of dollars will flow from this... Successes like this will just help to cement the process by which industry and academia work together” (Denby 2001, p. 1). See also Kerin (1996) regarding Adelaide’s progress to become a “smart city”. 262 Case in point, the new RF/ID chair at the University of Adelaide is backed by Gemplus Tag Australia, a company that was originally Integrated Silicon Design (ISD) formed to commercialise technology developed by the university in the 1980s. This company has more than 15 years experience in their respective specialisation (Denby 2001, p. 1). 263 One of the university’s entrepreneurship case studies is activeRF and it can be found at http://www.cec.cam.ac.uk/teaching/vln/fhg1/rc/cases/activeRF.htm (1999). 264 See http://www-mmd.eng.cam.ac.uk/automation/Auto-ID.htm (2002). 265 “The institute brings professors from all over the world to learn about automatic identification and data capture technologies such as bar coding, voice recognition and biometric identification. More than 400 professors representing over 18 countries have attended the institute during the last 15 years… The goal of the institute is to further professors’ knowledge of automatic identification and data capture so they may, in turn, introduce or expand automatic identification into their own course material. To date, professors report that after attending the institute they have instructed more than 11,000 students collectively about automatic identification” (Smith, J. 2001, p. 1). 260

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6.6.5. Patent Explosion Patents are generally a good measure of the activity within an industry. The greater the number of RF/ID-related patents filed each month, the greater the likelihood that the technology is growing in importance. Patents also become a source of formal knowledge for firms. By keeping abreast of official patents (using publicly available databases), firms can learn about the latest developments of other companies and their core business focus well in advance of a product launch. According to RF/ID inventor Mike Marsh who has about 200 international patent applications and is editor of Transponder News: [t]he time to publication seems typically to be three years, therefore the patents effectively document the state of technology to within three years of the leading edge inventions. This is generally much shorter than one will find in either technical books or even commercial products on the shelves.266

A visit to the Transponder News web site http://rapidttp.co.za/transponder/267 is extremely informative for manufacturers, customers, regulators, academics and other organisations. A list (with descriptive details) of recently granted RF/ID tag and transponder system patents for commercial and scientific applications can be found on the web site. A few interesting patents for human-centric applications that caught the author’s attention can be found in table 6.6. See also http://164.195.100.11 (2003). Table 6.6 Recently Granted Patents in the U.S.A.

Please see print copy for Table 6.6

Source: Adapted from Transponder News, http://rapidttp.co.za/transponder/cpat98se.html (1998)

266 267

See http://rapidttp.co.za/transponder/cpat98no.html, (Marsh 1998, p. 1f). See also mirrored site at http://transpondernews.com/ (2002). 186

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6.6.6. Necessary Product Improvements In 1990 Ames (p. 5-4) believed there was room for cross-the-board improvement in RF/ID systems, particularly in capacity and cost. He also believed that the lack of LAN connectivity on the factory floor and the availability of application software were stifling RF/ID growth. By 1997 Geers et al. (p. 4) described all the major problems of RF/ID to being related to regulations. In the seven years between these observations, many incremental improvements were made to RF/ID. The problem-focus shifted as the technology started to show signs of wider applicability, yet the design goals remained relatively unchanged throughout the same period. In 1990 Ames (p. 6-9) stated that the efficiency of the use of power had to be improved, at the same time reducing the feature size of the tag (as soon as was practical) and incorporating the use of superconductive on-chip interconnection. In 1997 Geers et al. (p. 15) wrote that the main design goal was to develop optimum performance systems, the ability to manufacture items cheaply in large quantities by putting a micro-electronic or integrated circuit (IC) in the transponder, and producing as small a transponder as possible. Product improvements specific to transponders that are injected into animals is presently a topic that is receiving attention. The design of the new transponder itself is highly miniaturised- about the size of a grain of rice. At the same time the implant must have the ability to transmit information on the ID and body temperature suitable for both animals and humans (Geers et al. 1997, p. 106). Along with miniaturisation, low power consumption is seen as a continual mandatory improvement to the transponder. Additionally, chip movement and migration within the body of the animal or human must be eliminated.268 The Destron Fearing Corporation developed Bio-Pond (a porous polypropylene polymer sheath) which fits snugly on transponders, so that implants stay at the original implant location.269 An additional improvement (which is more of a safeguard than a technical advancement) is the ability for the transponder to resist high temperatures within the body of the animal or human. Passive radiofrequency tags should be used in this case but if active transponders are needed, safety must be 268

It is not without significance that “[t]here have also been reports of the chip moving or migrating from its initial injection location over the shoulder. This is very rare in the cat, and slightly more common in dogs with very loose skin... New designs, including the use of special coatings now used in human implants, will make migration less likely” (Vetinfonet 1998, p. 2). 269 See Park & Weiser et al. (2001, pp. 1-4) at http://www.animal-id.com.au/report.html (2001). 187

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implemented so that the batteries do not explode or lose power when exposed to high temperatures (Geers et al. 1997, p. 62). Surgical implantation also needs to be improved. “Surgery... has been shown to create some degree of stress, and 4-7 days may be required for the animal to return to equilibrium” (Geers et al. 1997, p. 77).270 While this may be sufficient for animals, it is not for humans. Some of these improvements have come through major technical breakthroughs discovered by university research.271 6.6.6.1.

Consumer Fears

The implanting of a foreign object into an animal brings with it some health issues. First, what type of object is being implanted and does it have the capacity to cause harm to the animal? Second, if the animal is being raised for human consumption is the final produce free from contamination? Both these issues may appear hypersensitive but they all have their basis in regulations. For example, a transponder’s signal strength must comply with the Postal and Telecommunications Service (PTT) regulations. It is presently limited to 150 kHz but more recently, the European Committee for Electrotechnical Standardisation (CENELEC) has proposed higher strengths. Tests are being conducted to see how animals react to this higher signal strength. Active transponders that contain batteries may also pose health risks particularly if there is breakage. Similarly larger devices housed in glass may also be more prone to the risk of breakage. As Geers et al. comments (1997, p. 68): [i]ntroducing foreign material into animals intended for human consumption inevitably leads to questions about the toxicity hazard for the animal itself, and the risk of contaminating the food chain. The choice of a suitable material encapsulating the electronic circuit is crucial, since it determines the level of biocompatibility as well as other mechanical and physical aspects (e.g. breakage resistance, radiowave transparency).

270

The degree of animal discomfort in the microchip implant procedure has often been misrepresented. Canada’s national pet registry, PETNET, publicised in 1999 that the implant procedure was “quick, safe and painless” (Anitech 1999, p.1). This is in direct contrast to Geers (1997). 271 We are informed by Strauth, that “[r]ecent breakthroughs in this technology were first developed at the University of Pittsburgh and are now being further perfected and tested in collaboration with engineers at Oregon State University… The University of Pittsburgh has several patents or patent applications under way on this technology, and is working closely with OSU researchers for further testing and product development. One of the immediate goals… will be to develop standards for this technology that are approved by… ANSI. Work then needs to be done to better refine the product, test its performance and see what products can evolve from it” (Strauth 2002, p. 1). 188

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Even products such as readers must comply with government agency requirements. For instance, Destron’s readers are tested for compliance with the Federal Communications Commission (FCC) Part 15 Regulation for Electromagnetic Emissions.272 6.6.7. Once Labelled Conspiracy Theories While consumers recognise other auto-ID devices like bar codes and magneticstripe cards, RF/ID technologies are more discrete and have traditionally been used for industrial supply automation. Communications about the technology have been mostly between technology and service providers- the average consumer still lacking an elementary understanding of RF/ID capabilities and its potential uses. One area that has however caught the attention of some members of the community is prospective humancentric applications for transponder implants (Witt 1999, p. 89). Conspiracy theorists273 believe that the ultimate security device, to be enforced by government,274 will be microchip implants that contain a Universal Lifetime Identifier (ULI).275 The ethical and legal276 implications of such an application have not yet been discussed widely enough, at least not in targeted forums. Once labelled conspiracy theories, scientists and private enterprise have proven that human implants for monitoring and access purposes are not

272 It should be well noted that the question of chip implants for humans brings with it an even greater number of issues, vastly more complex as well. For example see Rahmoeller (1988, p. 1). These will be further explored in chapter eight especially. 273 See Black (2002, pp. 1-6) and the Illuminati Conspiracy web site at http://www.conspiracyarchive.com/NWO/chip_implant.htm (2002). See also www.freepublic.com especially http://www.freepublic.com/forum/a596342.htm (2001) and McConnell (2003). 274 DARPA recently awarded Eagle Eye Technologies “…a contract to build a bracelet-sized mobile terminal designed for compatibility with existing satellite communication systems. The contract is overseen by the U.S. Army Space and Strategic Defence Command at Hunstville, Alabama. Suggested uses, according to Eagle Eye, include “tracking Alzheimer’s patients, children, executives, probationers and parolees, and military personnel- a market that could conceivably encompass the world’s entire populace in just a few decades” (Lange 1997a, p. 2). For an example of “electronic jails” see Goldsmith (1996, p. 32). Compare the “electronic jail” idea with that of “future smart homes” and how they will be advantageous to the elderly and young children (OOMO 2002, pp. 2-5) at http://senrs.com/future_homes.htm. See also the Vivago, http://www.istsec.fi/eng/Etuotteet.htm (2003). 275 According to conspirators, these implants will be linked to databases that store personal information for each individual that is born. They will be capable of releasing signals into the body that stimulate certain behaviour. Ultimately GPS technology and RF/ID will be used together to track citizens. 276 Shortly after ADS announced the Digital Angel product, Gossett (2002) reported that the Verichip manufacturer was plagued by multiple law suits. See http://www.worldnetdaily.com/news/printerfriendly.asp?ARTICLE_ID=27917 (2002). The controversy surrounding the Verichip was manifold. First, the FDA launched an investigation into whether the product had been misrepresented; four classaction lawsuits were filed on behalf of shareholders. Second, the company was plagued by auditors, the NASDAQ threatening to de-list the Florida-based company. ADS also announced prematurely certain technical solutions instead of reporting on the real news. Following the premature announcement shares of Digital Angel and ADS rose by 10 percent. Yet the company continues to operate and attract attention.

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only possible but commercially viable innovations.277 Nowadays, however, it is a little rash to label “techno-observers”278 as conspiracy theorists or even worse “fundamentalists” of one kind or another.279 Applied Digital Solutions is just one company that is pioneering efforts that are focused on providing human chip implant services.280 They market their VeriChip281 solution to people who would like to use it for emergency situations.282 With RF/ID devices or company names like Biomark283, BioWare,284 BRANDERS,285 MARC286, Soul Catcher,287 Digital Angel,288 Therion 277

Before microchip implants for humans became commercially viable, wristbands were introduced that contained RF/ID tags. Among the first companies to launch these wristbands for human monitoring purposes was Sensormatic. They launched a child safety marketing service called SafeKids™, targeting childcare centres especially. “The anti-theft tags are embedded in wristbands placed on children upon entering the childcare centre. Security cameras also beam images to monitors located throughout the store” (Sensormatic 1999, p. 1). At about the same time that Sensormatic released its product Olivetti marketed the “tot tracker”. Olivetti’s technology was a device placed in the child’s backpack instead of a wristband device. See http://whyfiles.news.wisc.edu/056spy/other.html (1998). Other niche companies getting on board include ParentNet and Simplex Knowledge Company (Time Digital 1997, p. 5). Many observers tracking the evolution of microchip applications believe that the wristbands were really de facto trials for the chip implants which were launched at the turn of the century. Comparing Olivetti’s Active Badge product solution for health (Puchner 1994, p. 26) with the “tot tracker” gives an indication of the progression in direction. 278 See http://investigativejournal.com/stories/ChipImplantApproved.htm (2002). 279 According to Mechanic (1996), Israeli-born Daniel Man, a practicing plastic surgeon first patented a homing device implant designed for humans in 1987. Predictions of human implant trials in the 1990s were not that far-fetched after all. 280 As RF/ID companies jostle for market share, strategic mergers and acquisitions between key players in complimentary technologies continue to take place. For example, Applied Digital Solutions (ADS) acquired the Destron Fearing company in 2000 for 130 million US dollars. Applied Digital Solutions’ main product is the Digital Angel. By acquiring Destron Fearing, ADS now own patents on implanted transmitter technology given Destron Fearing specialised in implanted animal tracking systems (Cochrane, N. 2001, pp. 1-4). While ADS originally denied it was going to use similar technology on humans, within two years of acquiring Destron Fearing it launched a human-centric RF/ID system. See http://www.politechbot.com/p-02154.html (2001) in contrast to the statements made on the following press release http://www.adsx.com/news/press_releases/1999/12-15-99.stm (1999). For the present, other companies like Trovan have dealer agreements that “…prohibit placing a chip under human skin” (Lange 1997a, p.1). 281 See http://www.adsx.com/prodservpart/verichip.html (2002). 282 At face value, the idea seems harmless enough- an implant the size of a point on a ballpoint pen is inserted into the subdermal layer of the skin, and only used for identification purposes. A remote database that stores more specific information about the individual is then queried once identification has been determined. The invention has the potential to be a life-saving device and could be used as a complementary component in any location-based system. Yet a greater amount of discussion is required before the application becomes widely adopted. Interestingly PETNET in Canada promoted the idea of the “microchip as a guardian angel” (Anitech 1999). 283 See http://www.biomark.com (1999). Biomark’s transponders are called PIT Tags (PIT stands for Passive Integrated Transponder). 284 See http://www.marketplace.unisys.com/bioware (1999). 285 See BRANDERS point of sale technology developed by the University of New South Wales in Australia. 286 The Multi Technology Automated Reader Card known as the MARC card used by the Department of Defense to store soldier information was introduced during the Clinton administration when his plan for a universal U.S. health care ID was aborted. 287 See British Telecom (BT) Lab Research or see Cochrane (1999). 190

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Corporation,

289

it is not surprising that some religious groups290 and civil libertarians291

among others are very concerned. 6.7.

Conclusion

In conclusion this chapter has presented the dynamics of auto-ID innovation by analysing five case studies. It has shown the interplay between the various stakeholders tracking individual technologies from their inception to their maturation. This is the first time that a study of this kind in the field of auto-ID innovation has been conducted. The results can be summarised in six phases of development, as can be seen in diagram 6.2.

Diagram 6.2

The Auto-ID System of Innovation Dimensions Across Phases of Change

288

See http://www.adsx.com/news/press_releases/1999/12-15-99.stm (1999). See also http://www.digitalangel.net/consumer.asp (2002). 289 A company that specialises in DNA profiles for animals. 290 One of the most well-known religious books on the topic is Cook’s (1999), The New World Order. See also http://www.warroom.com/america.html (1998) excerpted from the companion video. Other interesting religious links related to the Mark of the Beast and RF/ID chip implants include: http://qualianet.com/religion/chambio.html (Chambers 1998, pp. 1-8), http://infoweb.magi.com/~rah/beast1.html (Hallman 1998, pp. 1-4), http://www.best.com/~ray673/search/database/is41.3.htm (Pearson 1998, pp. 15) and http://www.otherside.net/beast.html (Howerter 1997, pp. 1-3). 291 See Freedom Chronicles at http://www.allfreewithfreedom.com/fc-ultimate1.htm (2001). This group believes that globalisation using technology and other means will lead to ultimate control of humanity. They have a plethora of links on their web site in support of their argument. 191

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This diagram should not to be confused with a product lifetime cycle curve; it is more concerned with capturing those factors/ dimensions of innovation which either inhibit and/ or drive the momentum of auto-ID technologies specifically. The curve shown should be interpreted as depicting the innovation path, and point to a common industry trajectory for auto-ID. The following chapter will focus on auto-ID product innovations and chapter eight will explore the last phase of change, the auto-ID trajectory, in depth.

192

7.

Ten Cases in the Selection and Application of Auto-ID The overall purpose of this chapter is to present the auto-ID selection

environment by exploring ten embedded case studies. The cases (as defined in section 3.2) will act to illustrate the pervasiveness of each auto-ID technology within vertical sectors which are synonymous with the technology’s take up. The focus will now shift from the technology provider as the central actor to innovation (as was highlighted in ch. 6) to the service provider stakeholder who adopts a particular technology on behalf of its members and end users. It will be shown that new commercial applications do act to drive incremental innovations which shape a technology’s long-term trajectory. The four levels of analysis that will be conducted can be seen in exhibit 7.1 below, with three examples to help the reader understand the format of the forthcoming microinquiry. This chapter dedicates equal space to each case and for the first time will show that coexistence between auto-ID technologies is not only possible but happening presently, and very likely to continue into the future (Michael 2003, pp. 135-152). Exhibit 7.1 Levels of Investigation in the Embedded Case Studies

7.1.

Bar code Product Innovation

Over the years bar codes have been applied to many different applications.1 The biggest adopter of bar code technology is the retail industry. It can be credited as being the first sector to establish symbologies for product marking.2 Another application of 1

For an extensive list of current uses of bar codes and a diverse range of case studies see LaMoreaux (1995, pp. 10-11; 22-50), Palmer (1995, pp. 225-239) and Grieco et al. (1989, pp. 135-168). See also Collins and Whipple (1994, pp. 187-251) who cover bar code solutions for inventory control systems, retail, and tracking. 2 The first symbology to be widely adopted was the UPC. However, European interest in the UPC led to the adoption of the EAN symbology in 1976. Today there exist several different versions of UPC and EAN, each with its own characteristics. 193

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bar code is in manufacturing where it has acted to increase productivity levels significantly. Specific part types can now be identified automatically. The label is used in the sorting and tracking of parts until the finished product is completed and despatched, using various checkpoints throughout assembly.3 This work-in-process innovation also acts as an order entry system and quality control measure. In shipping, delivery errors have been reduced because of bar code labels on individual packaging items, resulting in goods getting to their correct destinations on time. Such practices are saving large companies millions of dollars annually. Bar code systems can also transmit order information and other data using electronic data interchange (EDI).4 This allows for international operations worldwide to be linked together. Executives can now receive timely and accurate sales and inventory data and have an ability to exercise a just-in-time (JIT) strategy in their operations (Johnston & Lee 1997). Highly automated systems have reduced labour costs and increased productivity. Quick response (QR) and direct store delivery (DSD) have lead to better customer relations that have helped companies achieve a competitive edge. Expensive goods are also asset-tagged with bar codes to reduce the incidence of theft, shoplifting or illegal imitation. The versatile nature of bar code to be imprinted on just about any type of surface meant that its application on plastic cards or paper forms was inevitable. Acting as an automatic identifier for low-risk applications bar code is renowned for being an effective solution.5 It is now commonplace to find libraries issuing cards with bar codes to borrowers, as are school administrations to their students and staff. In fact, a student’s absenteeism or individual class attendance can also be monitored. In the workplace, attendance hours can be logged using bar code to indicate an employee’s hours of work. Bar code access control cards can grant privileges to employees who are authorised to use work facilities. Tracking people is also possible using wearable tags with the bar 3

See http://www.handheld.com/public/barcode/cases.html (1999) for bar code case studies related to tracking non-living things including mail, courier packages, art pieces and recycle parts. It should be noted that Hand Held’s products use RF principles to read bar codes. Likewise see Metrologic.com at http://www.metrologic.com/is4320-a.htm (1998) and Symbol Technologies at http://www.symbol.com/ST000139.HTM (1999). 4 See Collins and Whipple (1994, pp. 292-302) and Oxley (1991, pp. 5/1-5/3). For EDI using 2D bar code see Johnston and Yap (1998, pp. 83-91). For a case study on NCR’s use of EDI and bar code for JIT inventory management see Kerr (1997).

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code imprinted on the tag. Bar codes can also be used for crowd control, particularly for highly publicised events where large numbers of people are expected. Other

Exhibit 7.2 Bar Code Applications

applications include bar coding every publication using the International Standard Book Number (ISBN), direct mailing systems that insert bar codes on forms or brochures to keep track of information gathered in order to perform target marketing. Invoices sent out can also be bar coded for tracking goods6 sent and used in the returns or damaged items process.7 In the health industry hospital patients can be identified by bar codes that are securely attached to them via a bracelet tag. Laboratory samples are also labelled with bar codes for tracking purposes. In agriculture bar codes are used in the process of cattle breeding as well (see exhibit 7.2 on the previous page). 7.1.1. Case 1: Retail The greatest impact that bar codes have made in the retail sector has been in the production process and distribution of goods. Two examples of this can be found in Bobson, a Japanese-based manufacturer of casual apparel and R. M. Palmer, a US-based leading confectionary manufacturer. Both manufacturers have been able to achieve quick response (QR)8 because of the bar code. Stage one is exemplified by the use of U.P.C., EDI for purchase orders and invoices and, lastly, the UCC/EAN-128 shipping label standard for container marking (McInerney 1998, p. 33).

5 In 1994, Cohen believed that bar code had the highest accuracy amongst auto-ID technologies. “In this respect, bar code technology is seen today as the most reliable of all auto-ID technologies, that is, the one with the lowest substitution error rate” (J. Cohen 1994, p. 63). This statement has to be taken in context. 6 For years Federal Express relied on the bar coded number on the Air Bill to get packages to their destination (Derbort 1988, pp. 215-218). 7 See http://www.amazon.com (2002) and http://www.dell.com (2002). 8 “Quick Response [is] an overall business concept designed to reduce the time to move from raw material to the point of sale, to reduce inefficiencies and to shrink the amount of inventory in the pipeline...” (McInerney 1998, p. 32).

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Bobson has the capacity to cater for up to 60000 apparel items on a daily basis and has over 1300 customers. Using the Interleaved 2 of 5 symbology, products are organised into bar coded collapsible totes that have a unique identification. Placed on an automated conveyer belt bar codes are scanned updating Bobson’s inventory file. Orders are then sorted by destination automatically using a cross-belt sorter. The automated system eliminates sales losses and allows Bobson “...to compete effectively against lower cost apparel from overseas” (Automatic I.D. 1998d, p. 31). Suppliers of goods, like R. M. Palmer, have also had to meet customer compliance demands. The candy producer created its own automated labelling system: “[it] has moved from stencilling cartons to ordering preprinted labels to hand-applying pressure-sensitive labels printed on site” (Automatic I.D. 1998a, p. 30). Today Palmer has the capability to produce a different label for each of its customers utilising Code 128 bar codes. It additionally produces Interleaved 2 of 5 bar codes for internal purposes and UPC for preprinted labels. Similar to Bobson, Palmer places cartons on conveyors that must pass through bar code laser scanners. The equipment scans the bar code labels after they are applied, ensuring quality control and that a customer order was satisfied receiving the correct Code 128 bar code (Automatic I.D. 1998a, pp. 31f). 7.1.1.1.

RF/ID Complementary or Replacement Technology?

Just like the Japanese-based manufacturer Bobson discussed above, an auto-ID system is also in place at Calvin Klein’s Italian European Jeans warehouse. This particular warehouse is responsible for the distribution of Calvin Klein sportswear for all its outlets outside North America. It is estimated that the 12000 square metre storage area handles more than 10 million items per year. As Beale (1998, p. 1) reported: ...Calvin Klein receives finished goods (jeans, shirts, sweatshirts, hats, and tennis shirts) from its subcontractors and readies them for shipment to retailers. Each day, between 30000 and 40000 individual garments (roughly 2000 to 2500 pallets) are transported through the facility.

There is one noticeable difference between the Bobson warehouse and that of Calvin Klein. The latter heavily relies on radio-frequency data communication (RFDC) technology, not only bar code.9 Like Calvin Klein, the Alto Group in Australia,

9

EAN 128 bar codes that encode the type of garment, size, and colour are used to label the garment which is then scanned in using TecnoLogistica software to allocate a putaway spot in the warehouse. However, when it comes time for order assembly, instructions are given to fork-lift operators via RF 196

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Panasonic Logistics in England and Toyota in the U.S. have incorporated bar codes and RF/DC technology into their operations. In the case of the Alto Group which holds an inventory of 100000 line items valued at 5.5 million dollars with 4000 different lines of parts, warehouse personnel also use Janus 2020 handheld terminals to receive data and instructions using wireless means via the management system called STOCK*MAN. Incoming inventory is bar code labelled and STOCK*MAN provides putaway instructions by an RF transmission. Order processing is also simplified when an item is picked and scanned the inventory is updated in real-time. Alto Parts claims it has increased its parts putaway by 300 per cent and its parts delivery rate by 150 per cent. Additionally 50 per cent less stock is held in the warehouse which has freed up finances. In the case of the Panasonic Logistics, the distribution arm of Panasonic an automatic data capture (ADC) facility has been built at the Northampton centre. With 80000 different product lines and 23000 pallet locations the plant is significantly bigger than the Alto Parts of Australia but works on the same principles. It uses about 50 radio terminals for picking, almost one for each of its employees. The ADC system is so efficient that the work force at the centre is envisaged to be reduced by 25 per cent in 1999. The Toyota case differs significantly from the former cases. Instead of using bar code, the automotive manufacturer chose a fully-fledged RF/ID system instead. Whereas the previous three cases integrated bar codes and RF/ID into one system, Toyota has opted to use RF/ID in place of bar code. The manufacturer is probably using the most advanced methods in its plant to implement JIT and EDI (J. Cohen 1994, ch. 14). The facility produces more than 550000 engines and 475000 vehicles annually. The old system could not ensure that the right trailers went to the right dock at the right time. The new system using TIRIS passive RF/ID tags from Texas Instruments has eliminated delays and mistakes that total into the hundreds of thousands of dollars. Each of the 200 trailers is tagged permanently. Prior to the truck’s arrival at the gate, the management system receives information about the trailer’s contents and arrival times via EDI. A gate antenna is used to read the tag as it arrives and departs checking it

directly onto their Janus 2020 terminals using the 2.4 GHz frequency spectrum. The TecnoLogistica system verifies the picked item in about one second and these items are packed thereafter. Data is sent via eight RF access points which communicate with the host via fibre optic cable. 197

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against the appropriate database that contains the trailer number, gate number, date and time of arrival.10 While the mass introduction of RF/ID tags or transponders is still a number of years away, primarily due to cost, some companies have already migrated part or all of their operations over to take advantage of RF/ID functionality.11 The launch of TROLLEYPONDER RFID by Trolley Scan, a South African-based company, caused much debate over the future of bar codes in the late 1990s. It is not surprising that the managing director and inventor, Mike Marsh has targeted the RF/ID technology as a replacement for the bar code marking of products. Marsh is convinced that this is the way of the future and is currently forming agreements with commercial partners globally. While some observers believe that the technology is only useful for niche markets, Trolleyponder is heavily targeting the retail market, particularly supermarket chains and their suppliers. The technology has the potential to be used for everything from manufacturing, warehousing and logistics with the added benefits of Electronic Article Surveillance (EAS) and putaway.12 Trolley Scan has also initiated a Development Users Group, an informal collection of about 60 companies and organisations that would like to contribute or be informed of Trolleyponder developments.13 It is envisaged that RF/ID may be ultimately used in retail for customer self-service check-out14 such as in the system developed by University of New South Wales called BRANDERS Point of Sale.15

10 For another case study on how Toyota uses bar codes to cut waste from their supply chain see ADC News and Solutions, http://www.manufacturing.net (12/01/98). For the use of RF/ID transponders in automated assembly systems see Styles (1990, pp. 117-121). 11 For the interim however, the bar code system business case is almost always more viable than that of RF/ID. For considering the RF/ID versus bar codes debate from a financial perspective see http://rapidttp.co.za/transponder/editori1.html (1998) and LaMoreaux (1995, ch. 9). See also Shoemaker (1996, pp. 41-42) who considers the competitive nature between the two technologies. 12 See also Savarnejad (1996, p. 50) who reviews PolyTracker MLS (Multiple Locator Systems), a system that uses chips in trolley wheels to stop thieves in their tracks. 13 Press release 23 from Transponder News http://www.transpondernews.com (2002) confirms that: “[t]he group comprises [of] prospective licensees, VARs, service and component providers, potential users and just interested parties. Membership of the group is free and information is passed between parties via a restricted area on an Internet Web site.” 14 Kroger’s supermarket in Louisville started trialling the U-Scan Express system in 1997. The trials were reportedly so successful that the company is considering rolling out the PSC and Optimal Robotics technology to more stores. 15 In this instance customers approach an aisle passage that has a restricted exit. Upon scanning all their goods the customer would then make an EFTPOS transaction to pay for the items purchased and receive a receipt. Upon EFTPOS authorisation, the trolley is allowed to go through and a secure EAS system is

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7.1.2. Case 2: Education The versatility of bar code has seen the device proliferate in the education sector. Primary, secondary and tertiary educational institutions are using the bar code on a plastic card, replacing traditional cardboard cards. The card systems are commonly known as campus cards.16 In Australia, Knox Grammar School, Beverly Hills Girls’ High School and the University of Wollongong are just three institutions that have introduced bar code cards.17 In 1996, Knox Grammar issued 1400 students and staff with Knox Cards. Each Knox card is “...complete with barcode, date of birth, photo and magnetic strip” (Knox Grammar 1996, p. 43). The Knox Card was originally introduced for the library so that each title catalogued could be tracked. It could also serve the purpose of giving each student a unique identifier and automatically monitoring overdue books, library fines or limits of books being borrowed. The card showed the way for Knox to become a micro-cashless society. Students and staff could use the card for photocopying in the library and for other future purchases such as textbooks and stationery or school uniforms (Knox Grammar 1996, p. 43). While Knox Grammar students use the bar code card primarily as a borrowing device in the library, Beverly Hills Girls’ High School use it to record attendance, “[i]nstead of teachers marking rolls, students swipe a barcoded card through a machine” (Raethel 1997, p. 1). Teachers can then check to see whether all pupils are present or not via a printout. The 20000 dollar system has increased attendance from 85 per to 95 per cent in only one year and reduced both absenteeism and truancy.18 At the University of Wollongong, student

used to assure the retailer that nothing has been accidentally left unpaid or deliberately stolen. If such a system was to be introduced widely, the impact on workers and customers would be huge; the former from a mass reduction in staffing requirements and the latter from a shift in responsibility at the checkout. See also http://rapidttp.co.za/transponder/presre29.html (1998). Yet it is also currently possible for consumers not even to have to visit a supermarket but transmit their requirements from home (Abass 1996; and LaPlante 1999). While Internet grocery shopping can be a little tedious, Hutchison (2000) shows how the Grocer e-Scan portable handheld bar code scanner device could save customers time and trouble. Grayson (1998) reviews an all-in-one bar code scanner, microwave, and television, developed by NCR’s Knowledge Labs. One can use the microwave to cook, conveniently watch television while preparing food and after dinner use the bar code scanner to order new grocery items. 16 “The all-campus card- now finding its way onto an increasing number of college campuses- can provide access to everything from elevators, doors and garages, to vending machines, library books, and clothing at the campus store” (Facilities Design 1997, p. 20). See Thompson (1996, pp. 40-44), Yang (1999, pp. 465-468) and Elliot (1999). 17 Typically campus cards at schools and universities operate in a closed systems environment. That is, they are only useful within the bounds of the campus of a single institution. 18 While there has been some criticism of the school for introducing an electronic monitoring system, many other schools have planned to trial or install such a system. The card also helps to know where students are when they have free periods during the day. Although obviously these types of systems are 199

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identification cards were introduced in 1994. The bar codes on the student ID are primarily used for borrowing purposes in the library. The unique bar code ID number also grants students access to the University’s Student Online Kiosk (SOLs) where individuals can enrol in subjects, download their assessment results and receive important messages, among other things.19 7.1.2.1.

Smart Card or Hybrid Card

Bar code cards have been the most popular cost-effective identification solution for educational institutions. Magnetic-stripes have been complimentary to the plastic cards, sometimes serving little or no purpose at all. In those cases where the magneticstripe is utilised however, it is likely related to stored value (i.e. money) or some other application requiring a higher level of security than the bar code can offer. Due to their size, colleges and universities have often looked to adopt other auto-ID solutions such as smart cards20 and biometric devices. At tertiary institutions more money is transacted per student for higher education fees, text books, stationary, photocopying, printing and the purchase of food. Coupled with the monetary aspect is that of student identification for examinations, attendance to classes, resource borrowing allowances and access to computer rooms. The cards could also be used to store student results etc. Table 7.1 shows how smart cards have been introduced into institutions since 1983. Table 7.1 Auto-ID Campus Card Innovations Educational Institution University of Paris VII (France) University of Science & Technology of

Year, Technology, Supplier, Amount 1983 Smart cards Bull CP8 1985 Smart cards Sligos/TRT-Philips

Purpose Student academic information, annual progress, course selection, qualifications. Also other campus service functions. Administrative and academic information. Identification and access into the library. Also used to obtain health care from SMENO.

not full-proof given students could swipe cards for one another secretly. The Old Dominion University (ODU) also trialled such a system (Walzer 1996) to ensure attendance at big lectures in a bid to reduce the failure rate of first year students who are under the misconception that they can get through a course without attending the majority of classes. Alamo Community College District (ACCD) will also be monitoring student interactions using bar code ID cards (Madaras 1993). See Tipton (1998). 19 The University of Wollongong campus card also comes equipped with a photograph which acts as proof of identity, particularly useful during examinations when hundreds of students are present in large halls. The magnetic strip on the card is predominantly for access to computer laboratories (Carroll 1994, p. 8). The image of each student is stored in a database for the instance that a card needs to be replaced. 20 See http://www.umich.edu/~newsinfo/Releases/1999/Feb99/r020999c.html (1999). Peter Honeyman of CITI at the University of Michigan believes that “…smart cards hold the potential to simplify [the] environment by eliminating cash-handling and paperwork problems while at the same time improving security” in the university community. See also O’Sullivan (1997, pp. 57-62) who described lead education applications already in operation in France. 200

Ten Cases in the Selection and Application of Auto-ID Educational Institution Lille (France) University of Rome (Italy) Loyalty College (U.S.) University of Barcelona (Spain) University of Michigan (U.S.) Rene Cassin High School (France) Washington University (U.S.) University of Adelaide (Australia)

Year, Technology, Supplier, Amount 5000 1987 Smart cards 5000 1990 Smart cards 1994 Smart cards 30000 1995 OCR, Bar code, magnetic-stripe & smart card, 40000 1995 Smart card 1000 1996, Two magnetic stripes, photo and smart card, 8000 1998 Smart card 30000

Purpose Electronic student and staff record for administration and management. Used to register students sitting for examinations. Staff cards store examination results. Transactions for book and convenience stores, vending machines and post office. Electronic purse which can be used for public transport, photocopying and campus shopping. Other services include: access control to campus and laboratories, attendance, sports facilities and library. Electronic transactions with on and off campus merchants. For example, students can make transactions with the First of America Bank of Kalamazoo with the card. Stores name, account number, access profile and category of cardholder. Acts as an electronic purse for meals. Used for access to car park and photocopies. Residence access control, library, event access, meal plan. Also acts as an on campus transaction card and stores student information. Facilitate identification, administration and library functions. Reloadable payment facilities for goods and services on campus and payphones.

Some of the campus schemes include hybrid cards while others rely only on the smart card technology. The University of Michigan smart card scheme, known as M-Card, is in the former category. Faced with making a significant investment in equipment in 1995 to provide a single card with multi-functionality, smart card was chosen over bar code and magnetic-stripe cards as the ultimate solution that would keep pace with future applications. In the short term the new smart card scheme will be integrated into the legacy systems but eventually everything on the card will be migrated to smart card. Smith and Cunningham (1997, pp. 228-229) describe this evolution. The situation at the university was typical. They had several “legacy” or existing systems using different card technologies such as bar code and magnetic stripe. Their approach was to use existing systems when feasible, and to implement new services with smart cards. This was achieved by including OCR, bar code, and magnetic-stripe on the student identity card as well as the integrated chip. Over time, all services are likely to be migrated to the chip.

By 1999 there were more than 94000 active M-cards that could be used at 56 merchants, 340 cash points with 23 available reload devices.21 21

See http://www.umich.edu/~newsinfo/Releases/1999/Feb99/r020999c.html (1999). “While it is primarily used as a photo ID, the M-Card may also be used for banking purposes, making small purchases from participating merchants, library services, and secure entrances to buildings.” For a broader discussion on the topic of smart cards and education see Smith and Cunningham (1997, ch. 14). The MCard went beyond a closed campus system implementation. 201

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Cards developed in the 1980s were more likely to be used on-campus rather than off-campus. Today universities are establishing partnerships and alliances with banks, health insurance companies and telephone operators allowing students and staff to use their card in an open system. Leading the way in campus smart card innovation is a group at the Florida State University (FSU) which is developing a card that can act as more than just a prepaid card. The team located at the Card Application Technology Centre on campus at FSU, includes such sponsor companies as MCI, V-One, Debitek, PTI and Gemplus.22 The scheme hopes to develop a multipurpose card that can handle money transfers, payment for stationary, text books, laundry, public transport, food and vending. In Australia, the incumbent telephone operator Telstra is funding a smart card scheme for the University of Adelaide, TAFE NSW (Lidcombe) and the Australian Defence Force Academy (ADFA). The single card is being heralded as a replacement for the older student ID photo card, bar code library card and magnetic-stripe photocopy card (Creed 1999a). The Vice Chancellor of the University of Adelaide believes the scheme will reduce costs associated with the annual issue of cards and will benefit students by offering them loyalty discounts for phone calls and other services.23 7.2.

Magnetic-stripe Card Product Innovation

A cursory glance at the content of one’s wallet will reaffirm why “[f]inancial cards are by far the main application of magnetic stripe cards” (Jose & Oton 1994, p. 20). The finance sector, have been responsible for the FTC explosion in the form of debit and credit cards24 which have paved the way towards an evolving cashless society.25 The two types of cards differ in that debit cards require the cardholder to enter

22

Gemplus has a large piece of the education market. The company’s cards are also used at the University Jannus Pannonius, the University of Medicine of Pécs and the University of Aix-Marseille (France) to name a few. 23 More recently an ID card for school children was launched in Australia supported by the Victorian government. The card contains personal information and emergency contact details. See http://au.dailynews.yahoo.com/headlines/20011019/aapnews/1003472855-2953445419.html (2001). 24 Debit cards give the cardholder access to their savings and cheque account balance, whereas credit cards give the cardholder access to a pre-established line of credit. 25 For a variety of definitions on the term ‘cashless society’, see Hendrickson (1972), Reistad (1979), Bequai (1980), Australian (1981), Bowne (1984), Dean (1984), Lasky (1984), Weinstein (1984), ASTEC (1986), Keir (1986, 1987), Pope (1990), Brooks (1995), Helm (1995), Federal Bureau of Consumer Affairs (1995), Financial (1995), MasterCard International (1995), Tyler (1995), VISA International (1995), Woods (1995), Allard (1995; 1997), Muhammad (1996), Manchester (1997), Vartanian (1997), Computergram (1999). 202

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a personal identification number (PIN) at unsupervised terminals (known as automatic teller machines ATMs) whereas credit cards only require signature verification at supervised terminals (known as electronic funds transfer at point of sale EFTPOS). Financial transactions can even be carried out from the home using a PC (personal computer) or a touchtone telephone. For the present however, ATMs and EFT terminals can be viewed as the most popular complementary innovations to magnetic-stripe cards that have changed the face of banking.26 The magnetic-stripe card was heralded as the technology that would see an end to the large bulging wallet containing copper coins and paper money (Johnstone 1999).27 While it has successfully acted to reduce the amount of money people carry, the technology has attracted other countless product innovations. Unfortunately, the reality is that wallets and purses are still bulging but not with money, instead with numerous plastic cards.28 It is not out of the ordinary for a consumer to possess a separate ATM savings card, several credit cards, a frequent flyer card, a phone card, a discounted travel card, an employee identification card, a library photocopy card, a driver’s licence and several different loyalty retail cards (Cox 1997, pp. 28-31). There are presently over one billion magnetic-stripe cards in circulation. This is testament to the recent increase in consumer acceptance of card technology and the marketing efforts of large corporations to sell the benefits of the card. In addressing the issue of the magnetic-stripe card taking the form of an electronic purse, Peter Harrop (1992, p. 227) describes the main applications other than the FTC. He makes the observation that: [s]o far, payphones are the commonest application… Mass transit, particularly ‘stored-value tickets’ for trains and buses, is the second largest application… 26

For instance, between 1990 and 1994 the number of EFTPOS transactions worldwide increased from 61 million to 245 million (Federal Bureau of Consumer Affairs 1995, p. 6). In the same period EFTPOS terminals grew annually at a rate of 38 per cent as compared to ATM terminals which only experienced an annual growth of 4 per cent. The trends as identified by Tren (1995, p. 42) can be attributed to the early adoption of ATMs by North America, Canada and Japan versus the adoption of EFTPOS by European countries to handle multi-currency payments. 27 For a fascinating study on what consumers actually store in their wallet and the shifting uses for wallets over time see L. Cooper (1999, pp. 87-93). Financial objects in wallets include: receipts, money (cash and coins), loyalty cards, debit cards, bank cards, credit cards, charge (smart cards) and cheques. Nonfinancial objects include: membership cards, business cards, drivers license, telephone numbers, ID cards, postage stamps, lottery tickets, coupons, photographs, national insurance card, medical prescriptions, train tickets and a calendar. 28 It is not unusual to be held up in a shopping queue while someone is shuffling through their collection of magnetic-stripe cards searching for the right one to make their transaction. 203

Ten Cases in the Selection and Application of Auto-ID Prepayment cards are widely used for taxis, road tolls, parking, vending, payment in canteens and small shops, purchase of electricity and gas at the home meter,29 in laundrettes and many other applications.

The Plastag Corporation, a card manufacturer approved by MasterCard and Cash Station have put together an imaginative range of product solutions. While producing the standard line of bank cards and blank cards, they are also the largest supplier of casino cards in the U.S. Other Plastag products include: - pre-paid phone cards: phone cards are one of the most popular and effective promotional tools to build traffic in a business - membership/I.D. cards: an important record-keeping tool for hospitals, nursing homes, other health providers, insurance companies and colleges/universities - keylock cards: all over the world, hotels and resorts are changing the traditional door locks to electronic swipe key cards... they keep guests safe...30

It is important to keep in mind that not all applications require the same level of security as the FTC- it all depends on the application. For instance, paper travel tickets featuring a magnetic-stripe are highly negotiable (i.e. they do not require a PIN or user ID and can be interchanged between persons). See exhibit 7.3 for a visual representation of magnetic-stripe applications. Please see print copy for Exhibit 7.3

Exhibit 7.3 Magnetic-Stripe Applications

7.2.1. Case 3: Financial Services Some may have thought it more valuable to relate financial services to smart cards but the reality is that widespread usage of smart cards by most banks is still some time away, especially in North America. 29

See McConnachie (1999, pp. 248-250). 204

Ten Cases in the Selection and Application of Auto-ID …less than 5% of smart cards worldwide are issued by banks… Mass rollout of smart cards is years away because of the cost to convert magnetic-strip credit, debit and ATM card systems to chip technology (Bank Sys. 1997, p. 21).

Presently, it is the plastic embossed card with the magnetic stripe and signature that has permeated most countries around the world. The card is used to perform transactions for various types of electronic funds transfer systems (EFTS): ATMs, CDs (cash dispensers), EFTPOS and remote banking. As one report noted these ‘profound changes’ linked for the first time the consumer directly to the computer.31 Magneticstripe cards have been able to offer the dual function of paper-based and paper-less transactions. This is important because it has enabled the cardholder the ability not only to withdraw or transfer cash but also to use ‘plastic money’ with the same card. For instance, in Australia the St George Bank Freedom MultiAccess Visa magnetic-stripe card (with hologram) allows the cardholder to visit ATM machines to withdraw cash using a PIN and also to purchase goods and services by credit using the cardholder’s signature.32 While this type of system is obviously convenient for the cardholder, questions are continually being raised about the vulnerability of the cards to fraud and theft. 7.2.1.1.

Are Magnetic-stripe Cards Outdated Technology?

While most banks and financial institutions still utilise magnetic-stripe on their customer FTCs, particularly in the U.S., all of the banks in France are reaping the benefits of smart card. “All bankcards in France have a chip imbedded in them... When a French cardholder makes a purchase, the transaction is processed at the point of service using the chip and not the magnetic stripe” (Ayer & McKenna 1997, p. 50).33 Each of the French chip cards carry a payment application known as B0’. Smart cards have always been a dormant threat to magnetic-stripe but in most countries it has taken

30

See http://www.plastag.com/products.html (1999). Prior to magnetic-stripe cards, consumers depended upon the services of an intermediary at the counter but now the consumer is able to perform operations that were previously conducted by a bank clerk (OECD 1989, p. vi). 32 International credit card corporations like American Express (AMEX), Bank Americard, Cartasi and Diners Club which are offering credit-based financial services are still using magnetic-stripe cards with embossed writing and signature though they have signalled their intention to migrate cards over time. 33 “Dutch banks are poised to become the first in the world to introduce computer smart cards on a nationwide scale this year, eventually giving 15 million people the possibility of living without cash” (van Grinsven 1996, p. 32). The Dutch have followed the example of the French. 31

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until the year 2000 for noticeable migration from the magnetic-stripe card to the smart card to happen. It took almost 40 years to distribute plastic payment cards widely; it will probably take another 10 years before consumers worldwide are comfortable with the multiapplication smart card. Even though the card is a more secure technology enabling the reduction of fraud, many consumers are concerned with the card’s potential uses.34 Many banks have conducted feasibility studies on smart cards, either by doing secondary research or conducting pilot studies. Many banks and financial institutions are even seamlessly (to the consumer anyway) transitioning between auto-ID devices. Customers are being supplied with hybrid cards until the migration from magneticstripe to smart cards is complete. In the former case, major banks across the world have begun marketing smart card concept to consumers. In Australia for instance in 1997, the ANZ bank advertised the change from magnetic-stripe to smart card in full-page advertisements. One of these announcements is worth noting in full- a magnetic-stripe bankcard appears on the left page and a VISA card (with IC) on the right: October 1974. There it was in your letterbox. Whether you wanted it or not. A Bankcard. They all looked the same and their new owners likewise, were all treated the same. You were told where to use it and how much you could spend. All that changed. At ANZ it changed faster than most. To the point where you can now enjoy ANZ cards that not only provide credit… Cards that are aligned to your telecommunications company, your airline, and many other major companies you do business with on a daily basis. What next? Well, we’re currently at the forefront of smart card technology. Cards that use a microchip to record details of transactions and the balance on the card. Now won’t that be a nice change? (The Australian 1997, pp. 6-7).

Globally and throughout the 1990s banks conducted widespread smart card trials. In the U.S., Citibank and Chase Manhattan ran a trial in 1997 covering New York City and some 50000 consumers. In 1993, National Westminster Bank and Midland Bank teamed up to trial the Mondex card in Swindon, including 40000 consumers. In the same year, the three largest credit card giants, Europay, MasterCard and Visa, implemented a global standard generally known as the EMV specification for smart card credit cards as they considered future migration paths (Gold 1999a). VISA was the first of the trio to distribute smart cards to their customers. American Express has also made inroads to developing EMV standard credit services. As Ayer and McKenna from

34 It is the information centralisation to one unique ID per person that consumers find uncomfortable. Some banks have already issued multiple application cards but consumers still fear security breaches.

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VISA International reported (1997, p. 49), the EMV specification is truly global. It allows for the same terminal to accept a variety of payment cards. The aim is to expand the usefulness of payment cards to be able to do much more with them. In France there are even migrations occurring from smart bank cards developed in the 1980s to newer smart cards that adhere to the EMV standard and are based on the MULTOS operating system. Clearly this has been an unsettling period for banks and merchants as the costs to upgrade or replace existing ATM, EFTPOS, electronic cash registers, self-service fuel dispensers and other such terminals to make them smart card-ready are very high. Some have therefore chosen to remain with the magnetic-stripe technology for the interim and may well suffer for it later.35 7.2.1.1.1. From Electronic Purse to a Cashless Society The first well-known electronic purse trial was conducted in Denmark, Noestved in 1992. The prepaid card system was called Danmønt A/S. The integrated circuit card (ICC) was used for the payment of small amount transactions such as at vending machines, payphones and transportation.36 By 1993 the card was rolled out to several large cities, and terminals were located at payphones, parking metres, kiosks and railway. In 1996, there were over 600,000 cards in circulation in 50 Danish cities.37 In Portugal the SIBS (Sociedade Interbancaria de Servicos) have introduced the Multibanco electronic purse, yet another hybrid card incorporating a microprocessor for purse applications and magnetic-stripe for credit facilities. Close to 7000 smart card terminals have been introduced, the majority are off-line and about one-third can read both magnetic-stripe and smart card technology. Two years after the Danmønt card was introduced, the Mondex card made its debut in the UK.38 “Enter electronic cash. The idea of digital money is simple enough: instead of storing value on paper, find a way to wrap it in a string of digits that’s more portable” (Ramo 1998, p. 50). It is interesting to note that both Danmønt and Mondex were initiatives of large banks and telephone 35

For a view of the shifting competitive environment in financial services see Braco (1998, p. 113). An interesting discussion on disintermediation is given by Essinger (1999, ch. 5). 36 See Insight Corporation (1998), ‘Beyond payphones: vending, low-value transactions and the information age 1998-2003’. 37 The next step for Danmønt is to introduce more sophisticated SVCs that can be used for bigger transactions that require more security. Danmønt’s strategy is to heighten consumer awareness and acceptance before the next phase of development that will involve Visa. See also http://www.pbs.dk/pbs_uk/www.danmoent.dk/ (1998), (Kaplan 1996, pp. 150-152; Ferrari 1998, pp. 196197). 207

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companies, although the two cards differ in principle. While Danmønt was designed for the payment of small transactions, Mondex was designed39 for the replacement of cash altogether. “In the English town of Swindon”, Godin writes (1995, p. 84), ...customers at the local McDonald’s buy Big Macs without touching a bank note; pub crawlers at Bass Taverns keep the taps running without tapping their wallets; and grocery shoppers pay for their provisions without currency changing hands. Citizens of Swindon... are participating in a pilot project testing Mondex, a smart card for dispensing digital cash.

In 1994, Mondex was heralded as having the potential to become a global payment system and banks rushed to become a franchisee of the company.40 In Asia, HongKong Shanghai Bank along with Hang Seng Bank are serving Hong Kong, China, Singapore, Taiwan, Philippines and other surrounding countries with Mondex cards. Chase Manhattan and Wells Fargo along with the Royal Bank of Canada and the Canadian Imperial Bank of Commerce (CIBC) are trialling Mondex in the U.S. and Canada respectively. The Australian banks, National Australia Bank (NAB), Westpac, ANZ and Commonwealth Bank have paid ten million Australian dollars for their right to issue Mondex smart cards to consumers (Moreira 1997, p. 45). Clearly, there is a movement away from the traditional magnetic-stripe FTC and a move towards both the electronic purse and electronic cash.41 The latter, of course, meaning a world without paper money- a cashless society.42 DigiCash is another company that is focused on delivering smart card solutions. The company established by Dr David Chaum, a cryptography expert, is part of the consortium of firms that is involved in developing the

38

See http://194.112.42.30/mondexuk/ (1998). Mondex is also designed to leave an ‘untraceable’ audit trail. Since its inception in 1993, Mondex International (now a subsidiary of MasterCard International), has rapidly begun to roll-out trials all over the world. Mondex is being marketed as convenient for consumers and merchants. Some of its differentiators from ATM magnetic-stripe cards include: access to electronic money via public or private telephones, its ability to carry up to 5 currencies, an electronic wallet which allows card-to-card transactions, lock-code functions and instant statements. See also (Godin 1995, pp. 84-98; Kaplan 1996, pp. 152-158; Ferrari 1998, pp. 199-200). 40 Mondex International has been hailed as the “evangelist” of the smart card world (Mitchell 1996b, p. 52). More recently Mastercard International has reached an agreement to assume full ownership of Mondex International (Mei 2001, p. 10). 41 See Townend (1996) and Read (1989, pp. 263-270). Both authors report on the development of card technology pertaining to the financial sector. 42 However, Mondex officials are still cautious about predicting the demise of cash completely. “They see digital money as an alternative to cash, another option among many options for consumers. Mondex has estimated that e-cash will carve out 30 percent of the payments market” (Godin 1995, p. 97). See also Muhammad (1997) on the future of money. 39

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electronic-wallet for the CAFẺ project (Conditional Access for Europe). A trial is already underway in the European Commission in Brussels.43 7.2.1.1.2. Biometrics and Beyond- Why carry cards at all? “Automatic teller machines that identify users just by looking at them are expected to make PIN numbers and ATM cards obsolete” (Johnson 1996, p. 11). Several systems have been developed by U.S. companies using iris identification. The Sensar Corporation, have already installed IrisIdent units in parts of North America and Asia. Citibank liked the idea so much, that it prematurely invested $US3 million into Sensar back in 1997. Nationwide Building Society, Britain’s largest mortgage lender is also trialling Sensar’s product in Britain, using NCR-built ATMs (Brown 1998, p. 52). Oki Electric, a Japanese ATM manufacturer has agreed to buy at least $US35 million in Sensar products within 5 years (Fernandez 1997, p.13). It is significant to note that even if biometric ATMs are phased in, that most banks will still continue to issue customers with some type of card device which will store the individual’s biometric.44 Biometric systems do seem to remove the need for remembering passwords and account numbers or carrying several cards with expiration dates etc, but they do require each customer to willingly provide a biometric. The up-front cost of installing a biometric system is still not viable for most companies.

43

Other companies which are making their mark in the digital cash arena include: CyberCash, First Virtual, Michigan National, BankOne, CheckFree, CommerceNet, NetCash, Smart Cash, Telequip and NetMarket. These companies have developed solutions for purchasing goods and services over the Internet and conducting money transfers using electronic cash (see Brands 1995; Godin 1995; and Essinger 1999, ch. 10). Other well-known solutions include the Proton cash card http://www.protonworld.com, (1999) from Banksys in Belgium that is closely linked to American Express, and the Visa Cash card which is being tested by Visa International. Other schemes worth noting, which are trialling types of electronic purses include: Transcard, Quicklink & MasterCard (Australia), BalkanCard (Bulgaria), EltCard (Estonia), Avant (Finland), SEPT (France), Chip Knip (Holland), Eximsmart (Indonesia), LINK (Lebanon), Interpay (Netherlands), Bankaxept (Norway), SIBS (Portugal), NETS & CashCard (Singapore), UEPS (South Africa), SEMP (Spain), POSTCARD (Switzerland), FISC (Taiwan), VISA SVC (USA). This signifies a truly global reach. Interactive Voice Response (IVR) systems and Internet banking solutions are especially propelling the idea of a cashless society forward. See Elliot and Loebbecke (1998) for Australian e-cash examples. One of the first traditional banks to incorporate Internet banking services was Advanced Bank (Graham 1996, p. 4). 44 Diebold Incorporated have developed a multimodal biometric system for making transactions that incorporates both face and voice recognition. Using face recognition software by Visionics and voiceverification from Keyware Technologies, the face and voice must match an image and voice sample in a database for a customer to make a transaction (Belsie 1997, p. 1; Gold 1999b). Even as far back as 1992 an Australian company, Bio Recognition, developed FingerScan for ATM transactions (Gora 1992, p. 3). See also Wahab et al. (1999) and Essick (1998) for a biometrics electronic purse. 209

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Biometrics is also more complex than solutions like RF/ID transponders. Recently, the advantages of transponders with respect to animal identification have been highlighted by print media. Some advocates of the technology say, if chip implants work for animals then they should also work for people. A number of respected scientists see it as a gradual progression to better efficiency and security. Others joke about it and still others nervously acknowledge that mass trials are already technologically feasible.45 In making reference to electronic cash, a Time Magazine reporter commented, “Your daughter can store the money any way she wants- on her laptop, on a debit card, even (in the not too distant future) on a chip implant under her skin” (Ramo 1998, p.51). U.K. Professor Kevin Warwick, the first man to be implanted with a chip, has also said: [i]n five years’ time, we will be able to do chip with all sorts of information on them. They could be used for money transfers, medical records, passports, driving licenses, and loyalty cards. And if they are implanted they are impossible to steal. The potential is enormous (Dennis 1998, p. 2).

7.2.2. Case 4: Transportation Electronic ticketing systems46 based on magnetic-stripe technology are now widespread. Most tickets issued for a variety of transportation are made of a thin cardboard containing a magnetic-stripe down one side. They are known as ‘prepayment cards’. While these tickets are highly negotiable, consumers seem to be relatively unconcerned with loss or theft of a ticket. The cost to manufacture and purchase a ticket is relatively low compared to other card types. The movement away from traditional cardboard-only tickets only raised the price of a fare by a few cents and increased

45 One of the earliest references to a type of auto-ID device that would herald in a cashless society was recorded in The New Westralian Banker, an official publication of the Australian Bank Employees Union. The article (Devereux 1984, p. 5) was titled “1984 IS HERE!” and highlights a new system that supposedly does not require a bankcard or credit card or cheque or cash. “This is the crux of an experiment begun in Sweden starting March, 1983. 6,000 people have agreed to take part in this experiment. Each person involved has received a special mark (shot on to the relevant area with a special, painless ray gun) and is now marked for life (it doesn’t come off.) The mark is registered in a computer and will register in banks or wherever those marked decide to shop. The shopkeeper simply runs an electronic pen over the mark and it instantly sends that person’s number to a computer centre from where all information of their transactions is sent to their bank. No money needs to be touched.” The technology depicted suggests that some kind of human bar code trial occurred in Sweden. The technology did exist in 1984 to run this trial; however I have not been able to verify the authenticity of the content of the article. Whether Devereux had a wry sense of humour or the article content is true, still makes one wonder where the technology could be headed. 46 For a more detailed investigation into how smart cards are used in transport, i.e. taxis, trains, air travel, road tolling, parking, see Hendry (1997, ch. 14).

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revenue manifold. In the U.S. the push toward transit fare automation began in 1972 when BART (Bay Area Rapid Transit) in the San Francisco Bay area was introduced.47 Perhaps one of the successes of the introduction of magnetic-stripe ticketing is that it has allowed for the operation of a unified and standard metropolitan transport system. In Sydney, Australia, the State Rail Authority, the State Transit Authority and Ferry Authority have standardised their magnetic-stripe ticketing system. The Washington transit system also uses a similar set-up (Harrop 1989, p. 342). Weekly or daily tickets can be purchased with ease and used for different types of transport. Consumers who purchase pre-paid tickets for multiple journeys usually receive price discounts (Todd 1990).48 When standards for magnetic-stripe were being developed the International Air Transport Industry ensured that Track 2 was dedicated solely to air travel. Before any domestic or international flight, the traveller is issued with a boarding pass. Without this pass he or she cannot board the aeroplane even if their passport has been stamped by immigration. A boarding pass contains flight and seating information, the traveller’s name and flight class in the front and a magnetic stripe at the back.49 One of the biggest boosts to the magnetic-stripe card industry was the introduction of loyalty cards attached to air transportation especially. The idea has been around since the late 1980s but it picked up momentum in the late 1990s with frequent flyer card programs linked up with hotel chains and rental car companies.50 As far back as in 1987, the Airplus Company (initially backed by the top 13 European airlines)

47 The process is as follows: “[t]ickets are dispensed by machines in stations that accept coins and bills. Ticket value is recorded on the mag stripe. When a rider enters the system the turnstile read-write unit records the place and time of entry. Upon exit, the turnstile computes and subtracts the price of the trip based on length of trip, and in some systems, the time of day” (Holmstrom 1996, p. 1). 48 The short-comings of the ticket include that they are disposable (i.e. paper waste) and the ability to check whether an individual has purchased the right trip for their destination requires human intervention. 49 If a traveller has luggage to check-in bar code labels are attached to the bags so that they can be read later and routed to the correct destination (LaMoreaux 1995, pp. 12-14). 50 As Wesley (MasterCard International) and Wilke (Mobil Oil Credit Corporation) wrote (1997, p. 200): “[p]lastic cards, some with magnetic stripes, also have become one of the mainstays for the traveller. Most of the airlines, hotels, and car rental companies issue plastic loyalty cards in various colours denoting the customer’s usage. These cards merely carry a unique customer number often embossed on the card, but sometimes also store encoded information on a magnetic stripe. These plastic cards facilitate, to a limited extent, loyalty programs with travel partners within the industry. For example, an airline may award frequent flyer points for staying at a travel partner hotel. These loyalty programs generally facilitate point accumulation.”

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launched its loyalty card. Similarly in 1989, the Alitalia airline was offering a twenty per cent discount on full-fare domestic flights in Italy for Alicard cardholders. Alicard, which is personalised and carries a magnetic stripe (the stripe is inactive and for ‘image’ purposes only), is being produced by a Rome-based subsidiary... Air industry observers consider Alitalia’s foray into the plastic card business part of an overall attempt to build itself an image as an innovator and improve its level of service (Card World 1990, p. 44).

The new loyalty card market is booming in that more and more consumers are subscribing to programs.52 Under the guise of Club Miles, Frequent-Flyer, Fly-buys, Air Miles, The Travel Club, Reward Card, Premier Points, Executive Club and other sonamed programs, consumers are rewarded for their loyalty by discounted or free flights, upgrades to flight class or airline lounges or hotel rooms etc. Companies from all types of industries are enjoying the co-branding concept, especially airlines that have teamed with large hotel chains, credit card corporations and telecommunications operators. What is important to highlight, however, is that the cost of these programs to airlines, hotels, and card companies is high and the return questionable. “The current process is inconvenient for the consumer, costly for the travel company to administer, and a nightmare for a corporate travel and finance department to manage” (Wesley & Wilkey 1997, p. 201). 7.2.2.1.

The Smart Choice for Contactless Ticketing

Magnetic-stripe tickets have been successful in increasing commuter throughput at peak hour periods but many operators are concerned with the increasing means to counterfeit this media (Dinning 1997, p. 186). For this reason, smart cards have been introduced to many transit systems all over the world (see exhibit 7.4 on the following page).53 Among the most advanced is that established in Hong Kong. The consortium 51

It was one of the first companies to offer such a service but it found it very difficult to continue in the short-term as projected card targets were continually not met. The card was initially misunderstood by observers as a type of credit card but David Huemer (the CEO at the time) clearly stated that the service the card provided was the purchase of business travel for the frequent traveller. By 1988 Airplus was forced to change its strategy. The company restructured and successfully entered into the co-brand market directly featured on a host of Airplus-linked family cards like Austrian Airlines. 52 Cross (1996, pp. 30-34) discusses how intelligent shoppers can benefit from loyalty programs. See the agreement between Mondex and beenz.com for loyalty points (D. Jones 2000c). Another example is the Australian loyalty card program called Ezy Rewards offers points for shopping at Woolworths, banking with the Commonwealth Bank, flying with Qantas, visiting particular entertainment venues and booking particular holiday packages. 53 Since the Schengen Treaty, Amsterdam’s Schiphol airport has introduced a 100 million guilder smart card system for members of eight other European states that have agreed to scrap identity checks. “The plastic cards… allow for free movement for travellers through a special gate without having to show 212

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Creative Star has integrated the ticketing system for trains, buses, taxis, trams and ferries.54 The contactless card allows commuters to pass through turnstiles without having to insert it in a reader. The consumer has the choice between a personalised and non-personalised card. In the U.K., Transys will also be developing a smart card system for London Transport (LT). It is proposed that (Jones 1998, p. 4): [a]utomatic gating will be extended to all the London Underground stations and existing automatic gates will be upgraded to read smart cards. Electronic ticketing machines will be introduced in all buses operating in London. Transys will also take over the operation of London Transport’s Pass Agent ticket retailing network operated confectioners, newsagents and tobacconists and collect revenue from them. Some 2,300 retail outlets will have the equipment for issuing smart cards.55

Please see print copy for Exhibit 7.4

Exhibit 7.4 Different Types of E-Tickets

The Washington Metropolitan Area Transit Authority (WMATA) trialled contactless smart cards in 1995. The ‘Go Card’ as it has been named, can also be used to pay for commuter parking.56 The MAPS concept calls for the ability to pay for all transit

passports or ID cards… there are no photographs of travellers, passport numbers or any other safeguards in the card’s microchip… The treaty will provide free passage of citizens through France, the Netherlands, Germany, Spain, Portugal, Belgium, Luxemburg, Italy and Greece” (European 1993, p. 3). More recently Iceland’s Keflavik International Airport upgraded its CCTV (closed circuit television) system with facial recognition technology to guard against terrorism, since its inception into the European Schengen Agreement (Lockie 2001b). 54 See the Octopus Card (Kwok 2001, p. A4) used to collect payment for taxi fares and other transport services (Wallis 2001, p. B5). Consumers are charged a small levy for using the card to offset overall costs. This is how Creative Star as the service provider makes money and how merchants can recover their costs for buying specialised readers (Chan 2001, p. 6). 55 See also Greenfield (1996, p. 20) on plans for London’s public transport system to become the most technologically advanced in the world. These efforts were hampered however by the last minute withdrawal of three key members of the Consortium. See also Linton (1997, pp. 6/1-6/5). 56 German Autobahns used the chip-ticket system from about the mid-1990s (Wenter 1994, pp. 50-54). The Tapei City government implemented a Mass Rapid Transport (MRT) system using contactless smart cards for payment on buses, the subway and a number of car parks. See Philips’ MIFARE smart card 213

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purchases from bus fairs to parking fees and tolls (Cunningham 1993, pp. 021-025). Additionally, smart transit cards have been used in agreement with universities and other applications. The smart card is not only convenient for the consumer but provides a wealth of knowledge for operators in terms of resource allocation and transport network optimisation (Blythe 1996; Blythe & Holland 1998).57 Readers linked to an information system can gather important statistical data that can assist with planning present and future transport services. For example, an operator has the ability to count the number of passengers that use particular bus, train and ferry routes at particular times of the day. In Singapore, this idea has been taken one step further with the fully operational ERP (Electronic Road Pricing) system. Drivers do not only go through toll gates without stopping58 but information collected allows operators to locate congested areas at peak traffic times, plan for new roads or redirect traffic through other routes.59 This type of system has enormous implications for congested and polluted cities such as Athens60 in Greece.61 Although a manual system is presently in place allowing certain cars (i.e. identified by car number plates) access to the city on certain days, a smart card capable system could work better.62 RF/ID technology is also being utilised to pay for fuel

platform at http://www.semiconductors.philips.com (1998). See also Haendler and McDaniel (1993, pp. 31-35). 57 For the advantages and disadvantages of smart card fare collection media see Okine & Shen (1995, pp. 524-525). See also Newsbytes (1999) regarding Singapore’s smart transportation network and Computergram (1999). Zlatinov (2001, pp. 35-36) reports on the next generation of transit cards. 58 Sydneysiders in Australia presently have a problem with dissimilar e-tags. Drivers that use multiple motorways (e.g. M2 and M4) will have to almost certainly use several e-tags. This situation indicates the importance of a uniform city strategy (Sun 2002, p. 25). 59 The RF/ID system even has the capability to charge drivers according to the route they have taken, to ensure a smooth flow of traffic (Kristoffy 1999). Drivers who do not wish to pay higher levies may use non-direct routes which take longer to get them to their destination. For an overview of RF/ID toll applications see Gerdeman (1995, ch. XI). 60 Recently it was announced that a smart card allowing unlimited access to all public transport in Athens would be available for the 2004 Olympic Games. 61 In understanding the flow of traffic, new bus routes could be setup to encourage people to take public transport instead of their own car. The terms ‘smart city’, ‘smart vehicles’, ‘smart roads’ are beginning to surface in transport and telematics. Gerdeman (1995, ch. XII) refers to this type of RF/ID application as an Intelligent Vehicle Highway Systems (IVHS). Choi et al. (1995) discuss a real-time moving automotive vehicle identification system (AVIS) that uses bar codes at toll gates to measure city traffic. See also C. Stewart (1999b) on driver information systems, Wright (1999) on the Leicester Environmental Road Tolling Scheme (LERTS), Blythe (1991, pp. 130-134) and Harmelink (1993, pp. 645-651) on an IVHS case study on smart trucking. 62 A system that could be adapted to suit the Athens requirements is the ConfiPass system developed by TagMaster AB for electronic access in parking lots and garages. The system would require every car in Athens to be fitted with a tag in a holder installed near the windscreen. Readers would then be installed at 214

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consumption. In 1998, the Tokheim Corporation incorporated TIRIS (Texas Instruments’ Registration and Identification System)63 into their premier fuel dispensers. Marsh (1998a, p. 1) described how the system works: The heart of TIRIS ‘gas-and-go’ technology is a small transponder key ring, or vehicle tag... A reader integrated in the pump transmits a signal to the transponder that answers back in milliseconds with a unique identification code that’s been linked to the customer’s credit card in a host database. The consumer’s credit card is then authorised for payment.

In the Italian city of Turin, the public transport company ordered a Confident RF/ID system (TagMaster AB) for its 900 buses, 300 trams and drivers. “[T]he ID tags in the system will also make it possible to get information about mileage, fuel consumption and service interval status of the vehicles” (Marsh 1998b, p. 1). In October 1995, at the Passenger Services Conference, a smart card subcommittee was established to develop an airline industry smart card standard.64 Problems envisaged with electronic ticketing, namely how to identify a passenger quickly without a paper boarding pass, led to the formation of the subcommittee.65 Delta Airlines, Lufthansa and Air France are now using IATA standard smart cards.66 Delta Airlines67 have issued smart cards to frequent flyers between New York, Boston and Washington. The contactless chip card is swiped by the passenger at the boarding gate

entry and exit points in the city. The system which stores all the necessary information about each vehicle either accepts or rejects the vehicle based on predefined settings such as time limits, day of the week, parking spaces available. Fines would apply for vehicles not complying with local regulations. 63 In 1998, Texas Instruments claimed to have over 30 million TIRIS transponders in use globally. 64 See http://www.iata.org/smartcard/ (1997). 65 Before the demise of Australia’s second largest airline, Ansett, “E-check in” was possible for travellers going interstate. A traveller was required to use his/her credit card at a check-in kiosk at the airport and a boarding pass would be provided after the consumer entered their itinerary details. Flight times, seat changes and baggage check-in were all automated through this process. 66 The results of the Smart Card Subcommittee were IATA resolution 791 and ATA resolution 20.204‘Specifications for Airline Industry Integrated Circuit Cards (ICC)’. The resolution made effective in 1997, means that cards are interoperable at gates which have upgraded their read/write hardware. It is expected that most of the airline cards will be co-branded cards. Credit card companies like Visa, MasterCard and American Express showed immediate interest. For a list of airlines that provide an eticket services see the IATA web site http://www.iata.org/eticket/eticket.htm (1999). 67 See Economist (1995) for the notion of “ticketless” air travel using smart card media. It should be noted that articles written before the recent spate of terrorist attacks are a little naïve in terms of how air travel can be made more convenient without the traveller having to go through so many individual checkpoints to board a plane. It is quite incredible to consider how much things have changed since the turn of the century especially, and how the topic of security is now a focal point throughout the globe. Compare Economist (1995) with Watson (2001b) who writes: “September’s attacks added a new dimension to airline security.” 215

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for authorisation to board the plane. The card not only acts as the ticket but serves the other functions of a Frequent Flyer Card and credit card. Lufthansa have already issued hundreds of thousands of smart cards to its frequent flyers and Senator cardholders (see exhibit 7.4).69 Known as the ChipCard, the card is used on all German domestic flights as well as from London and Paris. The card is truly a multiapplication card, as it can be used for making telephone calls in Germany, as a credit card, and Air Travel Card, a ‘Miles and More’ frequent flyer card, a membership card for airport lounges, and a boarding authority for passengers. Different from the Delta Airlines frequent flyer card, the ChipCard is both contact and contactless. When boarding the passenger does not need to insert the card in a reader but simply walk past the RF reader near the gate. Air France also records the passenger itinerary on the ATB Pectab Gemplus smart card. Just as magnetic-stripe cards can be stolen, so can smart cards. For that reason, it is possible that an unauthorised person may be allowed to travel accidentally.70 To counter this potential security breach, some authorities around the world have integrated smart cards with biometrics (Halpin 1999). As the traveller passes through immigration, he/she must insert a card into a reader at the first gate. The information stored on the card is read and verified. Different airports around the world are using different human characteristics, varying from fingerprints, hand geometry or a combination of both. The sample taken is then matched with a record in the database and the image on the card. If there is an exact match, the passenger is allowed to travel. Such a system is being promoted by IATA and is already in use in Australia, Belgium, Canada, France, Germany, Hong Kong, Netherlands, Switzerland and Taiwan and the U.S. In the latter, the system is known as INSPASS and has about 100000 persons officially registered.71

68

See Cerino (2000, pp. 131-133) for RF/ID applied to aviation. According to Finkenzeller (1999, pp. 237-238), the Lufthansa card was a contactless smart card, i.e., based on RF/ID principles. 70 After the recent mass-scale terrorist attacks, some of which involved the hi-jacking of a number of aeroplanes, biometrics has been deemed the next major auto-ID device to be used for not only travellers but airport personnel in general. 71 See also the Travel Card project that incorporates a wireless PDA (Zimmerman et al. 2001, pp. 11241228). “The goal of the Travel Card project is to increase check-in convenience by eliminating lines, without sacrificing security or courteous assistance when required. The Travel Card is a “pocket kiosk” that provides passengers access to the airline’s computer through a simple PDA interface.” With all the problems facing airports and airlines, including the latest SARS (Severe Acute Respiratory Syndrome) virus, it is difficult to see such a system as proposed by Zimmerman to be implemented in the near future. 69

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7.3.

Smart Cards Product Innovation

When highlighting the various types of smart card product innovations it is impossible not to be repetitious. Like the magnetic-stripe card and bar code card before it, the smart card can be applied to many different applications (Datamonitor 1996, ch. 3).72 The question is whether or not the smart card is the best-fit solution to the problem at hand. For example, “[i]n France, virtually all bank cards have been converted from ‘magnetic stripe’ technology to chip technology to cut down on fraud” (Lever 1997, p. 18);73 yet the same level of migration cannot be assumed in all parts of the world. It is therefore not surprising that it was also in France that one of the first multiapplication city smart cards was trialled in Vitrolles in 1990 (Sola 1990).74 Health cards using smart card technology have also become common.75 Smart cards can store patient information making the processing of transactions particularly in hospitals easier.76 However fully networked and integrated health care systems that incorporate end-to-end health provision are still lacking.77 Smart cards are also being used more and more for travel and to reduce traffic congestion.78 The largest application of smart cards however is for public telephones.79 While the benefits offered by smart payphone cards over magneticstripe payphone cards are negligible, telephone operators are strategically positioning

72

See Hamann (1997) who discusses the application revolution that chip cards have enabled. Bajak (1996, p. 35) reported that the migration from magnetic-stripe to smart card cut fraud losses by seventy per cent in France. However Bajak also noted that hackers in Germany, Sweden and the Netherlands have been able to counterfeit even smart cards with relative ease. 74 The UK also announced a similar CityCard project in 1998. 75 The main motivators for smart cards in health care from the patient, service provider and payer perspectives can be found in Brainerd and Tarbox (1997, p. 155). 76 In some countries like Germany, the health care smart card has been implemented successfully but for the greater part controversy surrounds privacy aspects of the card. There is a fear that if health data is stored centrally then it may be at risk of being misused by independent entities. Errors in patient records can also be damaging to an individual if they go unnoticed. 77 It is envisaged that in the future, a patient will be able to visit his/her doctor, receive a diagnosis from the doctor and store this information on the smart card. If the patient requires drugs, prescriptions could be made electronically to ensure non-conflicting medications were given. Visits to specialists and test results could also be stored on the card. 78 The Electronic Road Pricing (ERP) system in Singapore, officially launched in March of 1998, collects two forms of road revenue: using a particular stretch of road and for entering the CBD (Central Business District) during designated busy hour traffic periods. Inserted in the reader of each vehicle is a Cash Card which is debited each time the vehicle crosses an ERP area. Parking is yet another application for smart cards used for charging drivers for the time they occupy a space and/or given access to a car park. 79 Figures released by Datamonitor indicated that in 1996 around 66 countries had adopted smart card payphones and smart cards for payphones accounted for approximately 75% of all smart cards sold globally. See also Lutz (1997, p. 131) for a graph on the number of countries operating smart card payphones between 1986 and 1996. 73

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themselves for tomorrow’s mass market consumer applications.80 The development of the Global Standard for Mobile Telecommunications (GSM) required a subscriber identity module (SIM) to be inserted into the mobile handset.81 Smart cards are also being used for cable television (CATV) to prevent unauthorised viewing of programs82 and for metering of household energy use.83 University smart cards are also widely used. Many governments are also looking into smart cards for social welfare recipients and more general for citizen identification (i.e. for voting). See exhibit 7.5 for examples. Please see print copy for Exhibit 7.5

Exhibit 7.5 The Diverse Range of Smart Card Applications

7.3.1. Case 5: Telecommunications Without a doubt, prepaid smart cards for public payphones account for the largest segment of the smart card market (Crotch-Harvey 1996). In 1995, telecommunication-specific smart cards accounted for 80 per cent of the market. This figure is likely to change after the year 200584 as more and more applications are built

80 If the smart card infrastructure in payphones is ready to be used, it is only a matter of additional software to be written for other applications such as banking. Imagine using a payphone that could act as an ATM. For a thorough discussion on ‘banking on the telephone’ see Essinger (1999, ch. 8). 81 The SIM is the mechanism that allows a subscriber to connect to the network and is essentially a smart card made to ISO specifications. For personalisation of GSM telephones see Moorhead (1994). 82 Security algorithms decode the signal via a set-top box. See smart cards exclusive advantages in payTV (Monnin 1992, pp. 418-421). 83 See Woodside and Jones (1990, pp. 144-148) and Simpson (1996, pp. 3/1-3/4). 84 The future for broadband services is looking bright as IP-centric networks are being built to cater for tomorrow’s bandwidth-driven applications. For this reason the 1990s has seen traditional telecommunications companies form alliances or even merge with CATV companies, Internet Service Providers (ISPs), Web software businesses and media corporations in a bid to share their risks and make sure they are not left out of the race. All these applications will require smart cards for subscriber access authorisation with capabilities to bill customers for services used and information content downloaded. For telephony and telecommunications applications see especially Lutz (1997, ch. 8) and Hendry (1997, ch. 11). For case studies on home telematics in Europe see Jouet (1991) and Rijn et al. (1988).

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for financial and health services. The first recognised trial of smart cards for prepaid telephone cards was by the French Post Telephone and Telegraph (PTT) in 1982-83. The French justified the move from coin operated payphones to smart card payphones by highlighting that about 15 per cent of phone call tariffs were lost as a direct result of telephone charging frauds and coin theft (Svigals 1987, p. 97). The French trials were so successful that in 1984 ten thousand smart card payphones were installed in France with 400,000 smart cards issued to consumers. By 1995 there were a reported 1.5 billion prepaid telephone cards sold- “four hundred million of these were smart cards that can be accepted in one of every five payphones in more than 70 countries” (Lutz 1997, p. 131). The smart cards used by French Telecom were made by Gemplus.85 In 1994 US WEST marketed the Telecard smart card in conjunction with the Nortel Millennium payphone.86 In 1995, Québec Telephone became the first company in North America to modernise its entire payphone system.87 In 1996, BellSouth chose to team up with Nortel at the Atlanta Olympic Games. BellSouth deployed 200 smart card-compatible Nortel Millennium88 intelligent payphones which were able to handle VISA Cash.89 The Millennium payphone is multi-pay, multi-card capable, “[i]t accepts VISA Cash as well as magnetic-striped, commercial credit and calling cards, and coins” (Scarlett & Manley 1996, p. 3). By 1997, the smart cards had become so popular that Mondex International decided to use the Nortel Millennium payphone and Nortel PowerTouch 360 (also known as the Vista in Canada) to offer electronic banking and home banking services.90

85 Gemplus is the leading maker of smart phonecards with 40 per cent of the market share. It supplies smart cards to 50 national telephone operators in about 50 countries worldwide. Gemplus sold 120 millions smart cards in 1994 alone. 86 US WEST decided to install a further 16,000 Millennium advance payphones in five metropolitan areas: Seattle, Denver, Phoenix, Portland and Minneapolis. Selisker (1996, pp. 2f) describes how the Telecard smart card was used. “When you insert the card (values of $1 $5, $10, or $20) into the payphone’s card reader, the fluorescent display tells how much money is left on the card. If you want to make a long distance call just dial 1 + area code + number. The terminal contacts the Millennium Manager to obtain the rates for the first three minutes and each additional minute and displays it for you. Based on the value remaining on the card and the cost of the call, the display timer shows the time left before the call will end or another card must be entered to continue. The terminal continually decrements value from your card as the call progresses. When you hang up, the display shows the remaining value on the card.” 87 See the Bell chip card in Québec at http://www.bell.ca/club/v_averti_a.html (1996). 88 Nortel was the first to bring smart card capable payphones to North America and they currently have more than 100000 Millennium terminals installed throughout the region. 89 It was a way for BellSouth to differentiate itself from the other 866 payphone providers in Georgia. 90 Customers now have the additional ability to ‘reload’ their prepaid cards by transferring funds from their personal accounts. In essence, the intelligent telephone has now become a remote ATM.

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Another use of smart cards in telecommunications since 1992 is as a SIM card, also known as the User Identity Module (UIM), for mobile handsets. As Kaplan describes (1996, p. 162): SIM cards contain non-volatile information embedded by the manufacturer related to security and identity, and a programmable memory (electrically erasable) to provide for optional and dynamically changeable information.

It is the microchip in the SIM card that authorises the subscriber’s connection to the network. This way the subscriber can place and receive calls. The card is personalised in such a way that the subscriber’s account information is stored on the microchip.91 Other data includes card ID, PIN, service features, access class and memory configuration. Subscribers can remove the SIM card and put it into any other GSM handset and all the subscriber-customised features will work, provided they are the same standard size (e.g. standard ISO SIM card known as the ID-1 format). Another excellent feature of the SIM is that it allows for global roaming.92 The most important function of the SIM card is that of billing.93 A subscriber can take their card with them anywhere and have total control of who uses it- PIN enabling the SIM is always a safe practice for any subscriber just in case they lose their phone or have it stolen.94 Reports which herald the SIM as a vital piece of tomorrow’s wireless personal digital assistants (PDA) do so for good reason (Ince 1997, pp. 26-30). Japan’s NTT DoCoMo launched i-Mode95 at the end of 2000, to trial a packet-switched mode of transmission over the current 2G mobile environment.96 Some 3000 companies are now offering transaction capabilities over i-Mode officially linked to DoCoMo’s mobile commerce billing system. The results speak for themselves; more than 50 per cent of mobile subscribers use i-Mode and some 40,000 new subscribers are joining the network each day. Current i-Mode applications allow the user to do anything that the

91

See the GemXplore SIM card which is used to store names and number (like a phonebook), enables short message services (SMS) and has other special features. 92 Global roaming provides the subscriber access worldwide at the operating frequency or technology used in a particular country whether it is GSM, DCS 1800, PCS 1900, DECT, UMTS or satellite systems. However, the handset must be dual-mode capable. Handset dependent technologies include CDMA (Code Division Multiple Access) and TDMA (Time Division Multiple Access). 93 SIM cards can be pre-paid or postpaid (Bertolus 1997, p. 5C). 94 For a thorough discussion of the GSM network as it pertains to the smart card market see Rankl and Effing (1997, pp. 362-368). 95 See http://www.nttdocomo.co.jp/english/index.shtml (2002). 96 See also Michael, K. (2002, pp. 291-294, 296) and Flammia (2000, pp. 82-83). 220

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‘fixed’ Internet offers, such as book airline tickets, buy and sell shares on the stock market, play their favourite games, check the latest weather forecasts, shop and browse for products, play government-approved lotteries, download images and even use the company’s intranet.97 In the future it is not inconceivable that the wireless personal digital assistant (PDA) or e-wallet98 will become the future mechanism by which all purchases, even government transactions are made. Coupled with mobility will be the ability to use the same smart card in the home. In the case of such cable television applications like video-on-demand (VoD) or home shopping, smart cards have the ability to not only grant the customer access to subscription channels but also to charge the individual for content viewed and items purchased (Hendry 1997, p. 153).99 Lutz adds (1997, p. 141) that “[s]mart cards can add substantial value to th[e] growing industry by providing payment options, access authorisations, personalised services, and security”.100 7.3.1.1. Smart versus “Dumb” Cards In 1990, Telecom Australia introduced the Phonecard- a prepaid telephone card system. The technology supplied by the Anritsu Corporation had been used in Japan for some years successfully. Cook (1990, p. 1) an executive of Telecom’s payphone services (business unit) described the technology choice in conference proceedings. The technology revolves around an encoded magnetic stripe which is credited with a series of dollar values ($5, $10, $20 and $50) that are decremented according to the call type when inserted in the payphone…

Telecom saw many benefits to the widespread roll-out of magnetic-stripe technology. They believed that it would increase profitability of their payphone business, reduce vandalism and theft of public payphones and be more convenient for the consumer. 97

DoCoMo’s newly marketed c-Mode is also set to challenge the way in which consumers spend money. Using their wireless handset, they will be able to purchase items from vending machines and be billed accordingly on their i-Mode bill. See also Sun-Herald (2002). In Singapore a pilot program is underway to allow consumers to pay for their taxi fare via their mobile phone as well as purchase coke from a vending machine. See Australian (2002) and Hayes (2002). In the Australian market, Vodafone are keen to follow the Japanese example. Telstra is also running trials in Bronte, Sydney: “[c]ashless parking meters activated by mobile phones and smart cards…” (R. Smith 2002, p. 11). See also Nadile (2003). 98 See WillTech’s smart card wallet that resembles a calculator at http://www.willtech.co.kr (2001). 99 The vision of a world where every home in more developed countries (MDCs) is connected by fibre or at least Fibre-to-the-Curb (FTTC), and every customer has access to third generation (3G) applications on the Internet is no longer wildly out of reach (Buckler 2000). See also Marron (2000, p. C1).

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Telecom produced in excess of 10 million cards per year and over 75 per cent of payphones accepted PhoneCard. However, Telecom did reveal that the costs of producing and distributing the cards were expensive when counted with the costs of upgrades to payphones (Cook 1990, p. 5). The Telecom experience is quite typical of many telephone operators’ experience in the United States. The company was aware of smart card technology being used in France at the time of making the magnetic-stripe decision but opted for the ‘safer’ option. Perhaps this was a strategic decision, for Telecom Australia, now called Telstra, to gauge consumer reaction to the PhoneCard before moving towards the more expensive smart card solution. Still, this was either an expensive strategic move or an expensive loss. In 1997, Telstra launched ‘Smart Phonecards’ in Perth.101 Within a six-month transition period all magnetic-stripe cards were phased out and new payphone terminals were installed (developed by Spanish manufacturer Amper). Telstra have made it obvious that the new Telstra Smart Phonecard would also facilitate cashless payment for a variety of goods.102 Telecom’s pre-paid PhoneCard should be differentiated from other services that are presently being offered by telephone operators. For instance, using the AT&T Direct Service requires a consumer only to be in possession of a recognised credit card such as American Express, MasterCard, Diners Club or an AT&T corporate card. The service offered by AT&T does not require the use of the magnetic-stripe technology to make a call internationally. The process only requires the use of a touchtone telephone. The cardholder enters the special AT&T Access Number (dependent on where the call is being originated), dials the international telephone number and then enters the AT&T 100 The importance of the smart card device cannot be underestimated in these Internet Protocol (IP)based applications- if you cannot bill a customer then you do not have a commercially viable application. The advent of interactive digital television (iDTV) will also assist to grow the smart card market. 101 See Telstra press release dated 18th September 1997 and an introduction to the new smart cardenabled payphones at http://payphones.telstra.com.au/smtpcrds/intro.htm (1998). 102 The Phonecard experience seems to be a recurring pattern in other countries worldwide. In Pakistan for example, where 100 million people have access to only 2000 payphones in Islamabad and Lahore, competing operators have implemented different auto-ID solutions. In Britain, BT (British Telecom) is replacing their optical card payphones with smart card. Even in the United Arab Emirates, old coin and magnetic-stripe payphone terminals are being replaced with smart-card capable ones (Fromentin & Traisnel 1995, p. 82). It is still difficult to imagine though, that the situation in the U.S. is still “very much in its infancy, with only a few payphones equipped with readers capable of handling credit cards or telephone chargecards. There are signs of change, however, with several operators conducting trials with magnetic stripe cards” (Communications 1995, p. 58). The payphone magnetic-stripe to smart card migration can be very much likened to that of the bankcard magnetic-stripe transition to smart card. Similar successes and failures have been experienced.

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Calling Card number plus the credit card number followed by the four digit expiration date to complete the call. All calls are then billed to the cardholder’s credit card. If the process of dialling all these numbers seems prone to error, that is because it is. Telephone operators have a host of calling card services some of which only require the cardholder of an access card to dial an operator which then places a call on behalf of the caller. Newer more innovative secure network access can be achieved using biometrics (Messmer 1998, pp. 1-2). 7.3.2. Case 6: Health Care Almost every patient in a more developed country (MDC) possesses a health care card of some type, whether he or she is covered by private health insurance or a government medicare scheme.103 While in Europe and Canada (see table 7.2 on the following page) smart cards have been prevalent in the health care sector, other countries such as the U.S. and Australia have lagged behind.104 In France the Sesame Vitale scheme has been in place since 1986. The smart card scheme used to assist the French Social Security boasts of approximately 10 million French citizens and over 100000 doctors and other health professionals. Ultimately the scheme will cover the entire French population for the primary purpose of proving the identification of the cardholder and conveying prescriptions to pharmacists. The scheme is not directly concerned with individual patient medical records- this is the task of another card called Santal.105 In 1989 the German Health Insurance Card,106 Versichertenkarte, was distributed to citizens by government, enforceable by law.107 The card was used to provide individuals with access to medical treatment and to assist with billing of services and the reduction of administration costs.108 By the end of 1994 the card was

103

See WEDI Steering Committee (1993) for an extensive paper on unique identifiers specifically for the health care industry. 104 In the U.S. several attempts have been made to introduce a health care card, especially by the Clinton administration but these have failed; the same as in the Australian case. See Hausen and Bruening (1994, pp. 24-32) on U.S. health care and card technologies. 105 Other projects that have been piloted in France include the Biocarte system and the Transvie card. 106 See Schaefer (1997). 107 See Kaplan (1996, pp. 158-161) for more information on the mandated German card. Kaplan describes the advantages to patients, insurers and health care providers noting that there are privacy risks associated with the scheme. Also, Hendry (1197, ch. 13) discusses medical records, prescriptions and patient monitoring and Gogou et al. (2000, pp. 559-561) a smart card network for health services. 108 Schaefer (1997, p. 1) reported that by October 1994, 63.4 million cards had been distributed to insured persons and about 135,000 readers had been installed at medical institutions. The card was accepted by about 93 per cent of health insured persons and about 45 per cent of all doctors. 223

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issued to about 79 million persons. The content on the patient card included: title, given name, surname, date of birth, address, name of health fund, insurance company identification number, patient health insurance number, status of the insured and the card expiration date. The magnitude of this project cannot be underestimated. Europeanwide smart card health schemes are also being promoted by the Advanced Informatics Medicine (AIM) program, now that the European Union (EU) is a reality.109 Table 7.2 Major Health Card Projects

Please see print copy for Table 7.2

Source: Complied and adapted from DataMonitor (1996, pp. 24-42, ch. 3).

The Québec health card developed by the Laval University Medical centre and the Québec Health Insurance board was piloted in May 1993. About 7,000 cards were issued to potential participants and about 300 doctors, pharmacists and nurses were targeted. The information on the health card was grouped in five separate zones: identification, emergency, vaccination, medications and medical history. In Ontario, in the same year the Encounter smart card was also piloted. Cards were issued to about 2,200 volunteers and 80 health care providers. The card contained three separate sections: biographical, health status data and encounter (patient visiting) data. However what was different about this card was that it contained not only numbers relevant to health but also the unique lifetime identifier (ULI) of the patient represented in the registered persons official database. According to Lindley (1997, p. 97) there have been

109

It is envisaged that cross-border national medical sectors in Europe will be integrated in a shared system. One of the functions of the Eurocard will be to reduce health administrative costs. The Diabcard is also making headways in Germany, Austria, Italy and Spain. The Diabcard “...provides the specification for a chip card-based medical information system (CCMIS) for the treatment of patients with chronic diseases” (Schaefer 1997, p. 4). 224

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over 30 health card trials between 1985-1990- some have proven in and others have not.110 7.3.2.1. Privacy Concerns over Smart Card The Medicare card distributed to all Australian citizens entitles the cardholder to receive government-funded medical services and benefits. For example, the card can be used to subsidise patient visits to general practitioners (GPs). The card contains a magnetic-stripe, an embossed number, an expiry date and the name(s) of the cardholder. Before a cardholder can see a doctor, he/she must present the card which is carboncopied and forwarded to the Health Insurance Commission (HIC) for processing. Due to earlier privacy concerns regarding pseudo national ID cards, attempts to introduce a smart card were extinguished as was the proposed Pharmaceutical Benefits Scheme (PBS). The Minister of Health in 1991 promised the public that a smart card would never replace the existing system.111 However, the Warren Centre still believed that a smart card would “improve the administration of PBS, and reduce fraud and errors... a smart chip could also be added to the Medicare card, storing the history of the drugs issued and for which benefits had been paid” (Privacy Committee of NSW 1995, p. 32).112 The process proposed by the Warren Centre was not only seen as efficient to administration but possibly life-saving for the patient.113 Private health care funds in Australia are also beginning to roll-out magnetic-stripe cards. MBF (Medical Benefits Fund) distributed cards to their customers in 1998. The MBF card unlike the Medicare Card is not embossed but does display the cardholder’s signature. When patients claim rebates on health services that are not covered by Medicare, they must now present their private health insurance card as a way for the health fund to track expenses. Previously, the system was confusing for patients and health institutions wishing to claim money owed to them- several different medical bills for health services made reconciliation

110

For an overview of a smart health care service case study see Kaplan (1996, pp. 104-109), especially figures 4-2 and 4-3; and Lindley (1996, pp. 97-111), especially table 4-1 on specific health care applications for a variety of health institutions. McCrindle (1990 ch. 9) provides a generic overview of medical applications with some international examples. 111 See Davies (1992, ch. 4) especially pp. 52-55. 112 See Berek (1996, pp. 113-121) controlling fraud and abuse in the U.S. medicare system. 113 “On each medical visit the patient would present the card to the doctor who would put it into a smart card reader which would automatically warn of any potential conflict between prescribed drugs, or potential over-prescribing. If PBS drugs were prescribed they would be entered and stored on the card. The patient would present the card to the pharmacist, who would prepare the prescription, processing the financial concession at the same time” (Privacy Committee of NSW 1995, p. 32). 225

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difficult. The MBF cardholder is also entitled to discounts at certain health-related companies like Rebel sports store and entertainment venues (MBF 1999). Other auto-ID devices being used in health care include biometrics114 and RF/ID.115 7.4.

Biometric Product Innovations

Unisys is just one of about twenty well-known companies that have promoted biometric technology to be used with the following applications: social services, driver licensing, voter registration, inmate verification, national identity, immigration control, patient verification and banking (see exhibit 7.6). Several U.S. states have biometric identification programs already for the distribution of social welfare including in Arizona, California, Connecticut, Illinois, Massachusetts, New York, New Jersey and Texas.116 Also in the U.S. two airports have been equipped with biometric technology for the purpose of immigration control. At Newark and JFK airports, the Immigration and Naturalisation Service Passenger Accelerated Service System (INSPASS) uses hand recognition terminals (see table 7.3 on the following page).117 In Columbia, voters must have an official voter identification card complete with photograph and digitised fingerprints before they can legally participate in the election process (O’Connor 1997,

114

For a person in a critical condition who requires urgent medical attention, and who is unconscious, biometric identification in the form of hand or fingerprint scanning could end up preventing further damage or death (Takac 1990, p. 19). Many people have died unnecessarily because of injections they are either allergic to or have received too high a dosage. See Menendez (1999) on why biometrics is useful for health care. According to SJB (1999), new research indicated over 70 live installations of biometrics in health care. See also Kaufman and Woodward (1992, pp. 165-167) for a pioneering medical record system called Plustag-Magic. 115 RF/ID tags and transponders are being adopted, mainly for the precise identification of new-born babies, mentally-ill patients or those suffering from allergies. While there are many tags or bracelets that do not possess any intelligence (like bar code), RF/ID is a technology that is predicted to change everything from physical access control in hospitals to drug delivery using biochips to treat illnesses like diabetes. 116 See http://www.dss.state.ct.us/digital/ot_states.htm (1998). 117 In the U.S., Charlotte/Douglas, Orlando, Reagan, Washington Dulles, Boston Logan and Chicago O’Hare international airports also have biometric systems, all but the former using fingerprints. For detailed information on what INSPASS is and how it works, see Andreotta (1996) and for a brief overview see Bernier (1993). The feature article on immigration and biometrics by Atkins (2001) raises some very important issues. For one of the most in depth case studies on biometric ID see Schulman (2002) on the US/Mexico border crossing card (BCC). The study looks at the differences in personal identification requirements before and after the September 11th attacks and documents some of the changes that have taken place between the US/Mexico border check-point. 226

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p. 4). Jamaica is also experimenting with fingerprint minutiae data for a register of eligible voters (Woodward 1997, p. 1483).118 Table 7.3 Biometric Systems in North America

Please see print copy for Table 7.3

The Federal Bureau of Investigation (FBI) is another user of biometric equipment. Before IAFIS119 (Integrated Automated Fingerprint Identification System) was developed, the FBI manually processed fingerprint cards, since about the 1920s. By 1997, the projected growth of automated fingerprint live-scans was estimated at 20,000 per work day (Higgins 1995, p. 409). The United Kingdom (UK) National AFIS (NAFIS)120 involving the Police Information Technology Organisation (PITO) is another system that shares similar characteristics to IAFIS. As Roethenbaugh reported (1998, p. 2): By the year 2000, it is expected that NAFIS will support a database of over six million ten-print sets (60 million images) and up to one hundred thousand scenes of crime latents. Between eight and nine million ten-print sets are expected in the database by 2010.

Inmate verification is another application of biometrics. Since 1990, Cook County (Illinois) Sheriff’s Department has been using retinal scanning to process prisoners

118 BallotMaster is a biometrics-based voting system that ensures one vote per citizen. It was developed jointly by Neurodynamics and Surveys International. The system uses a bar code card for pre-registered voters and takes advantage of fingerprint biometric technology. 119 One of the pioneers of fingerprint technology was Identicator Technology. Since the early 1970s they have specialised in inkless fingerprint products. Some of Identicator’s commercial partners in 1999 included S.W.I.F.T. and MasterCard. Identicator customers included the National Security Agency (NSA), U.S. Secret Service and the Social Security Administration (SSA). For more information see http://www.identicator.com/about/index.html (1999). 120 “NAFIS is technically a biometric system, in that it uses physical characteristics (fingerprints) to either establish whether a person has an existing criminal record, or to identify the donor of latent scenes of crime marks, but the scale of the task is incredibly more complex. NAFIS is also a lot more than just another AFIS system, in that it provides complete IT infrastructure in the Police Fingerprint Bureau, with which a great deal of their work is capable of being automated... NAFIS will give all 43 forces of England and Wales access to a central database of fingerprints and unidentified latents... NAFIS will utilise the Police National Network (PNN) communications network on the UK mainland...” (Roethenbaugh 1998, p. 2).

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(Ritter 1995). The Department processes between 300 and 500 people per day, mostly in the morning and has compiled a database of 350,000 individuals (Brakeman 1998, pp. 1-3). According to Tom Miller of the U.S. Department of Justice, inmates, prison staff and visitors will be required to enrol in the biometric system at all Federal prisons in a bid to reduce inmate escapes.121 Please see print copy for Exhibit 7.6

Exhibit 7.6 Concern for Security Means a Variety of Biometric Applications Proliferate

Biometrics systems once considered for law enforcement purposes only are now being used in private enterprises (see exhibit 7.6 above).122 New products such as the AFIM (Automated Fingerprint Recognition Machine) Time Security System by International Automated Systems (IAS) are being marketed to employers who would like additional payroll accuracy.123 Among the advantages IAS outlined are cost effectiveness, improvement in manager’s effectiveness, and employee morale. Australia’s largest supermarket chain, Woolworths Ltd has been using Identix fingerprint scanners for about 3 years to monitor employee attendance. “Instead of punching time cards, about 100,000 employees check into PCs located in 500 stores. Each store has one or two PCs running time and attendance software” (Aragon 1998, p. 5). Coca-Cola uses hand scanning for time and attendance for some of its employees (Chandrasekaran 1997).124 At universities, biometric systems have been introduced for meal allowances, entrance into examinations and tutorial attendance. At the University

121

“A major use of biometric-based security systems is not so much designed to keep people out, as to keep them in. Prisons have begun using fingerprint and hand geometry readers to track prisoners. Such systems have also been employed to monitor parolees...” (O’connor 1998, p. 5). 122 See Whelan (1998, p. 6), ‘Biometrics goes corporate’. 123 See http://www.iaus.com/afim.htm (1998). 124 See Recognition Systems biometric product called HandPunch that is very popular with private enterprise at http://www.handreader.com/news/whitepages/dayswork/ (2001). 228

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of Georgia for example, hand geometry has been in place since 1972 for the former reason (Weise 1998, p. 3). In banking several trials have been conducted using fingerprint identification for ATM cardholder verification in order to do away with the traditional PIN. More recently however, iris ATMs, have been given much attention in the popular press: Sensar’s product, IrisIdent, uses a standard video camera, military technology that points and zooms the camera at a customer’s right eye and a software program that digitally maps the eye and matches it with a file copy. This digital map traces the tiny hills and valleys of the iris’s delicate tissue, which is about one-sixth the surface area of the eye… (Fernandez 1997, p. 10).

One of the most challenging to design and yet the most acceptable form of biometrics is voice recognition.125 Nortel Networks (formerly Northern Telecom) has been a world leader in offering total solutions for public and private operators. In Canada and the U.S. people are able to use spoken commands to access information. In some parts of Canada, a subscriber who wishes to access directory assistance or dial a number can do so by speaking the digits into a handset (Cameron, H. et al 1996, p. 32). ADAS Plus uses speech recognition to discern the caller’s language preference, the city for which a telephone number is requested, and whether the listing is residential or non-residential. The system displays the information on a monitor, and a human operator provides the actual listing.126

Nortel Networks’ speech-recognition applications include: Automated Alternate Billing Service (AABS), AudioGram Delivery Service (ADS), Automated Directory Assistance Service (ADAS), StockTalk, Voice-Activated dialling, Business-Name dialling, help desk, corporate directory (Cameron 1996, pp. 29-41). The business case for highvolume call centres like hotels, airlines or car reservation companies to incorporate voice recognition is becoming more and more viable (Datamonitor 1998).127 7.4.1. Case 7: Government Services In the U.S. biometrics systems have been used for electronic benefits transfer (EBT) and other social services, since July 1991 (Campbell et al. 1996). In a bid to stop fraud, the Los Angeles County in California introduced AFIRM128 (Automated

125

See García et al. (2000) and Markowitz (1998). This is very similar to Telstra’s Australian residential and business directory service capabilities. 127 See Carey and Auckenthaler (2000, pp. 1093-1096). 128 The following extract is from the Hewlett-Packard (HP) Los Angeles case study (HP 1995, p. 3). “Using the AFIRM system, a GR applicant places his or her index finger on a live-scan camera which 126

229

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Fingerprint Image Reporting and Match) for the administration of its General Relief (GR) program in the Department of Public Social Services (DPSS). GR is for people who are not eligible for financial assistance from both the federal and state governments. In 1994, National Registry Incorporated (NRI) supplied finger-image identification systems to the Department of Social Services (DSS) in Suffolk County and Nassau County, New York. The New Jersey Department of Human Services and DSS of Connecticut were also later clients of NRI- all requiring finger-image systems to eliminate fraudulent activities. David Mintie, the project coordinator of Digital Imaging for the state of Connecticut, reported that this electronic personal ID system (1996, p.1): - conveniently and accurately enrols qualified General Assistance (GA) and Aid to Families with Dependent Children (AFDC) clients into a statewide database - issues tamper-resistant identification cards that incorporate finger-image ‘identifiers’ stored in two-dimensional bar codes - uses finger-image identification to verify that enrolled clients are eligible to receive benefits.

Also in 1995 the San Diego Department of Social Services (DSS) announced that it was implementing a pilot project for a fingerprint identification solution to ensure that public funds were being distributed to the correct recipients. Among the problems of the legacy system outlined by the county supervisor were the falsification of photos, signatures and social security numbers which were encouraging applicants to sustain multiple identities (commonly referred to as double-dipping). In November of 1996 the Pennsylvania DPW issued a Request for Proposal (RFP) for an automated fingerprint identification system (AFIS). As Mateer of BHSUG reported (1996, p. 2), the system referred to as PARIS129 (Pennsylvania Automated Recipient Identification System) will “capture digitised fingerprint, photo, and signature images of cash, food stamp, and medical assistance ‘payment name’ recipients, who are required to visit county assistance offices (CAOs).” In 1996 in Spain, all citizens requiring to be considered for unemployment benefits or worker’s compensation were issued with a smart card by the Ministry of displays the image on a workstation in the district office. The prints are scanned... The image is then analysed by the workstation to ensure acceptable quality and correct positioning. If necessary, the system prompts the clerk to re-attempt image capture. If the image is satisfactory, it is transmitted over a dedicated phone line, along with the demographic data, to the central site where it is compared against all other prints in the database...”

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Labor and Social Security (Kaplan 1996, pp. 31f). The so-named TASS (Tarjeta de la Seguridad Social Espanola)130 initiative requires the fingerprints of the smart card holder.131 Unisys reported that by early 1997 about 633 kiosks would have been installed in eight cities of the Andalucia region, covering about one fifth of Spain’s total population (i.e. approximately 7 million persons). The TASS project has brought together some of the biggest telecommunications manufacturers, like Motorola (IC), Fujitsu-Eritel (network infrastructure), AT&T (kiosks), Siemens Nixdorf (smart card reader/writers) and Telefonica Sistemas (portable reader/writers). Similarly the Dutch National ChipCard Platform (NCP) requires the cardholder’s personal and biometric data to be stored on a smart card “…and be readable across a wide variety of terminalsfor instance at libraries, banks, insurance companies, theatres, municipal authorities and mass transit undertakings” (Jones ed. 1996, p. 6). Cambodia’s national identification card also stores biometrics (fingerprints) but on a 2-D bar code instead of an integrated circuit.132 INSPASS is envisioned to grow to include other airports at Miami Chicago, Honolulu, Houston, Los Angeles and San Francisco. Old sites at JFK, Newark, Toronto and Vancouver are being upgraded with the latest technology. The focus will be to replace hand geometric devices with fingerprint devices in the long-term to ensure standardisation. In 1996, the German federal government was seeking to implement hand geometry at the Frankfurt’s Main Airport. The preferred German biometric technology was hand geometry which differed to that biometric used in the INSPASS project at Newark, JFK and Toronto airport. The U.S. and Canada are not the only nations that are working on automated inspection systems for immigration purposes. In 1996, others countries included Australia, Singapore, Hong Kong, Holland, Germany, and the United Kingdom, Bermuda. Travellers who would like to be identified using

129

See http://www.state.pa.us/Technology_Initiatives/paris.html (1998). See http://www.unisys.com/Industry/Public/spain.html (1997), Pepe (1996) and Jurado (1996). 131 “To use the kiosks, citizens will insert their smartcards and then be prompted to place a finger on a fingerprint reader. Once the fingerprint has been verified, citizens will be granted access to the data” (Unisys 1997b, p. 1). 132 “The cards, which are produced at a number of processing centres located throughout the country, include a Datastrip two-dimensional bar code containing the citizen’s name, photograph, a digital fingerprint and demographic information. An image of the fingerprint also appears on the face of the cards, which are printed on demand during registration. The cards will be used as identification for travel, voting and employment; other applications will be added later” (Automatic I.D. 1998q, p. 20). 130

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biometrics have to undergo a profile security check by authorities. In the case of North America, this includes checking whether the traveller is a permanent resident or citizen of the U.S., Canada, Bermuda or part of the Visa Waiver Pilot Program (VWPP), has a criminal history or any previous customs infringements. If the traveller is deemed to be of low risk, they are enrolled133 to use the system for one year- the pass must be renewed annually. Only PortPASS holders are required to pay a small fee to enrol. When INSPASS began there were 2000 frequent fliers, now there are over 100000. 7.4.1.1. Towards Integrated Auto-ID Systems In the past, governments worldwide have been criticised for their inefficiencies regarding the distribution of social services.134 There are still many developed countries around the world which use paper-based methods in the form of vouchers, coupons, ration cards, concession cards to operate large-scale federal and state programs. As recent as 1994, even the Department of Agriculture in the U.S. issued paper coupons for food stamp programs, it was not long before they moved to an electronic system (Hausen & Bruening 1994, p. 26). Since that time, the U.S. also introduced ‘food card’ applications using magnetic-stripe (Pennsylvania- since 1984) and smart cards (Ohio since 1992). Some states used magnetic-stripe cards to help verify that the patient is indeed eligible for ‘free’ consultations to the doctor. The magnetic-stripe card first replaced paper based records that were prone to error. Smart cards are also being increasingly promoted by government agencies, many of them set to store citizen biometrics for additional security purpose. The latest trend in Federal and State government systems is program centralisation (Marshall 1997, pp. 10-15).135 Using

133

“At enrolment demographic details are captured and stored, along with a photograph and signature as well as the templates and images of prints from their two index fingers... Arriving travellers go to the CANPASS immigration lane and insert their card in a terminal for their fingerprints to be verified. The card is automatically checked against a database to ensure that it is valid... Travellers with goods to declare just put the relevant form in a slot and the correct amount of duty is charged to their credit card” (SJB 1996b, p. 1). 134 Reports of persons who have been able to collect over ten times what they are lawfully owed by declaring several different identities (and postal addresses) have increased. Other reports indicate that persons who have the greatest need for social concessions are not the ones who are necessarily receiving them because of incorrect information that has been supplied about their eligibility to authorities. 135 For an overview of smart cards in government see Zimmerman, J. R. et al. (1997, ch. 10). Compare this with Chadwick (1999, p. 143): “[s]mart cards are beneficial, but they are not the security panacea that some people believe them to be.” See Davies (1996, pp. 99-100) and the notion of eCitizens in The Globe (2000, p. C5). For a case study on integrating specialist government agencies, including social services, education and health for children with special needs, see Wessels and Dobson (2001, pp. 298-299). 232

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database matching

136

principles and smart card technology, one card can be used to

store all the citizen’s personal information as well as their eligibility status to various State programs.137 The single card approach not only greatly reduces operational costs but is equipped to catch out persons who have deliberately set out to mislead the government.138 In the U.S. for instance, there is a new Electronic Benefits Transfer (EBT) paradigm which calls “for a single card that can deliver benefits from multiple government programs across all states... federal planners hope the entire country will be under the new system by 1999” (Robins 1995, p. 58). The initial focus is on food stamps and AFDC but other benefits such as old-age pension, veteran survivors, and unemployment will eventually be integrated into the system (Jackson 1996b, pp. 1-2). Singapore, Spain, Germany and the Czech Republic were some of the first countries to introduce national ID smart cards139. One of the largest-scale smart card government projects is in China, led by China Citizen Card Consortium. The plan is to have one integrated card for citizen identification, health care and financial purposes. “The smart card is set to store the bearer’s ID number, health care code, address, birthdate, parents’ names, spouse’s name and a fingerprint” (Valles 1998, p.7). The Taiwan government is willing to learn from this Chinese initiative as their own paperbased identification card (as of 1998) was extremely ineffective- it did not carry a magnetic-stripe, nor did it have embossed numbers and it was very flimsy. The

136

Data-matching has been defined as “the comparison of two or more sets of data to identify similarities and dissimilarities... the term is used to denote the use of computer techniques to compare data found in two or more computer files to identify cases where there is a risk of incorrect payment of personal financial assistance or of tax evasion” (Privacy Commissioner 1990, p. 1). See the Australian Privacy Commission’s data matching guidelines at http://www.austlii.edu.au/au/other/hreoc/privacy/dmguide.htm (1994). In Australia, attempts to implement a Data-Matching Program succeeded, however the introduction of a single card (known as the Australia Card) did not. Instead a tax file number (TFN) has been introduced which serves a similar purpose (Clarke 1991). See Davies (1992, ch. 5) on the computermatching epidemic and Davies (1996, ch. 5) for a discussion on the TFN. 137 In England a similar model is presently being implemented (D. Jones 2000d). “The Department of Social Security (DSS) announced details of its new Generalised Matching Service (GMS)... It is hailed as the first system of its kind in Europe and will cross-match data across a number of benefit areas. It could also provide the bedrock for national ID smart cards” (Smith 1995, p. 40). Gold (1996c) estimated that the highly organised fraud racket in the U.K. is costing the government about 2 billion pounds a year. 138 For a discussion paper on a U.S. national ID smart card scheme incorporating biometrics see Sholtz & Johnson (2002, pp. 9, 564-565) and Michels (2002, pp. 1-8). There would be a requirement to unify multiple state databases and centralise various type of data. 139 Proposed national ID schemes in other countries like Greece have fuelled much debate since the mid1990s. In Greece, the preliminary decision to record a person’s religion on the national ID card was not surprisingly met with opposition, particularly by religious minority groups. See http://www.scimitar.com/revolution/by_topic/legal/police/greek_id.html (1995). 233

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Philippines government

140

is also embarking on a national ID card project which will

include biometric data as are the South Africans with the Home Affairs National ID System (Woodward 1997, p. 1483). Malaysia141 and Thailand are also following in the footsteps of Singapore. In 1998 in South America, there were smart card trials in Brazil (Curitiba) where 30000 city employees were issued with smart cards that acted as a government ID and allowed monetary transactions. In 1999, the program was extended to families of municipal employees, and then to the city’s entire 1.5 million urban population” (Automatic I.D. 1998, p. 1). This ID card has an RF interface, i.e. it is contactless. More recently, Saudi Arabia has embarked on a national ID scheme. The U.S. Department of Defence (DOD) instituted a multiapplication smart card to replace the various military paper records, tags and other cards. The MARC program (Multi-Technology Automated Reader Card) was a targeted pilot in the Asia Pacific with 50000 soldiers. According to authorities, it was so successful that the card was distributed to all 1.4 million active duty armed forces personnel.142 Many believe that MARC was a large-scale trial necessary to prove-in a national ID for all citizens in the U.S., incorporating numerous government programs.143 Coordinator, Michael Noll said that the ultimate goal of MARC was: ‘[a] single standard, multiple-use card that [could] be used across the government’... for applications such as payroll, employee records, health care and personnel assignments (Jackson 1996a, p. 41).

140

For a case study on Polaroid and the Philippines national ID scheme see Newsbytes (1998). “The MultiPurpose Card project is a flagship of the Multimedia Super Corridor (MSC)… The plastic card will have an embedded chip… that can perform a variety of functions. It will be designed to combine national ID, driver’s license, immigration information, health information, e-cash, debit card and ATM card applications” (Creed 2000, p. 1). 142 See http://www.intermec.com/solutions/marc.htm (1998). 143 After the September 11th attacks on the U.S., Oracle’s CEO Larry Ellison offered to provide free software for a mandatory national ID smart card which would contain at minimum a photograph and 141

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Please see print copy for Exhibit 7.7

Exhibit 7.7 Integrated Manual and Auto-ID Systems for Government Solutions

MARC was first used during the Gulf War crisis. The card contains a magnetic-stripe and integrated circuit, as well as a photograph and embossed letters and numbers and it can handle up to 25 applications. Like the U.S., Singapore is also presently testing a military ID card. The Clinton Administration also wanted to adopt smart card technology to track the expenses of federal government staff, responsible for 8.5 billion US dollars of annual expenditure. The card would be used to log travel expenses, make small purchases and allow for building access (Jones ed. 1998, p. 16). Also, smart cards may be the driving force behind digital signatures allowing for encrypted messages between government agencies and citizens when Internet ecommerce applications like online taxation are finally implemented properly.144 Exhibit 7.7 on the previous page is a collage of government-to-citizen identification systems for various programs discussed in this section. 7.4.2. Case 8: Entertainment Expo ‘92 was held in Seville, Spain. There, season ticket holders had to carry a smart card and use a biometric fingerprint reader to have access to the sites. The biometric fingerprint system was produced by the Bull subsidiary, Telesincro (M. fingerprint (Levy 2001, p. 1). Sun’s CEO Scott McNealy also advocated a national ID (Scholtz & Johnson 2002, p. 564). Both CEOs were interviewed by Michels (2002, pp. 1-8). 144 For a long list of U.S. government applications using card technologies see U.S. Financial Management Service (1990). This study, though dated now, is a very comprehensive investigation into all the card programs in the U.S. at the federal and state level. Federal applications include: agriculture, commerce, energy, justice, NASA, transportation, treasury and veteran affairs. Defence was a topic that was treated as a special government application. The military takes advantage of numerous types of auto-

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Chadwick 1992, p. 253). The aim at this event was to prevent ticket holders from giving their passes to their friends and family members to use.145 This was quite an innovative solution for its time. Similarly visitors wishing to have seasonal or annual passes into Walt Disney’s theme parks in Florida U.S.A., also have to use a fingerprint biometric system (Chandrasekaran 1997). Magic Kingdom, Epcot and Disney MGM are all involved in the biometric trial. The system uses fingerprint recognition and the measurement is useable at each of the three theme parks (SJB 1996a, p. 1). Face recognition systems have even made their debut in ten Nevada casinos. The joint venture between Mr. Payroll and Wells Fargo & Company uses the Miros TrueFace engine and Atreva machines. Gaming patrons can only cash their cheques after agreeing for their picture to be taken. Once enrolled the patrons have their image stored for future identification. In 2001, Identix installed fingerprint recognition systems for patrons in two Las Vegas casinos. Biometrics systems are also used at global sporting events like the Olympic Games. Since Barcelona (Spain) in 1992 the level of security biometrics offers was recognised more widely. Access to the air traffic control tower at the airport in Barcelona was limited to fewer than 200 persons using signature recognition in case of terrorist attacks.146 At the 1996 Atlanta Olympic Games over 40000 athletes, staff and volunteers used a biometric system which measured hand geometry. Those wishing to have access to the Olympic Village required to have their hand characteristics verified. There were 125 verification devices installed at entry points into high security areas. Despite these security measures an attacker was still able to plant a bomb that went off in the village. At the 1998 Nagano Winter Olympics a biometric system was used to track biathletes.147

ID technologies. In Bosnia in 1997 the military provided the most modern logistics system, featuring long-range RF/ID, smart card and bar code working in concert (Seidman 1997, p. 37). 145 “The application for EXPO’92 season passes was developed on smart cards prepared by the… FNMT, Spanish National Factory of Coins and Stamps... The main concern of… developers was to guarantee that cardholders did not lend (or rent) their cards to other visitors” (Zoreda & Oton 1994, p. 172). 146 As Zoreda and Oton (1994, p. 173) describe, “[t]he parameters of three signature samples of permitted users were stored in their smart cards. A limited number of attempts was given to the users, the signatures being compared to the average of the three signatures stored in the card. If a successful match was achieved, the parameters of this signature were stored on the card, substituting for the oldest data. Therefore the signature samples are continuously updated, the three most recent ones being stored in the card.” 147 See http://www.sensar.com/products/prod-customers.stm (1999). 236

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7.4.2.1. Card Technologies Welcome Smart cards are being used more and more in the entertainment business. Casinos, clubs and bars, sports complexes, cinemas, arcades, fun parks and conferences are using card technologies to encourage loyalty148 and to verify the user’s ID. McCrindle (1990, pp. 163-170) describes some excellent international examples: - Pathe Cinema in France: the smart card is pre-loaded with ten tickets. Used as a loyalty card by offering discounts on bulk ticket purchases - Club Mediterranee in France: guests can use the smart card as a payment card. All their transactions are billed to the one card and can be checked at any time using terminals around the club facilities - Dallington Country Club:149 the smart card grants users access to sporting facilities, bars, restaurants, and other shops. The card also has an electronic purse function- users are charged accordingly. The system effectively automates the management of the club as well by monitoring membership control, subscription collection and other statistics.

As already mentioned Olympic and Commonwealth Games venues are always promoting the use of cash cards and other auto-ID technologies. An estimated 100000 disposable smart cards and 2000 reloadable smart cards were used at Kuala Lumpur at the Commonwealth Games in 1998. The cards were a showcase for the proposed identification card in Malaysia. It was also more convenient for visitors to use electronic cash for buying goods and services.150 Companies who are still promoting magneticstripe cards find that entertainment applications are a steady market. Access Control Technologies (ACT) Incorporated specialise in entertainment solutions using prepaid card systems for cashless vending.151 Like ACT Incorporated, the Plastag Corporation152 is also a supplier of magnetic-stripe cards to entertainment companies. Plastag is one of the largest manufacturers of casino cards, servicing many states in the U.S. like Naivete, New Jersey, Michigan, Indiana and Missouri.153

148

See Precis PERSONA loyalty cards that help customers to remain faithful at http://www.precisscs.com/products/loyalty.html (1998). Also McGuire (1999) on cashless poker machines using smart cards. Michael, K. (2002a, p. 176) discusses loyalty cards and customer relationship management (CRM). 149 See also Aitken (1990). 150 Athletes can also attach RF/ID transponders to their shoelaces to ensure fair play and accuracy in times recorded (Finkenzeller 1999, pp. 261-263). Marathon runners also wear placards to the front and rear which usually have bar codes (LaMoreaux 1995, p. 12). See also Texas Instruments’ ChampionChip. 151 See http://www.pcash.com (1998). Pcash specialise in prepaid debit card systems. The cards are useful for food and drink vending machines providing the consumer with easier and faster access to goods as well as providing a greater return for the vendor. The cards can be used for golf ball dispensing and cashless gaming. 152 See http://www.plastag.com (1998). 153 For the use of face recognition-equipped financial services machines suitable for casinos see http://www.autoidnews.com/0898/0898biocard.html (1998). 237

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7.5.

RF/ID Product Innovations

RF/ID tags and transponders can be used for a variety of applications.154 RF/ID can be used to identify humans,155 animals, places and things.156 Consider the following applications outlined by Schwind (1990, pp. 1-20): - people, livestock, laboratory animals, fish, and many other live species fit the animal category… - livestock can be coded with a collar and code tag that could be used to record their movements and allot feed or access to it… - laboratory mice all look alike but an injectable code transponder serialises each to permit sorting… and to accurately record experiments - place or positions are important to many operations. Guided vehicles can use RF/ID to locate pick-up and drop-off points - place or position can be identified as a check, demarcation, action or identification point.

Of course the applications are not limited to these alone. ‘Electronic jails’, pet microchipping, studies in animal migration, monitoring postal system efficiency, car immobilisers, electronic article surveillance (EAS),157 electronic asset tracking, gun control,158 tracking athletes during marathons and triathlons, paging doctors and other hospital staff, visitor guidance, patient retinal and cochlear implants, toll tagging and lot access, automatic phone re-direction, lighting and climate quality control, alarms and safety can all be implemented using RF/ID tags and transponders. The greatest impact RF/ID transponders have made is in industrial automation.159

154

For a wide range of RF/ID applications see the Micron Communications web site at http://www.microncommunications.com/ (1999). Micron Communications has the ability to apply RF/ID to a plethora of applications including: retail automated fueling, fleet management, container tracking, access control, laundry automation, beef/cattle tracking and government/ military asset tracking. Its RF/ID products come in a range of tags, badges and transponders. See also http://www.ti.com/mc/docs/tiris/docs/ (1998) and TIRIS applied to vehicle tracking (Ollivier 1993, pp. pp. 8/1-8/8) and hazardous areas (Hind 1994, pp. 215-227). 155 See Masters’ undergraduate honours thesis titled, Humancentric Applications of RFID: the current state of development, (2003). The principal conclusion of Masters’ research is that “humancentric applications of RFID are incrementally being built on the foundations of non-humancentric commercial and animal applications. In the current state of humancentric development, stand-alone applications exist for control, convenience and care purposes, but with control being the dominant context” (2003, p. 97). Some of the humancentric applications considered included personal identification, location based services, enforcement, banking, medical and monitoring. 156 See Raza et al. (1999, pp. 1/2-1/5), Brewin (2003, p. 7), Cox (2003, p. 12), McCullugh (2003), and Yahoo (2003). 157 For a range of EAS systems developed by Sensormatic see http://www.sensormatic.com/html/easum.htm (1999). 158 There are a variety of ways that gun control can be managed, one is using a transponder embedded in a wristwatch that the owner wears, another is a fingerprint scanner (Kasindorf & Fields 2000, pp. 1, 10A). 159 For a review of RF/ID applications see Finkenzeller (1999, pp. 263-273); Ollivier (1995, pp. 234-238) and Curtis (1992, pp. 2/1-2/8). For a pictorial representation of RF/ID applications see Gerdeman (1995). 238

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7.5.1. Case 9: Animal Tracking and Monitoring Transponders are excellent mechanisms to identify and keep track of animals especially in closed systems (Finkenzeller 1999, pp. 245-253). Among the key attributes of RF/ID are permanency, inexpensiveness, ease of application and legibility at a distance (Geers et al. 1997, p. 25). Traditional methods160 of identifying animals are considered inefficient when compared to transponder implant technology. First, tags can be damaged, lost or tampered with which means data integrity is limited. Second, the information from the tag must be manually entered into the information system, leaving the barn door open for errors. Tattooing horse, cow and dog lips provides positive identification but it requires manual inspection and verification (Scan Journal 1990, p. 4-9).

An example of a transponder that has been developed for the purpose of identifying animals is the Destron electronic ID.161 The electronic ID can be injected into an animal and the device remains embedded in the animal for life. Anytime the microchip is scanned by the correct reader, it provides the animal’s unique ID code. Other transponder systems include: TROVAN,162 TIRIS,163 AVID, Biomark164 and TX1400L (Hughes Identification Devices). Such transponders are being used to positively identify animals in field research,165 pet theft and loss, zoological parks (Zulich 1998, p. 1) monitoring endangered species, tracking wild animal numbers (Stonehouse, 1978), breeding programs, quarantine (Scan Journal 1990, p. 4-10), livestock management schemes and industrial husbandry systems (Geers et al. 1997, p. xiv). Thus far most commonly implanted animals include the common household pets (dogs, cats and birds),166 common livestock (cows, sheep and pigs), animals used for experimental

160

Traditional animal ID techniques “[f]or mammals are: eartagging, ear notching, tattoos, freeze branding, horn branding and the use of natural marks. For identification of birds also leg banding, patagial tags, flipper bands and underwing tattooing have been used. Snakes, lizards and other reptiles often carry individually distinctive scale patterns, which can be photographed or sketched for permanent record” (Geers et al. 1997, p. 70). 161 See http://www.dfw.net/~tqg/electronicid/eidback.html (1997) and http://www.destronfearing.com/elect/compan.html (1998). Please note that the Destron Fearing Company was acquired by ADS http://www.adsx.com (2002). 162 See http://www.trovan.com/transponders.html (1999). 163 See TIRIS industry solutions at http://www.ti.com/mc/docs/tiris/docs/mobil.htm (1998). 164 See http://www.biomark.com/specproj.html (1998). 165 See the desert tortoise research project at http://www.beitec.com/articles/tortoise/tortoise1.html (Boarman et al., 1998). 166 See Lisle (1999). 239

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research

167

(mice and monkeys), and pests (rabbits) that need to be continually tracked

to control numbers.168 The use of tags and transponders in livestock farm management has revolutionised the way farmers work (see exhibit 7.8 on the following page). The farm database has become an integral part of successful farm management practice. While it was once difficult for the farmer to monitor his/her livestock because of the sheer number of animals kept, transponders have made tracking livestock easier. It is not uncommon for farmers to use their computers to: …follow-up of premiums, milk-record control, tracing back of transit and disease prevention, progeny testing and herdbook administration, electronic feeding stations, automatic gating in group housing facilities, accountability to markets and slaughterhouses, animal health control, public health control, animal welfare surveillance, prevention of fraud, tracing back of stolen stock, facilitating trade, central database facilities (Geers et al. 1997, p. 39).

Allflex (Cumbria, United Kingdom), together with Oxley Systems (Grange over Sands, United Kingdom) are just two companies that have been promoting RF/ID tags as a management tool for agribusiness co-use. The farmer has the ability to centralise all his operations whether it be in the prevention of disease in herds, feed-control169 or in meeting production goals.170 Regulations have also meant the mandatory identification

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AVID has patented a transponder technique for research purposes, called Labtrac. See http://www.avidid.com/special/special_uklabtrk.html (2002). 168 See also Zulich (1998) regarding the permanent identification of reptiles and amphibians using Trovan RF/ID transponders. 169 See the Compident system that takes advantage of TIRIS for intelligent feed control and economical stock keeping at http://www.schauer.co.at/EngForProFutCom.htm (1998).

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Please see print copy for Exhibit 7.8

Exhibit 7.8 RF/ID Transponders and Tags used for Livestock Management

of animals, especially in Europe, has acted to increase the adoption of RF/ID transponders.171 The 1992 EU Council Directive 92/102/EC stated: “[a]nimals for intraUnion trade must be identified in accordance with the requirements of the Community rules and be registered in such a way that the original or transit holding, centre or organisation can be traced” (quoted in Geers 1996, p. 29f). One of the earliest animal tracking major trials in Europe,172 was known as IDEA (Identification Electronique des Animaux).173 The trial consists of approximately 500000 cattle from six European

170 The new generation of transponders will be even more powerful with specific sensors to monitor the physiological status of the each animal, “…early warning of diseases, monitoring of oestrus, welfare and all aspects related to integrated quality control” (Geers et al. 1997, p. 39). 171 In the U.S. in 1996, the FDA’s Centre for Veterinary Medicine (CVM) revised its regulatory policy regarding electronic IDs for animals, stipulating in its definition that electronic identification equated to RF/ID transponders. See http://www.horseweb.com/client/kka/cvm.htm (1996). In the CVM Update (17/01/96), the importance of removing the RF/ID transponder in the slaughter process of animals was highlighted and that adequate precautions should be taken for trimmed parts (that may contain the device) not be given to animals as feed. Geers et al. (1997, p. 37) explain the potential problems more precisely with respect to the recovery of the transponders in the slaughter process. “Transponders injected in the head of the animal do not follow the carcass through the slaughterline when the head is cut off... All transponders should be recovered in the slaughterhouse before the carcasses are released for further processing. Recovery procedures should not damage the carcass… and this can be avoided when transponders have been injected properly.” Some have held suspicions that transponders may be linked to BSE (Bovine Spongiform Encephalopathy), although there is no proof to suggest this at the present. 172 Which, in itself, would address other immediately related concerns. For instance, “[e]ver since the possibility was raised of a link between the cattle disease BSE and a new variant of a similar disorder in humans (Creutzfeld-Jakob disease), the word “traceability” has become a mantra of the meat industry. A statement last year from the European Parliament put it this way: “The necessary security for consumers requires both the identification and registration of bovine animals and labelling of beef... To achieve this, the [European] Commission has outlined a standard format for the national databases to follow. The format includes an alphanumeric code, the first two letters being the alpha-2 country code (as set out in Decision 93/317/EEC), followed by a numeric code of not more than 12 characters, thus making it possible to identify each animal individually...” (Look 1998, pp. 1-2). 173 To see how the Shearwell Data company followed the lead of the IDEA trial visit http://www.shearwell.co.uk/Data/eid.htm (2001).

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countries including France and Germany. In the future, breakthroughs in DNA may allow the tracking of meat even to the kitchen table (Unger 1994). Look (1998, p. 8) also believes that “the full history of every piece of beef will appear on the package label for consumers to read” in the future. 7.5.1.1. Traditional Manual Identification for Animals Leather or nylon collars with metal tags (upon which contact details can be engraved) are still very popular methods of identification for pets such as dogs and cats.174 The Veterinary Information Network and Pet Care Forum suggest that the tag includes as much information as possible. The downside of this type of tag is that it can be removed by anybody, be uncomfortable for the pet or be damaged.175 For farm animals, the Destron Fearing Corporation has introduced the Fearing Duflex brand of ear tags, for visible identification only. The ear tags are made out of polyurethane and can withstand environmental conditions over long periods of time. Hot-stamped numbers on metal tags and ink jet bar code labels can also be produced. Kryo Kinetics Associates, Incorporated specialise in horse identification and offer a number of different solutions other than microchipping. One example of this is freeze marks176 using the International Angle System, developed by Dr Keith Farrell in Washington University in the 1960s. Every animal is marked with symbols that are protected by international copyright and a matching laminated ID card for each horse is given to the owner. “The marking site, always on the neck, is clipped and cleaned and... the mark is applied with a cold iron, the horse feels little more than pressure”.177 Ownership brands are another technique but this presupposes that the brand is unique and has passed the registration process with the appropriate authorities. It can turn out to be an expensive practise though, as registrations have to be entered for different states. Like brands, tattoos can also be applied by almost anyone. As opposed to freeze marks, tattoos can

174

The Ventura County Animal Regulation still encourages traditional methods of pet identification to RF/ID implants: “[t]his is a great supplement to identification tags, but it is not a substitute! If someone without an Infopet scanner finds your animal, they will not be able to trace it back to you unless it has current ID tags.” See http://www.ventura.org/animreg/infopet.html (2001). 175 A more innovative idea that has received some attention is the “Lost and Finder Owner Notification System” which makes use of ID tags and a dedicated voicemail box. The Internet has become another medium of communication to post messages about lost pets, however this is fairly inefficient. 176 Freeze marks are recognised internationally and can be used in a court of law. This technique shows a visible mark rather than the microchipping technique and may be more of a deterrent to thieves. 177 See http://www.horseweb.com/client/kka/fm.htm (Kryo 1998). 242

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be altered, they are often hard to read and there is no single registry178. Animals, especially small insects like bees, can also be bar coded (LaMoreaux 1995, pp. 48-49). Kryo also highlights blood typing and DNA (deoxyribonucleic acid) testing. Two companies that specialise in DNA-based profiles for animals are Therion Corporation and Zoogen Incorporated. The latter was founded by Dr Joy Halverson, a veterinarian. “DNA pawprints” are taken of the animal’s genotype (genetic pattern) and it is digitally analysed by a computer.179 The method is so accurate that it can virtually identify any dog in the world with a zero error rate. 7.5.2. Case 10: Human Security and Monitoring Some employers require their staff to wear RF/ID tags in a visible location for identification purposes and for access control (Kitsz 1990, pp. 3-37). A company’s security policy may stipulate that staff badges be secured onto clothing or employees must wear tags that are woven into their uniforms.180 Olivetti’s “active badge”181 was ahead of its time when it was first launched (Pountain 1993, p 58; Want et al. 1992, pp. 91-102). The tag is able to “localise each staff member as he or she moves through the premises... It is possible to automatically re-route telephone calls to the extension nearest an individual” (Puchner 1994, p. 26).182 Whereas employers want to know who is inside their premises, there are some applications that want to know who has 178

Having said that tattoos have shortcomings the American Pet Association (APA) was still supportive of the manual technique in 1998 considering it to be the “best form of permanent identification… The micro chip implant, although an interesting, high tech idea, is not a pet identification solution… The American Pet Association’s answer… is simple, effective and reliable. All pets registered through the APA’s VIP program are tagged and tattooed with an ID number that begins with the trademarked letters “APA”. It is a simple solution for shelters; if a pet is tattooed with the “APA” letter, they need only to call the APA’s 800 number.” See http://www.apapets.com/pro1.htm (1998) and Mieszkowski (2000, part 3, p. 3). Vetinfonet also agree with APA that “…the most reliable form of identification still remains a collar and ID tag”. See http://vetinfonet.com/id (1998). In Australia, Pawprint Pet ID Tags by Silver Roo have also made their debut working on the same principles as the APA VIP program but instead of a numbered tag, Silver Roo manufacture a choice of 12 types of tags. 179 The company which began in 1989 prides itself on not only being able to identify a dog but offer more information to owners about the parentage and pedigree of the animal, bloodline uniformity etc. 180 This type of integration of computers into clothing (i.e. unobtrusive wearable computers) is a design philosophy that Steve Mann (1987) has named ‘eudaemonic computing’, after a group of physicists known as the Eudaemons. See also the rugged smart label developed by Gemplus called GemWave Stamp at http://www.gemplus.com/products/tag/gw_stamp.htm (1999). 181 “Recent developments in hardware are allowing us to capture automatically events in our working lives. For example the Olivetti active badge, a small ‘wearable’ device, allows us to record which room of a building we are in. If our colleagues wear badges too, it is possible to record who we were with, and if badges are attached to equipment it is possible to record what equipment we are close to” (Brown 1995, p. 6/1).

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trespassed outside a certain zone. The concept of “electronic jails” for low-risk offenders is starting to be considered more seriously. Sweden and Australia have implemented this concept and there are trials taking place in the U.K., U.S., Netherlands and Canada. Whilst tagging low-risk offenders is not popular in many countries it is far more economical than the conventional jail. Since 1994 in Sweden: ...certain offenders in six districts have opted out of serving time, choosing instead to be tagged by an electronic anklet and follow a strict timetable set by the probation service... about 700 people have taken part in the Swedish scheme, open to people sentenced to two months or less (Goldsmith 1996, p. 32).

Signals are transmitted from the tag of the offender to the host computer several times a minute. All tagged prisoners set off an alarm in a nearby monitoring centre if they deviate from their daily routine. Numerous applications have been developed to assist individuals who depend on carers for support. This group of persons may consist of newly-born babies, sufferers of mental illness and Alzheimer’s disease, persons with disabilities and the elderly. There are those like Martin Swerdlow, who as a U.K. member of the government’s Foresight Science and Technology Group stated that there would come a time when certain groups in the population would have tags implanted at birth. He believed the idea of a national identity system based on implants was not impossible and highlighted that babies were already electronically tagged at present and nobody was objecting. It is worthwhile then to spend some time looking at a tagging system that prevents babies from being switched at birth or being kidnapped. The South Tyneside Healthcare Trust Trial in the U.K. is an excellent case. Early in 1995, Eagle Tracer installed an electronic tagging system at the hospital using their TIRIS electronic tags and readers from Texas Instruments. Detection aerials were hidden at exit points so that in the event a baby was taken away without authorisation, its identity would be checked and the alarm would be raised immediately.183 The alarm could potentially lock doors, alert the maternity ward staff and security guards. Automatic-ID News reported:

182 See also Martin (1995, pp. 306-309) who describes WatchIt™, a fully supervised identification, location and tracking system using IR/RF (infrared/ radio frequency) principles. 183 Compare the RF/ID solution with bar codes for babies (Woodford 1993). Mr Trevor Dean, the 1993 chairman of the Bar Code Committee of Standards Australia said “…it was technologically possible for a baby’s bottom to be tattooed with a bar code… One of the most obvious advantages would be to lessen the likelihood of two babies being swapped accidentally at birth.” The response from the Privacy

244

Ten Cases in the Selection and Application of Auto-ID The TIRIS tags, passive and batteryless transponders, carry a unique security code and are securely attached to even the smallest newborn babies without causing harm or discomfort. The carrier material has been developed in such a way as to prevent the removal by anyone other than a specialist...184

The trial was so successful that the hospital was considering expanding the system to include the children’s ward. The clinical director of obstetrics and gynaecology told Automatic-ID News that, “[t]he system ha[d] been very enthusiastically received by the midwives as well as the mums.” Recently Olivetti has also marketed its ‘tot tracker’ product which works by placing a tag on your child or in his/her backpack to allow for global tracking via a global positioning system (GPS) (High Tech 1998, p. 1). The idea of placing transponders in the human body or implanting microchips in selected body parts like the hand or head are not new. The study of medicine is always pushing technological developments to new frontiers.185 As Geer writes implantable devices such as pacemakers have been used in humans with heart conditions for years.186 Once thought radical the device is now commonplace. Scientists have been conducting experiments involving microchips and humans for decades. It is through such research that scientists hope to discover ways to combat blindness,187 deafness and other disabilities. Recent examples of these types of studies include the nerve chip research at Stanford University by doctors Kovacs, Hentz and Rosen188 and the silicon

Commission was to liken this proposition to when the Nazis tattooed people. They noted that going down that kind of path would be dangerous. See also http://www.wired.com/news/technology/0,1282,52253,00.html (2002). Weinstein is quoted here as saying: “There will be a short window where the bad guys aren't aware of the technology, but then it will be routine for them to dig around in their victims to see if they're wearing GPS receivers… The overriding issue is do you create a bigger danger to the person than existed in the first place?” 184 See http://www.autoidnews.com/appli1.htm (1997). 185 As it has been well described, “[c]ommercially available implantable telemetry devices can have sensors on board for measuring the following physiological variables: temperature, body activity, heart rate, electrocardiogram, electromyogram, electroencephalogram, blood pressure and different biopotentials. The dimensions of these devices are a few cubic centimetres, and have to be implanted under general anaesthesia. In most cases the sensors are wire-connected to the implantable module. The transmission range is dependent on the frequency band selected, and on the available power source. It can vary from a few centimetres to a few kilometres. The operational life time is usually a few months, depending on the battery specifications” (Geers et al. 1997, p. 22). 186 See especially Banbury (1997) on the pacemaker industry and its evolution and Ryan et al. (1989, pp. 7.6.1-7.6.4). See also the size of a short-term artificial heart made by Thermo Cardio-systems in the U.S. (Stipp 1996, p. 60-62). 187 “A chip implanted on the optic nerve, for example, could correct defective images or simply transmit entire images to the nerve. The notion of putting computers inside the body may be more realistic than it sounds” (Harrison 1994, p. 13). 188 See http://guide.stanford.edu/Publications/dev4.html (1997). 245

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retinal implant research by Edell, Rizzo, Raffel and Wyatt.189 A whole section will be dedicated on new transponder-based medical applications in chapter eight. It is now public knowledge that there is a concerted effort to fuse the flesh with technology (Davies 1994). Initially a medical solution, transponder implants are now being considered for emergency services and potentially even a way to reduce fraud. Hewkin was one of the first people to suggest officially, in a respected academic IEE journal, that ‘subminiature read-only tags’ would be injected under human skin using a syringe to reduce problems such as fraud (1989, p. 205). This was probably in response to Dr Daniel Man’s, October 1987 patent regarding a homing device implant designed for humans called ‘Man’s Implanted’. Mechanic (1996, p. 2) reported: …[t]he human device runs on long-lasting lithium batteries and periodically transmits a signal that would allow authorities to pinpoint a person’s exact location... the batteries... could be replenished twice a year...

Man’s invention has not been marketed because the U.S. Food and Drug Administration (FDA) have yet to approve the device. For this he will require a substantial amount of cash for miniaturisation and regulatory approval (Wells 1998, p. 1). But the inventor has received several inquiries from U.S. government agencies and interested companies. The device is perceived by some as being a future 911 advancement, locating kidnapped children or older persons who may become disoriented, useful for soldier tracking and even criminal tracking.190 Man believes this human tracking device would be voluntary only and that nobody would be forced to use it if they did not want to for reasons of culture, philosophy191 or religion.192 In 1994 Bertrand Cambou, director of technology for Motorola’s Semiconductor Products in Phoenix, predicted that by 2004 all persons would have a microchip

189

See http://optorisc.uni-duisburg.de/Persons/buss/retina/mit-mirror/poster3.html (1997). See also Daily Mail (1997, p. 13): “[s]cientists are testing a revolutionary watch which can be implanted beneath the skin of the wrist… Researchers believe the same technology could be used to create a range of electronic tags for criminals. It could also be adapted to record… blood pressure.” Other useful resources include: http://abcnews.go.com/sections/scitech/TechTV/techtv_chipfamily020510.html (2002), Streitfeld (2002), http://www.10meters.com/verichip_fda.html (2002), and Murray (2002). 191 See http://bork.hampshire.edu/~azar/cyber/philo.html (2001). 192 In fact, “the surgeon is taken aback by all this talk of Armageddon and by the conspiracy buffs who say the invention could ultimately be used by the government to monitor its citizens” (Mechanic 1996, p. 5). Man is quoted as saying that he’s only looking at the positive aspects of the implanted device. See also Nortel World (1998, p. 28). In contrast see http://www.kingdombaptist.org/article658.cfm (2003). 190

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implanted in their body to monitor and perhaps even control blood pressure, their heart rate, and cholesterol levels. Harrison reported (1994, p. 13) that: Cambou has been a part of the miniaturization of microprocessors and the development of wireless communication technologies. Both would have central roles in putting computers inside the human body.

When questioned by Harrison about the effects the technology would have in the body Cambou responded (1994, p. 13): We are not aware of any current obstacles to the encapsulation and implanting of electronic devices within the body, and the transmission characteristics [of radio frequencies] through the body are well known.

In 1998, Professor Kevin Warwick193 of the University of Reading became the first official person to embed a silicon transponder (23 by 3 millimetre) into his body (arm). The manufacturer of the chip remained anonymous. The surgical procedure only took ten minutes while he was under a local anaesthetic (Sanchez-Klein 1998, p. 1). The tenday trial was confined to the boundaries of his university department. Sensors around the department were triggered every time Professor Warwick was in range of a reader See exhibit 7.9 on the following page, where Warwick is shown holding the transponder in his fingertips and a map of the ground floor of the Cybernetics department with his location information. The chip was limited to acting as a location device but its potential is left to a visionary’s discretion. Professor Warwick reported to Newsbytes (Dennis 1998, p. 2): In five years’ time, we will be able to do chips with all sorts of information on them. They could be used for money transfers, medical records, passports, driving licenses, and loyalty cards. And if they are implanted they are impossible to steal. The potential is enormous.

In a CNN interview with Sanchez-Klein (1998, p. 2) Warwick added: I’m feeling more at one with the computer. It’s as though part of me is missing when I’m not in the building... In my house, I have to open doors and turn on lights. I don’t feel lonely, but I don’t feel complete.

Warwick believes the ultimate goal of the transponder technology is to connect humans more closely with computers and perhaps have a direct connection from the brain to the computer. He told CNN that it was an excellent device to track employees while they were at work, prevent mass murders my keeping track of gun owners and tagging

193

See Warwick (1998; 2002) and http://www.rdg.ac.uk/KevinWarwick (2003). Warwick has published over 300 research papers. 247

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paedophiles to keep them away from schools or child centres.194 However, it should be noted that Warwick is aware of the big brother issues, negative and sinister side of the technology. Chapter eight will continue to explore future innovations in light of such auto-ID application scenarios. Please see print copy for Exhibit 7.9

Exhibit 7.9 RF/ID Tags and Transponders used in Human Tracking Applications

7.5.2.1. The Importance of the ID Number Common technologies that are used for human monitoring as opposed primarily to human security include bar code,195 magnetic-stripe, smart cards196 and biometrics.197 Card technologies have been traditionally linked to an ID number (normally 8-15 alphanumeric characters in length); the type of card technology employed is a secondary matter.198 In the example of government schemes such as social security, taxation and

194

In the fight against the SARS outbreak, countries like Singapore are proposing the electronic tagging of citizens using RF/ID. The tagging is primarily to help stop the spread of the virus and to aid health authorities to locate the root cause of the problem, thus cordoning off infected areas. Logistically it is proving too difficult to track frequent travellers and to gather data manually. 195 See Hammack, ‘Bracelets and bar codes track jail inmates’ in The Roanoke Times. 196 Contact smart cards are popular in private enterprise. Access control to factories, business offices, banks, government agencies and other restricted buildings are always connected to central alarm systems in case of a breach in security (Hendry 1997, ch. 15). See also Lynch (1999, p. 3). 197 See Deister Electronics proxEntry physical control access product range at http://www.deister.com/bpr10.htm (1999) and Identix’s fingerprint biometric systems known as TouchView and TouchPrint at http://www.identix.com/products/ (1999). See also Carback (1995, pp. 331-339). 198 In 1999 Japan began to debate a national ID number scheme, not a national ID card type. Williams (1999) reported: “[a] ten-digit number would enable officials to identify a person’s name, address, sex 248

Ten Cases in the Selection and Application of Auto-ID

health care a fair amount of off-line monitoring occurs to ensure that citizens are actually being taxed accordingly and receiving the right amount of social benefits. An interesting pattern emerges when one studies the person number (PN) systems of countries in the world (Lunde et al. ed. 1980, pp. 39-47). They were either developed during WWII or after 1970. The former were created for the purpose of census registers; the latter mainly for the computerisation of citizen records. Thus one will find that only the ID numbers instituted after 1970 are truly unique (based on database principles such as a primary key), the other numbers are composed of date of birth, sex and place of birth, with sometimes zero or only one or two check digits. Enter the urgent need for a more sophisticated way of monitoring human activity and governments around the world have done one of two things; either they have issued new ID numbers to all citizens and implemented smart card schemes, or they have kept existing ID numbers and implemented an integrated system- smart cards for transactions and biometrics to verify the cardholder’s identification. Still there are many government schemes around the world that have more than one citizen when exactly the same ID number. The prospect of human monitoring entering a new level altogether has been made possible by numerous developments in telecommunications. High-usage users of mobile telephones (GSM standard) can be pinpointed to the coverage area of the mobile base station (BS) that was used to connect their telephone call. Network triangulation can pinpoint an individual’s location to about 200m in accuracy.199 Piece this information together over a period of time and someone could know an awful lot about your movements. Whether somebody cares to do this or not is perhaps not the issue, the information is still available. In the not-to-distant future however GPS devices200 will become so small and affordable that monitoring and tracking of humans in real-time201

and date of birth and be used by local and national government agencies in place of differing identification methods used now.” 199 In some cases location identification can be as good as 20 m. See also the Iridium satellite network, the world’s first global telephone network in China Post (1998, p. 12). Compare with an earlier article written in 1994 titled, ‘the myth and reality of mobile satellite communications’ (Fordyce & Wu, pp. 393-399). 200 For an introduction to GPS, see GPS Made Easy, by Letham (1998). What is important to note here is the truly global nature of GPS that can locate an individual using longitude and latitude coordinates anywhere on the earth’s surface. See Crow (1994, pp. 186-193) for a discussion on the integrated global surveillance and navigation system (IGSANS). 201 See http://www.realvision.com.hk (2001). 249

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would be feasible (Werb 1999, p. 52). GPS was developed by the U.S. military202 and has both defence and commercial application. If one is to contemplate the unlimited commercial union between GPS and auto-ID systems, a myriad of location-based applications203 could be born-204 GPS systems for cars205 that would enable manual street directories to become obsolete and track car thieves206 as they make their escape; track children so that in the case they are kidnapped police know their exact whereabouts; track mentally ill patients who may become lost; monitor criminals who are released and have a long record of crime (Pottorf 1998). The GIS (geographic information system) makes the visual real-time tracking of people and objects possible.207 Distributed systems could display the movement at various levels of details on a map.208 Large ships and large trucking companies already use this type of technology.209 7.6.

Conclusion

This chapter sought to satisfy objective four (section 1.3.1) which was to conduct a qualitative investigation of ten broad electronic commerce application areas by

202

See Impson et al. (1999) for the innovative portable wireless battlefield ministration tracking and information system. This system makes use of a variety of different technologies including GPS, auto-ID, and a host of access network solutions. The way it works is that ministry teams are deployed to the battlefield to locate and collect wounded soldier(s). Information about the soldier is acquired from reading their smart card (like that of the MARC). See also Cohen, J. (1994, ch. 13), Templer (1997) and Espinosa-Duro (2000). 203 See Xmark’s WISE (Wireless and Internet Infrastructure Software Environment) at http://www.xmarc.com (2001). For a brief introduction to location-dependent multimedia computing, see Krikelis (1999, pp. 13-15). See also Steer and Fauconnier (2000, pp. 1362-1366) and the CyberGuide project (Abowd et al. 1997, pp. 179-180). 204 See the MOCONT prototype that was co-financed by the European Union (Recagno et al. 2001). Location is at the heart of the auto-ID technique (p. 2610). 205 See CarCom™ at http://www.carcom.com.au (2000) and http://www.intelematics.com (2001) for assistance, safety and security services including emergency response, crash detection, roadside assistance, diagnostics monitoring and more using GPS and auto-ID. One of the pioneering vehicle tracking systems was called Tracker (Wheatley 1993, pp. 1/3-1/3). 206 See Brennan (1995) for how the smart card can stop car theft. 207 See http://www.directionsmag.com/article.php?article_id=62 (2000). The researcher spent five years using GIS for telecommunications-specific applications at Nortel Networks between 1996 and 2001. In http://www.directionsmag.com/article.php?article_id=66 (2000) Michael states, “GIS today is slowly shifting from something that has been relatively important to a mission-critical application… The significant value-add will come from using the in-house information in ways that was never thought possible. That means linking geographic objects to pieces of information that were traditionally considered completely unrelated. It also means giving employees access to making real-time updates to the company database during data collection whether from a web browser, laptop, PDA or cell phone.” 208 See how important map-based positioning is to RF/ID applications like autonomous mobile robots in Kubitz et al. (1997). 209 See the capabilities of the company Sky Eye at http://www.sky-eye.com (2003). 250

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focusing on five of the most prominent auto-ID technologies. One of the major contributions of this chapter is in its comprehensive sourcing of both service and technology providers as they work together toward a common goal- the successful implementation of auto-ID applications. The study differed from other auto-ID application investigations in its scope and detail, and also in its intent to show that the selection environment for auto-ID technologies is quite diverse. The main finding was that there are numerous auto-ID technologies that can serve the same or similar applications but each with its particular advantages and disadvantages. In short, there is no perfect solution. While some technologies are admittedly dominant in a given vertical sector, alternative technologies can equally be used to satisfy the needs of the service provider, it all depends on the individual requirements. Often it is this interaction between the service and technology providers that enables further technology development to come into fruition, as was highlighted through some of the more innovative solutions in RF/ID (section 7.5) especially. The need for customisation is not necessarily about making a technology “better” but evolving it to be suitable for a given problem. The diverse number of international applications studied in this chapter suggest first, that auto-ID is becoming increasingly pervasive and second that decisions about “which auto-ID technology” to use in a given scenario is based on a case-by-case situation. The case studies have proven that auto-ID technologies are set to coexist as many of the integrated solutions indicate, and more than this, some devices are even set to converge. In this manner the technologies share in the same natural trajectory. Their destinies are intertwined. Auto-ID is now an ensemble of techniques, technologies and devices within the same industry. The following chapter will explore this idea of trajectory a little further and offer possible paths forward for auto-ID. It is hoped that emerging patterns from the cases reviewed above can be used to support the long-term vision of the technology. Further findings from this chapter will be presented in chapter nine.

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The Auto-ID Trajectory: Converging Disciplines

Having studied the past and present applications of manual and automatic identification technology it is now feasible to investigate the likely future of auto-ID. While this chapter can be considered predictive in nature, it is based on leading-edge research, most of which has not been cited collectively as has been done here, in the auto-ID trajectory context.1 As identification techniques and devices have evolved incrementally since the 1900s, the turn of the twenty-first century has witnessed a new breed of auto-ID innovations; traditional devices that have found uses in non-traditional applications, many of which can be considered radical in their novelty. By tracing these developments the possible trajectories can be determined shedding light on the short-tomedium term course of auto-ID over the next fifty years. It should be noted that the trend towards digital convergence,2 shown within the auto-ID industry itself in chapter seven, is also present at a macro level, across different disciplines. Thus this chapter will inexorably be linked to showing how auto-ID devices have been utilised in other fields of study, such as medicine, and the innovative applications that have been born from these newly-formed relationships. This is a significant contribution to auto-ID research; not only being able to understand the autonomous nature of auto-ID but also being able to comprehend where new research dollars are likely to be spent, granting one the ability to ponder on the implications of subsequent developments. In addition, the chapter will present a view of complementary and supplementary peripheral technologies that are essential parts of this trend toward technological convergence. Finally, the human metaphor will be used to explore the auto-ID paradigm, beginning with auto-ID devices that are carried, to those that are worn, to those that penetrate the skin, and to those that wish to do away with the flesh altogether.

1

A summation of this chapter was published as a case study in Lawrence et al. (2002), titled “the automatic identification trajectory”, (K. Michael 2002c, pp. 131-134, 136). 2 For an in-depth discussion on the paradigm of digital convergence see Covell (2000), Baldwin et al. (1996), and Greenstein and Khanna (1997, pp. 201-226). 254

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8.1.

The Rise of Wearable Computing

According to Siewiorek (1999, p. 82) the first wearable device was prototyped in 1961 at MIT (Massachusetts Institute of Technology) by Edward Thorp and Claude Shannon. The idea for the device came in 1955 in an attempt to be able to predict roulette.3 However, the term “wearable computer” was first used by a research group at Carnegie Mellon University in 1991, coinciding with the rise of the laptop computer (early models of which were known as “luggables”). Wearable computing4 can be defined as: “‘anything that can be put on and adds to the user’s awareness of his or her environment.’ Mostly this means wearing electronics which have some computational power” (Sydänheimo et al. 1999, p. 2012).5 While the term “wearables” is generally used to describe wearable displays and custom computers in the form of necklaces, tiepins and eyeglasses, it is the opinion of this researcher that the definition should be broadened to incorporate PDAs (personal digital assistants), e-wallets, and other mobile accessories such as cellular phones and smart cards6 that require the use of belt buckles or satchels attached to conventional clothing.7 Before the widespread diffusion of personal computers (PCs) and laptops it was auto-ID devices in the form of bar code cards, magnetic-stripe cards and smart cards that were ‘luggable’ and to some degree wearable with the aid of an external clip or fastener. In the case of contactless smart cards they could even be carried in a wallet or purse or in a trouser or shirt pocket. While they did not have the same processing power as PCs or laptops, auto-ID devices did point to a practical ideal, in terms of their size. IBM and other computer manufacturers8 have quickly caught onto the notion of wearable computing- their vision of a portable computer that could be worn instead of 3

In 1968 Ivan Sutherland discussed a head-mounted display, though the device was not mobile and could only be used from a fixed location (S. Mann 1997d, p. 25). Throughout the 1980s and 1990s Steve Mann continued to develop head-mounted ‘wearable’ units. For a brief history of wearable computing, see http://wearables.www.media.mit.edu/projects/wearables/timeline.html (2001). For a list of educational resources on wearable computers see Billinghurst and Starner (1999, p. 60). 4 See Starner 2001, p. 44 for an extensive definition. See also Baran (1996, p. 36). “Wearable computing represents an unusual intersection of science, engineering, design and fashion...” (Starner 2001b, p. 60). 5 See also (L. Cooper 1999, p. 3) who quotes Bass about wearable computing characteristics: both hands must be free, should be integral to a person’s clothing not just attached, the user must maintain control, and it must be constant. For the ideal attributes of wearable computing, see Starner (2001, p. 46). 6 See “The PC in your wallet” (Levin 1994, p. 29). 7 See Starner (2001a, p. 44). See also Siewiorek (1999, p. 82) who also believes that wearable computers do in fact incorporate such things as pagers and cell phones that “…have already achieved wide public acceptance.” 255

The Auto-ID Trajectory: Converging Disciplines 9

carried has been well-documented. According to Phil Hester of IBM’s Personal Systems Group, the wearable PC, a hybrid device, would allow a user to freely walk around a building connected to a wireless network and perform all the day-to-day functions like send emails but with the added option of voice navigation/recognition (Wilcox 1999, p. 1).10 Wearable computing is about to reinvent the way we work and go about our day-to-day business, just like auto-ID devices did in the 1970s and 1980s.11 It is predicted that highly mobile professionals will soon take advantage of smart devices that will be built into their clothing so that they will be able to “…check messages, finish a presentation, or browse the Web while sitting on the subway or waiting in line at a bank” (Schiele et al. 2001, p. 44).12 8.1.1. First Generation Wearables: Mobile Phones, PDAs and Pagers Early prototypes of wearable computers throughout the 1980s and 1990s could have been described as outlandish, bizarre, abnormal-looking or even weird. For the greater part, wearable computing efforts have focused on head-mounted displays (a visual approach) that unnaturally interfered with human vision and made proximity to others cumbersome (Sawhney & Schmandt 1997, p. 171). But the long-term aim of research groups is to make wearable computing inconspicuous as soon as technical improvements allow for it. The end user should look as ‘normal’ as possible (S. Mann 1997, p. 177).13 This is where auto-ID techniques like voice recognition have been very

8

See also http://www.research.philips.com/pressmedia/releases/000801.html (2000). McGinity (2000, p. 18) describes how computers are becoming more and more wearable, “more meshed with the body” as “processing power builds while device size shrinks”. 10 One of the earliest prototypes of campus-aware wearable computing was the Metronaut. Smailagic & Martin (1997, p. 116) described the Metronaut as “a novel wearable computer which captures information, sense position, provides wide range communications, consumes less than one watt of power, and weighs less than one pound. Metronaut employs a bar code reader [visitor position], a two-way pager for communications, and an ARM processor for computation.” 11 Schiele et al. (2001, p. 44) describes “[a] personal computer [that] should be worn like eyeglasses or clothing and continuously interacts with the user on the basis of context”. 12 Most believe that these wearable devices will augment human memory by providing access to information when it is needed from any location. Steve Mann is a proponent of this idea especially. 13 “Most importantly, wearing a computer must be possible without altering or in any noticeable way interfering with the wearer’s appearance and manner toward others” (Lukowicz et al. 2001, p. 16). See the MIThril System using the WearARM processing core. It is recommended that future wearable computers be worn underneath at least the top level of the wearer’s clothing. “Target outfits for the MIThril include a vest for warm weather and casual attire, a jacket for cold weather and more formal dress, and a sash for use in nations where Western attire is inappropriate” (p. 18). See also the VibraVest (i.e. the BlindVision project) that incorporates the VibraTach. The VibraVest is worn as a garment. 9

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useful. One need only consider the size of the first mobile phones in the early 1990s; they weighed the size of a small brick, were expensive, and very few people thought that widespread diffusion would be achieved. Yet today, numerous countries have reached in excess of 70 per cent penetration, which equates to a mobile phone for almost every adult in that country. As Cochrane (1999, p. 1) observed, “[t]oday, mobiles are smaller than a chocolate bar and cost nothing, and we can all afford them.15 And they are not bolted into vehicles as was originally conceived, but kept in pockets and hung on trouser belts.” In fact, today it is commonplace to find professionals and younger technology-savvy students not only carrying mobile phones but notebooks, PDAs16 and even smart flash17 storage cards/keys. To this list Starner (2001a, p. 46) adds a pager, electronic translator and calculator wristwatch.18 Starner even made the observation that “[s]ome people wear too many computers.” He noted that these separate computers have similar components such as a microprocessor and memory. In other words, there is a fair amount of redundancy in these separate devices. Wearable computers of the future will integrate all these functions into the one unit.19 The hope of wearable device developers is that the capabilities will converge20 to such an extent that the user will not consider the mobile phone as separate from a PDA or a PDA separate from a notebook.21 Nokia’s 9001 Communicator is an example of this convergence. It 14

“The goal of an audio environment for a wearable computing system is to convey relevant information to a nomadic listener based on the context of her tasks and the timely nature of her messages…” (Sawhney & Schmandt 1997, p. 171). See also Furui (2000, p. 3735-3738). Another example of how wearable computing has taken advantage of auto-ID techniques is in the Xerox PARCTab solution. “The PARCTab is essentially a PDA with an active badge attached to it, which is in continuous wireless communication with a central server” (Brown et al. 1995, p. 6/1). 15 Of course one needs to always keep an objective view of what “we can all afford them” actually means; let us not forget those lesser developed countries who have occupants that are homeless and hungry. 16 See Baig (2000, p. 3D). 17 See Bloomberg (2001, p. B9). 18 See high-tech watches (Alphonso 2000, p. A1). 19 Miastkowski (2000, p. 1) does point out however, that there is a stark difference between today’s mobile devices and wearable computers of the future. He says, “[y]ou may wear a pager or a cell phone on your belt. And if you’re a genuine gadget freak, you might even wear one of those oh-so-stylish Leatherman multi-purpose tools in its own holster. But are you ready to wear a computer, complete with a head-mounted display?” Rummler (2001, p. 1) on the other hand believes that we have become so use to carrying automatic devices and that society has become so fully integrated with information that “implanting a computer chip/ processor internal to the human body doesn’t seem that strange.” 20 See McGahan et al. (1997, pp. 230-235) on the development and evolution of the PDA. It is important to note that the rest of the chapter also highlights convergence across disciplines. 21 See Toshiba’s mobile PC-phone (Stoddard 1997). As Gorlick (1999, p. 114) pointed out however, this does not mean that we should expect to wear only one device “[i]nstead we will wear a multitude of digital devices, some general purpose and some specialised. All of these devices will require power and their utility is greatly amplified if they can intercommunicate.” In other words, what can be integrated or can be converged will be; the other pieces however will still be separate, a bit like the notion of add-ons. 257

The Auto-ID Trajectory: Converging Disciplines

has the combinatory functionality to act as a phone, pager, diary and digital camera all in the one unit.22 See exhibit 8.1 for a diverse range of first generation “wearables”. Please see print copy for Exhibit 8.1

Exhibit 8.1 First Generation Wearables and Luggables

8.1.1.1. Industrial Application Wearable computers should not just be considered solely for personal electronics but suitable for industrial purposes as well (see exhibit 8.2 on the following page).23 Several companies like Symbol Technologies, Honeywell and Xerox have researched industrial wearable devices for over a decade, along with newer names completely focused to this cause including Xybernaut and ViA.24 Perhaps one of the most well22

See also Ebringer et al. (2000, p. 54) and http://www.nokia.com/ (2003). Some of the future wireless applications are also discussed in Martin (1995, pp. 3-4). See also IBM’s wireless handheld device for airline check-in. “About the size of a deck of cards, the handheld marries three different technologies: an IBM badge computer, an AiroNet IEEE 802.11 wireless LAN card, and an RF reader… travellers do not need boarding passes” (Wilcox 2000, p. 1). “Gate readers cause digital photographs of passengers to appear during boarding for security check. Flight attendant PDAs and reception desk laptops receive digital photographs and flight records of passengers…” (Zimmerman 2001, p. 1224). See also Nike’s versatile sporty MPEG-3 player, http://special.scmp.com/mobilecomputing/Mobilemad.html (2000), Compaq’s Pocket PC, and Sony’s Clié. 23 See Cohen, J. (1994, pp. 231-232) “from hardware to hardwear”. 24 For a variety of industrial wearable device research and development see the following sources. Billinghurst and Starner (1999, p. 59) that describe an experiment that took place at Carnegie Mellon University. “In their experiments, a technician wore a head-mounted display and camera that let a remote expert see the technician’s workplace. As the expert viewed what the technician saw, he sent relevant manual pages, which appeared on the technician’s head-mounted display….” See Lewis et al. (1998, p. 1) for Honeywell’s novel displays: “[t]he wireless device can either be worn on the wrist or pocketed for occasional hand held viewing… The second display system… is worn and used like binoculars.” See Boronowsky (2001, p. 163) for an overview of the Winspect project, “an application of wearable computing in an industrial inspection process.” For a case study on applying wearable computing to field archaeology see Baber et al. (2001, pp. 169-170). For a comprehensive overview of industrial wearable computing components see http://www.xybernaut.com/ (2003). “Right now Xybernaut is marketing to corporate users… The current system is tailored to maintenance, inspection and troubleshooting work. A typical user may be a phone technician who spends part of his day up a telephone pole” (Hoper 2000, p. 2). For a more futuristic factory environment that takes advantage of “[u]sing light headsets and hand258

The Auto-ID Trajectory: Converging Disciplines

known industrial uses of wearable computing is the United Parcel Service (UPS) case study. In 1995, UPS challenged Symbol Technologies “…to create a Wearable Data Collection device for their package loaders” (Stein et al. 1998, p. 18). Symbol’s goal “…was to create a wearable system that increased efficiency and productivity through mobility and hands-free computing and scanning. Good ergonomics is essential for any commercially available wearable computer product” (Stein et al. 1998, p. 19).

Please see print copy for Exhibit 8.2

Exhibit 8.2 Wearable Computers in Industrial Applications

After considerable feedback between users at UPS and Symbol and evaluations for possible disease transmission given the wearable computer would assume skin contact, the Wrist Computer was released in 1996. At one point Symbol was shipping about seventeen thousand units per month to UPS, such was the success of the product. What is interesting to note is that Steiner et al. (1998, p. 24) report that the “[t]he initial response from users who had been using hand-held computers was to not want to give up the wearable once they tried it.” Perhaps the same can be said for other wearable devices. How many can do without their mobile phones today, or PDAs, or smart card transaction cards? 8.1.2. Second Generation Wearables: E-Wallets and Wristwatches As wearable computing devices get smaller and smaller there has been a conscious effort to create an electronic wallet25 that combines the traditional wallet, the computer and communication technology. For some time many believed that the held or worn computing equipment, [that allows] users [to] roam their daily work environment while being continuously in contact with their computer systems, see Klinker (2000, p. 37). This concept is known as augmented reality (AR).

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Mondex smart card system would act to revolutionise the way people exchanged money (see exhibit 8.3). AT&T was so convinced that it invested in developing an electronic wallet. The “‘Mondex Wallet’ allows users to perform on-line transactions and view balance and transaction information stored on their card” (L. Cooper 1999, p. 87). The Mondex Wallet has not reached its potential diffusion rates but this has more to do with market maturity than anything else. While the Wallet is not the sophisticated type of wearable device that S. Mann26 and others envision, it is an incremental step towards that vision. Swatch has also introduced an electronic wallet in the form of a wristwatch, known as Swatch Access. The wristwatch features a “miniature antenna and a computer chip, similar to those used in conventional smart card payment systems. This allows users to perform transactions using money stored on the chip” (L. Cooper 1999, p. 87). Trials of the watch have taken place in Finland’s transport system.27 Another more sophisticated wristwatch solution known as, Digital Angel,28 “offers a unique combination of GPS, wireless Internet29 and sensor technologies” (ADS 2002a). The all-in-one unit which looks like a conventional watch can monitor temperature, contains a boundary alert function and has panic button feature.30 The versatility of the technology is seen in its wide range of formats and configurations31 such as a pager-like device, necklace, pendant, bracelet, and even belt buckle (ADS 2002a).32

25

See McCarthy, J. (1997, p. 43) who showcases the IBM wallet pocket PC. See Nechamkus (2000), where Xybernaut announced that Dr. Steve Mann joined their board of advisors. 27 Other advanced wristwatches include: Matsucom’s OnHand™ PC wristwatch; and Nintendo’s Gameboy turned prototype WearBoy, see especially the two applications ActiveJewel and BubbleBadge (Ljungstrand et al. 1999). IBM has also launched the WatchPad prototype, a “watch [that] is capable of synchronising data and images with a portable computer or PC via wireless connections… the WatchPad is capable of handling text, photos, and animation” (Wilcox 2000, p. 1). 28 For applications of the Digital Angel for consumers, commercial and medical, see http://www.digitalangel.net/consumer.asp (2002). “The purpose of Digital Angel is to monitor the location of a person as well as selected biological functions, find a person, animal or object anywhere in the world at anytime, and to advise subscribers of precise geographical location and biological and other sensory data on a real time basis” (Raimundo 2002, p. 1). For answers to frequently asked questions see Digital (2002a, pp. 1-5). See also Harrison (2000). 29 See Fowler (1997, pp. 24-34). 30 See also Microgistics that developed WalkMate, “…the device [is] used by college students to alert campus police if they’re in danger…” (Mieszkowski 2000, part 2, p. 3). 31 Thinking Tags are example of low-end wearable platforms that have been built and tested (Borovoy et al. 1999). Passive RF/ID tags and transponders could also be considered low-end wearable devices. 26

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Please see print copy for Exhibit 8.3

Exhibit 8.3 Second Generation Wearables including E-Wallets and Wireless Wristwatches

8.1.2.1. Medical Application Wearables have also found a niche market in medical applications. See the Vivago Home System in exhibit 8.4 below.33 Hinkers et al. (1995, p. 470) describes a small wearable device that continuously monitors glucose levels so that the right amount of insulin is calculated for the individual reducing the incidence of hypoglycaemic episodes. Hinkers once predicted the use of automated insulin delivery systems as well which are currently under development. Medical wearables even have the capability to check and monitor 26 different products in one’s blood (Ferrero 1998, p. 88). Today medical wearable device applications include: …monitoring of myocardial ischemia, epileptic seizure detection, drowsiness detection… physical therapy feedback, such as for stroke victim rehabilitation, sleep apnea monitoring, long-term monitoring for circadian rhythm analysis of heart rate variability (HRV) (Martin et al. 2000, pp. 44)34

32

See also WhereNet technology “that has licensed its technology to companies that make bracelets worn on the wrist or pager-like devices carried in the pocket or purse” (Mieszkowski 2000, part 2, p. 3). See also the Skyaid Watch at http://www.skyaid.org/LifeWatch/life_watch (2003). 33 For more information on Vivago see http://www.istsec.fi/eng/Etuotteet (2003). See also the WatchMan personal emergency response system (PERS) (Versweyveld 1998, pp. 1-2).

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Please see print copy for Exhibit 8.4

Exhibit 8.4 The Vivago WristCare Home System

Some of the current shortcomings of medical wearables are similar to those of conventional wearables, namely the size and the weight of the device is too heavy. In addition wearing the devices for long periods of time can be irritating due to the number of sensors that may be required to be worn for monitoring. The gel applied for contact resistance between the electrode and the skin can also dry up causing nuisance. Other obstacles to the widespread diffusion of medical wearables include government regulations and the manufacturers’ requirement for limited liability in the event that an incorrect diagnosis is made by their equipment (Martin et al. 2000, pp. 44). More recently the issue of privacy has been raised especially for medical wearable devices that are applied within shared hospital facilities where access to results could be abused. 8.1.3. Third Generation Wearables: Smart Clothes and Accessories There are two things we carry with us everywhere we go, that is, clothes35 (such as undergarments, shirts, pants36 and accessories etc) and our actual bodies (composed of skin, muscles, nerves, water etc). Wearable computing experts have always sought a seamless and transparent way to introduce their high-tech devices. Many wearable 34

See Small et al. (2000, pp. 355-358), Berger (2002), http://news.bbc.co.uk/1/hi/health/1336840.stm (2001), http://news.bbc.co.uk/1/hi/health/1667050.stm (2001), and http://news.bbc.co.uk/1/hi/health/1631893.stm (2001). 35 “Clothing is with us nearly all the time and thus seems like the natural way to carry our computing devices. Once personal imaging is incorporated into our wardrobe and used consistently, our computer system will share our first-person perspective and will begin to take on the role of an independent processor, much like a second brain- or a portable assistant that is no longer carted about in a box… Such computer assistance is not far in the future as it might seem” (S. Mann 1997d, p. 25). See also http://www.wearcam.org/computing.html (Starner 1995).

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computing developers believe the answer lies in distributing the equipment evenly throughout the body37 so that it does not feel excessively heavy for the end-user or look cumbersome. Known as “smart clothes” or “underwearables”,38 they will do more than keep you warm. “With the help of computers and special high-tech fabrics, smart clothes could send and receive information and adjust to give you what you need at any moment” (Kastor 2000, p. 1).39 A research group in Belgium has been developing the “i-Wear” range (i.e. Intelligent Wear). Siddle (2000, p. 1) reports that the clothes: will perform many of the current functions of mobile phones, computers and even hospital monitoring equipment… The company [i-Wear] says the range of tasks that the clothes will be able to perform is vast, from taking phone calls to keeping a check on the health of the wearer.

While mass-scale commercial production of such clothes is probably a decade away, shirts with simple memory functions have been developed and tested. Sensors will play a big part in the functionality of the smartware helping to determine the environmental context and undergarments closest to the body will be used for body functions such as the measurement of temperature, blood pressure, heart and pulse rates. For now however, the aim is to develop ergonomically-astute wearable computing that is actually useful to the end-user.40 Head-mounted displays attached to the head with a headband may have acted to prototype the capabilities of wearable computing but it was not practical and definitely not attractive. Displays of the next generation will be mounted or concealed within eyeglasses themselves (see exhibit 8.5) (Spitzer et al. 1997, p. 48).41 Accessories like ear-rings, cuff-links, tie-pins and pendants are also considered wearables if they contain intelligence. The Gesture Pendant, for instance, can be used in

36

For a case study on smart pants see Laerhoven and Cakmakci (2000, p. 77). “Ultimately, wearable computers are clothes. A user might wear a display in a pair of sunglasses, keep a computer in a belt buckle, and have a keyboard woven into a jacket” (Starner 2001a, p. 49). Suspenders are also considered by some to be an effective bus transmitting information to and from one wearable device and another, e.g. from eyeglasses to belt buckle (Gorlick 1999, p. 114-121). 38 S. Mann calls smart clothes, underwearables. “The ‘underwearable’ is a computer system that is meant to be worn within or under ordinary clothing. The first ‘underwearables’ were built in the early 1980s, and have evolved into a form that very much resembles a tank-top” (S. Mann 1997a, p. 177). 39 For some very innovative example applications of smart clothes that are bound to broaden your imagination, see Kastor (2000, p. 1). “Your clothes don’t talk to you now but someday they may.” 40 Other sources on wearable computer-related issues include: Farringdon et al. (1999), Newman and Clark (1999), Hahn and Reichl (1999), Martin and Siewiorek (1999), Starner and Maguire (1998), Tan and Pentland (1997), Özer et al. (2001), Starner et al. (1998), Cheng and Robinson (1998), Fickas et al. (1997), Dey et al. (1999), Furui (2000) and http://wearables.www.media.mit.edu/projects/wearables/ (2001). 41 For wearable computers mounted in eyeglasses see the MicroOpticals Eyeglass System and Sony GlassTron (Spitzer et al. 1997). 37

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an Aware Home

granting occupants the ability to be recognised and their activities

interpreted to improve the quality of their life. The wearer has the ability to control different house elements like lights, the television, radio, telephone via simple hand gestures that are detected and interpreted by the smart pendant.43 The target audience for this Gesture Pendant are the elderly or disabled who suffer from particular ailments but who would still want to maintain their independence by living in their own homes. The device could be also used for medical monitoring over time.44 Please see print copy for Exhibit 8.5

Exhibit 8.5 Smart Clothes and Accessories

8.1.3.1. Military Application The

military

is

paying

particular

attention

to

wearable

computing

developments.45 Combatants of the future may look like something/someone out of a film like “Universal Soldier”. This should not be surprising since as far back as the 1960s there were attempts to make a “Man Amplifier”; to grant a soldier the added help of an exoskeleton, a sort of first line of defence in protection of the mortal flesh. While the Man Amplifier was unsuccessful due to obvious technological limitations of the time, today systems like FREFLEX (Force Reflecting Exoskeleton) are being trialled to augment human strength characteristics (Repperger et al. 1996, pp. 28-31). The US Army for instance, has been involved in trying to build a military uniform that utilise wearable computing components. They are seeking a uniform that can make:

42

Infrastructure for the Aware Home have sensors on the floors, RF transmitters that provide location information (i.e. rooms), cameras to pick up movement and microphones to track sound. The notion of ubiquitous architecture is based on contextual awareness principles. See also Al-Muhtadi et al. (2001) who discuss the smart and active physical space. 43 See Starner et al. (2000, p. 87) and Starner (2001, p. 47). See also Toney for the novel method for joint motion sensing on a wearable computer, featuring a data glove. “To be effective, wearable computers require an interface that reacts to the gestures and motions of the person wearing the computer” (Toney 1998). In addition, see Polat et al. (2001, p. 35), “[t]racking body parts of multiple people in a video sequence is very useful for face/gesture recognition systems as well as… HCI interfaces”. 44 See the Ring Sensor 24-hour patient monitoring device (Rhee et al. 1999, p. 786). 45 See McCarthy, J. (1997, p. 38) for a case study on the Australian Army and its vision for wearable IT which could be taken into battle. 264

The Auto-ID Trajectory: Converging Disciplines …soldiers nearly invisible, grant superhuman strength and provide instant medical care… All this would be achieved by developing particle-sized materials and devices- called “nanotechnology”- nestled into the uniform’s fabric… Supercharged shoes could release energy when soldiers jump… Microreactors could detect bleeding and apply pressure… Light-deflecting material could make the suit blend in with surroundings (LoBaido 2001, p. 1).

This may sound a little far-fetched but it is not. A British company that has called itself the Electronic Shoe Company have developed a pair of walking boots that can be used to power electrical equipment such as a mobile phone.46 Footwear could also be used to help orientate the soldier,47 leading them to specific targets through the safest possible route, with the capability of even detecting landmines. In the event of injury to a soldier it is hoped that smart shirts48 like the Sensate Liner (in which is woven optical fibre) can even aid to localise life-threatening wounds to the upper torso (Gorlick 1999, p. 121). According to Kellan (2000a, p. 1) each soldier would be equipped with a wearable computer, GPS locator and wireless connections to the military network. This would grant individuals the ability to send signals back to base camp in times of trouble or for base camp to send new instructions to the soldier based on more up-to-date intelligence reports. It is not inconceivable for whole divisions to be redirected to areas of safety, minimising the loss of life. 8.2.

The Paradigm Shift- From Wearable to Implantable Devices

A new line of “wearables” is now emerging that does not quite fit the definition of the traditional wearable that assumes a presence outside the human body. Implantable devices such as RF/ID transponders discussed in section 7.5, cannot exactly be referred to as “wearables” because the component is not worn, rather it is ingrained, embedded, entrenched in the human body. The implant device is more than an extension; it becomes one with the body, a seamless fusion between flesh and foreign object. Years ago, automated biometric recognition techniques were heralded as a coming together of humans and machines but today we have something beyond a meeting point, we have the potential for a union of biological proportions on an evolutionary scale. The human

46

See http://news.bbc.co.uk/hi/english/sci/tech/newsid_8060000/806440.stm (2000). Computerised shoes were first conceived by Tom Zimmerman (S. Mann 1997d, p. 28). 47 Mark Weiser of Xerox PARC first predicted that computerised shoes could be used by shoppers in a store to guide them to the merchandise they needed via an electronic floor plan (S. Mann 1997d, p. 28). 48 See the Smart Shirt at http://www.sensatex.com/ (2002). 265

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who has been implanted with a microchip is an Electrophorus,49 a bearer of “electric” technology (see exhibit 8.6). One who “bears” (i.e. a phorus) is in some way intrinsically or spiritually connected to that which they are bearing, in the same way an expecting mother is to the child in her womb. The term electrophorus seems much more suitable today than that of any other, such as cyborg.50 The term “cyborg” seems to have been hijacked by science fiction novels and movies to mean “part machine, part human”;51 this would be more relevant to bionics52 as opposed to implantable devices.

49

An electrophorus can also be considered a “carrier of electricity”. The root “electro” comes from the Greek word meaning “amber” and “phorus” means to “wear, to put on, to get into”. To electronise something is “to furnish it with electronic equipment” and electrotechnology is “the science that deals with practical applications of electricity”. The World Book definition of electrophorus is “a simple device for producing charges of electricity by means of induction.” The term “electrophoresis” has been borrowed here, to describe the act that an electrophorus is involved in. The following dictionaries and link were consulted for the above definitions: World Book Dictionary A-K (1973, pp. 672-673), the Penguin Agglo-Ellenikon Lexicon (1981, p. 270), Eleftheroudakes Mega Elleno-Agglikon Lexicon (1960, p. 1614), and www.vdivde-it.de/innonet/doks/multhaupt.pdf (2002). Consider the following: “…electricity is in effect an extension of the nervous system as a kind of global membrane” (McLuhan, E. et al. 1995, p. 94). 50 There seems to be some disagreement to the definition of cyborgs or the study of cyborgs, cyborgology. Chris Hables Gray maintains that anyone who has been immunised to some degree is a cyborg. “Cyborgology is the study of systems that include both living and dead elements, or you could say natural and artificial. Or you could say invented and evolved” (I. Walker 2001, p. 1). Contrast this definition with the early definitions of cyborg in the 1960s given by Manfred Clynes and Nathan Kline, related to a human-computer symbiosis (Starner 2001a, pp. 44f). Contrast the above definitions with that of the term cybernetics: “[t]he study of nervous system controls in the brain as a basis for developing informationprocessing and communications technology” (Hansen 1999, p. 72). 51 “Saffo, director of the Institute for the Future, does not doubt that people may become a race of cyborgs- “part man and part machine.” “We put all sorts of implants in [our bodies] today,” says Saffo. “If we have metal hips, it only makes sense to have chips in, too” (Eng. 2002). 52 “Peter Lipton, a science history professor at Cambridge, says that Warwick may be overstating the revolutionary magnitude of his body’s bionic component” (Trull 1998, p. 2). For Lipton it seems the textbook “cybernetics” definition should apply rather than Warwick’s assumed cyborg terminology. Only when Warwick is able to successfully demonstrate his Cyborg 2.0 project would Lipton probably acknowledge that Warwick has made a major step forward. Lipton said, Warwick 1.0 trial was “…similar to the sort of clicker we use to lock and unlock our cars. The fact that the chip now goes under the skin should not be exaggerated as a breakthrough” (Trull 1998, p. 2). Personally, I do not consider Warwick’s Cyborg 1.0 to have been bionics, as Lipton states, but an implantation of a RF/ID transponder, almost identical in nature to that of pet ID implants. In Cyborg 1.0, Warwick was an electrophorus but for less than 10 days only. He was advised to remove the chip so that it would not become attached permanently to the subcutaneous layer of skin. See exhibit 8.6 above. 266

The Auto-ID Trajectory: Converging Disciplines

Please see print copy for Exhibit 8.6

Exhibit 8.6 Implantable Devices for Humans

So why the requirement for implantable devices when the same devices could apparently be worn? Two opposing arguments have come from the same institution. Chief futurologist, Ian Pearson, of British Telecom (BT) is not convinced that implants will take the place of wearable components, whereas x-BT researcher, Peter Cochrane is convinced otherwise. Pearson’s argument is that “[t]here is nothing you can do with embedded chips that you can’t do with wearable ones” (LoBaido 2001, part 1, pp. 2f). Pearson however, does believe in the pervasive nature of the chips predicting that by 2006 wearable identity chips will be implemented. Only one year prior to this interview, Peter Cochrane told McGinity (2000, p. 17) that there “‘…will come a day when chips are not just worn around the neck, but are actually implanted under a human’s skin.’ When I scoffed at such an idea as merely science fiction, Cochrane offered up that he himself would be testing out such a human chip and looked forward to the opportunity.”53 And who could ever doubt such a possibility after Warwick’s 1998 Cyborg 1.0 trial?54 After the microchip implant Warwick was able to walk around his rigged up building in the Cybernetics department and be recognised as being “Kevin Warwick.” As he walked through the doorways, the radio signal energised the coil in

53

Another who has offered himself as a “guinea pig” for chip implants is Dr. Richard Seelig, “a former surgeon but now a medical consultant for ADSX, became the first to embed a VeriChip in his arm and hip on Sept. 16. He says his decision to become a willing guinea pig came when he saw World Trade Centre rescue workers scrawl information on their skin as an identifying marker should they get hurt in the wreckage” (Eng. 2002). See also Goldman (2002), Streitfeld (2002), and Gargano et al. (1997). 54 “Now having a personal chip is becoming, well, not quite the norm but a ready possibility” (Mieszkowski 2000, part 1, p. 2). See also Wakefield (2002). 267

The Auto-ID Trajectory: Converging Disciplines

the chip, produced current, and gave the chip the ability to send out an identifying signal (Witt 1999, p. 2).55 Warwick and Cochrane are not alone in their efforts. “Many theorists see people carrying embedded technology as mobile computing’s next “killer application”... Instead of just implanting machines into humans to reconstruct joints or regulate heartbeats, they imagine the addition of sensors and chips in bodies which will make people better, stronger and faster” (Mieszkowski 2000, part 1, p. 2).56

8.2.1. The Role of Auto-ID Shortly after the commotion of the Warwick implant (1998) wore off and Cochrane launched his Tips for Time Travellers (1999), Applied Digital Solutions (ADSX) was founded. The company first announced its VeriChip solution on December 19, 2001. RF/ID, traditionally used in contactless smart cards, tags and keys, and transponders interwoven into clothing, was now being marketed as a suitable identity verification chip for a variety of security, financial, emergency service and healthcare applications for humans (see exhibit 8.7).57 In a press release the company announced that the VeriChip would be “…available in several formats, some of which [could] be inserted under the skin” (ADS 2002c, p. 2).58 The Chief Technology Officer (CTO) of ADSX told Scheeres (2002a, p. 1) that “[t]he chip… is injected into the subject’s forearm or shoulder under local anaesthesia during an outpatient procedure and leaves no mark.”59 Furthermore VeriChip60 is expected to sell at a low two hundred US dollars

55

See also Nelson (1999, pp. 1-3). One of the earliest papers written on the topic was by Branwyn appearing in Wired 1.4 in 1993. Another interesting paper was by Hutchins http://www.standford.edu/~gmh/hw8 (2000) on “implantable PDAs”. One may consider the idea far-fetched, i.e. how could a PDA be implanted into the human body? However, the smaller PDAs are getting the more possible it will become, especially given that the implant would not require a visual display unit but rather some audio device. According to Hutchins work-inprogress paper (2000) “[t]here are no full featured implantable products currently on the market. However, many of the necessary pieces already exist. Most of the devices are currently aimed at replacements for missing senses… First and foremost is our limited understanding of how to interface with the brain… Another problem is long lasting power sources. Current implant devices have rather limited lifetimes.” 57 For a full range of applications see ADS (2002d). The VeriChip is even being marketed as a way to withdraw funds from ATMs given the increase in fraudulent activities (p. 3). 58 See also ADS (2002a; 2002b) and Newton (2002). 59 “A doctor would insert the chip with a large needle-like device” (Associated Press 2002c). 60 “The capsule-shaped VeriChip, 11.1 mm long by 2.1 mm in diameter, has a 125 KHz RFID chip, tiny electromagnetic coil and a small memory, all encapsulated in a biocompatible enclosure” Murray (2002). 56

268

The Auto-ID Trajectory: Converging Disciplines

Please see print copy for Exhibit 8.7

Exhibit 8.7 Applied Digital Solutions- the Digital Angel and Verichip

with the Digital Angel service61 packaged at a monthly $29.95 US dollars with a one year minimum contract (Associated Press 2002c; Farrell 2002).62 Scanners that could identify the VeriChip, very similar to those used to identify pet implants would cost between one thousand and three thousand US dollars. More recently ADSX have begun to aggressively market their products, attracting a lot of publicity as both young and old have opted for the chip implant. The “Get Chipped™”63 promotion and the ChipMobile™64 that roams the US have increased the awareness level of the general public. ADSX has scheduled visits to “recreation and stadium events, health clinics, nursing homes” among other locations (ADS 2002d).65

61

See also Gordon Bell (1997) who should be awarded with the idea of the ‘guardian angel’ for emergency services. The Digital Angel is especially being marketed to reduce the incidence of the kidnapping of children. Matthew Cossolotto of ADSX reports on the advantages of an implanted device: “[w]ith an implanted device, the child doesn’t have to remember to wear it. It can’t be lost or stolen or stripped away. And it’s totally concealed” (Farrell 2002). ADS (2002a) is also working on a new product called the Personal Location Device (PLD). 62 Additional fees and charges apply on a transaction basis with the Digital Angel service. It is the opinion of this researcher that the service fee to the end-user almost mimics that of a standard telephone operator or Internet service provider (ISP). A typical revenue model for a service provider is one based on a connection fee (i.e. for installation), plus a monthly fee (i.e. for rental) plus a usage fee (i.e. on the number of transactions). Digital Angel it seems may soon be bundled in with other household services. 63 See ADS (2002f). This web page shows a close-up of the VeriChip that is implanted in the subdermal layer of the skin. See also exhibit 8.7 on the previous page. 64 See (ADS 2002e) for VeriChip pre-registration and a picture of the ChipMobile on the move. 65 It is thus not surprising to see the British Army involved in an experimental microchip ID program called APRIL (Army Personnel Rationalisation Individual Listings). According to LoBaido 2001 (p. 1) the army is hoping to be able to not only identify its soldiers but to also track their movement. The chip implant would aid with administration and bureaucratic matters. “The microchip is placed in the back of 269

The Auto-ID Trajectory: Converging Disciplines

8.2.2. The Impact of Mobility The added function of networking to wearable computing components and implantable devices has acted to create an extremely powerful platform for monitoring and tracking humans “anywhere, anytime”.66 Starner (2001b, p. 54) identified three network communication levels: (i) off the body to a fixed network (e.g. wirelessenabled wristwatch); (ii) between different wearable devices on the body (e.g. between intelligent eyeglasses and belt buckle); and (iii) near the body between the user and objects (e.g. between a gesture pendant and a television set). Location67 has always been an important attribute in people-centric applications but it is only now that the capability exists to query this data in real-time.68 Krikelis (1999, p. 13) calls this “context information” and this is exactly what is set to revolutionise daily consumer and business activities.69 Future fourth generation (4G) mobile services70 base their core value

the neck… While the chip is active, soldiers would be tracked by the central electronic management system or “ERMS” in Glasgow… Ministry of Defence officials in London told WorldNetDaily that the “entire British Army could be microchipped by the year 2010,” if the trial program is successful… “The chip, which is implanted in the neck, would have many uses,” explained British Col. M.W. Jones, “one of which would be to replace the current ID card. This would protect the identity of those in the armed forces and prevent lost ID cards falling into the wrong hands. A continual database would show the whereabouts of every serving member of the armed forces giving commanders much greater control on the battlefield” (LoBaido 2001, pp. 1-2). Please note, as far as this researcher can verify this story is authentic, however, very little has been found to support the case that a British Col. M.W. Jones does exist and that the reports made above are actually true. Yet, based on the fact that the information was reported by the WorldNetDaily, a respectable Internet news source, there is little reason to doubt the report. There is also nothing in the report contrary to scientific fact. See also Icke (2001). 66 “The ultimate goal of mobile multimedia systems is to assist their users all the time and everywhere by providing the right information at the right place in the right manner” (Krikelis 1999, p. 13). See also The Sun-Herald, (2002 p. 27). 67 See personal location technology (Wrappe 1999, pp. 1-10). A commercial example of this can be found at http://www.snaptrack.com (1999). 68 For wireless personal and multimedia communications see Kato (1997, pp. 1-4). See also two companies specialising in this form of communication, RIM and Blackberry. 69 Echoing many other writers, Pentland (2000, p. 107) says, “[s]mart environment, wearable computers, perceptual user interfaces, and ubiquitous computing generally are widely thought to be the coming of “fourth generation” computing and information technology. Because these embedded computing devices will be everywhere- clothes, home, car, and office- their economic impact and cultural significance are expected to dwarf previous generations of computing. At a minimum, they are among the most exciting and economically important research areas in information technology and computer science.” 70 It is important to note at this point that 3G mobile systems have promised much and delivered little at the present time throughout the world. While 3G licenses have been purchased in many countries for big dollar figures, for the present installing a full 3G network seems cost prohibitive with payback periods in excess of twenty-five years in some cases. A realistic article has been written by Zeng et al. (2000, pp. 94104) on the harmonisation of 3G mobile systems which is worthwhile reading just to gain a balanced perspective. Zeng writes: “[t]he global 3G standard is expected to play an important role in the multimedia society of the next millennium and reshape the worldwide telecommunication infrastructure.” See also the importance of standards by Starner (2001b, p. 56). 270

The Auto-ID Trajectory: Converging Disciplines

proposition around being able to retrieve this type of data.71 A typical 4G service example could be as follows (Michael, K. 2002f, p. 293): An employee who works for a multinational company is travelling from Sydney to China and making a stopover in Singapore. While on his way to Sydney airport, the employee encounters a major traffic accident on the Harbour Bridge. Traffic stops to a standstill, while police and ambulance treat people at the scene. A camera on the bridge tracks all delays, alerting the roads and traffic authority (RTA). The RTA (with additional police information) estimates that the delay will be in excess of two hours and sends this information to the central information bureau. The employee is alerted by the wireless service provider that they will most likely miss his flight and will have to stay at Sydney’s Airport Hilton overnight waiting for the next available flight which is scheduled to depart in the morning. The employee replies to the message and updates are made to his itinerary as detailed on his reply message. The panic of having to reorganise everything is removed from the traveller. Though he will end up missing the first meeting in Singapore, he is relieved with the almost instantaneous knowledge that he will be leaving Sydney in time for subsequent meetings.

Throughout this scenario a number of smart devices are being used to execute operations seamlessly. These may include a RF/ID device in the car of the employee travelling to the Airport, a wireless mobile phone carried by the individual to be able to send and receive information (either by voice or data), a smart wristwatch which contains itinerary information about flights, hotels and forthcoming meetings. Somewhere in amidst all this would be a GPS-enabled72 trigger that lets the respective service providers know where the individual is located and grants them the ability to calculate estimated times of arrival. This kind of service however would require mass cooperation between the various stakeholders. 8.2.3. Global Positioning System (GPS) Tracking Having established the importance of network communications to wearable and implantable devices let us consider the role of the Global Positioning System (GPS).73 Ferrero (1998, p. 87) ponders: “[i]magine GPS in your wallet, cell phone, or watch to 71

See Starner (2001a, p. 48) for other typical 4G mobile service scenarios. “The Global Positioning System is a 24-satellite constellation that can tell you where you are in three dimensions. GPS navigation and position determination is based on measuring the distance from the user position to four GPS satellites, it is possible to establish three coordinates of a user’s position (latitude, longitude and altitude) as well as GPS time… Originally developed by the Department of Defence (DOD) to meet military requirements, GPS was quickly adopted by the civilian world” (Pace et al. 1996, pp. 237f). See also The Times (1994). 73 For a comprehensive overview of the origins and evolutionary developments of GPS see Pace et al. (1996). “GPS had a military origin, and its technology arose from projects designed to support strategic nuclear and tactical military missions” (p. 196). In 1983 GPS was opened up to civilians as well, whereas 72

271

The Auto-ID Trajectory: Converging Disciplines

tell you where you are.” Well, one does not have to imagine that any longer, there are services being offered right now, beyond the smart car navigation systems.74 Companies like Wherify, Gen-Etics, Pro-Tech, Sky-Eye and Digital Angel/ADSX are taking advantage of what GPS has to offer and using it to track living and non-living things.75 In terms of people tracking, this is done for a variety of reasons including: child safety, reducing the incidence of kidnapping76 of high profile persons,77 for those suffering from Alzheimer’s disease78 who may become disorientated, for those suffering from mental illness, for parolees,79 for prison inmates,80 for military personnel, for emergency services,81 or just for peace of mind.82 Wherify’s “GPS Locator for Children”83 for instance, states:

previously it was just for US military use (pp. 247-250). This change in 1983 had major implications as it meant that other countries could also use the capabilities of GPS. 74 See the palm-sized GARMIN GPS. See also Fleming (2000, p. 6D) for the NatTalk integrated cellular phone, GPS and pager. 75 Some of these companies like Sky Eye specialise in non-human tracking, rather tracking the location of cars, locomotives or containers throughout the globe. “Sky Eye supplies valuable information on logistics, car handling or car health. [They] can provide container diagnostics, as well as load and locomotive monitoring. By using this information to pinpoint bottlenecks, [one] can reduce out-of-service time, thereby improving operational efficiency and boosting productivity.” See http://www.skyeye.com/en/index.html (2002). 76 There are over one hundred thousand missing persons in the U.S. alone (M. Miller 2001). 77 “Foreign executives and other individuals who are frequent kidnapping targets in Latin America will soon be able to use implantable ID chips and personal GPS devices in an attempt to thwart their abductors” (Scheeres 2002a, p. 1). “Cunha Lima, a veteran politician, has served in public office for more than 22 years… ‘I believe this technology will contribute to public safety and security of Brazilians… I believe this technology will act to deter the shocking rise of kidnapping of the children of businessmen’ (Scheeres 2002c, pp. 1f). See also Horn (2000, p. 1). 78 For instance, “[T]he Digital Angel Corporation has had overwhelming response from the Alzheimer’s community. Since our original intention was to develop a technology that would help save lives, the logical conclusion was to develop products that would help protect persons who may wander- such as people afflicted with Alzheimer’s or dementia; autistic children or adults; or young children” (Digital 2002a, p. 1). 79 “ADS’s Nov. 7 press release had stated: ‘Using Digital Angel’s advanced location and monitoring technologies, State authorities will be able to monitor the location of parolees on a real-time basis… The system is designed not only to monitor the location of parolees, but also provide the appropriate authorities with an advanced warning when violations occur’” (Gossett 2002, pp. 1f). 80 We are informed that “[P]ro Tech is currently the only company having units actively tracking convicted offenders. Their products are used in 120 jurisdictions in 27 states” (Gossett 2002, p. 2). 81 “In a few weeks, 14-year-old Derek Jacobs of Boca Raton, Fla., will have a computer chip implanted in his left arm. A doctor will inject it through a syringe, into an anesthetized area, probably near his shoulder. There, the radio frequency chip will act as a sort of “human bar code,” identifying Derek through his skin to anyone nearby equipped with an appropriate electronic reading device” Murray (2002). See also Chen (1998, pp. 82-84) for wireless communications as applied to the field of biomedical applications. 82 “According to Bolton, the company has already started experimenting with combining the VeriChip with another ADS product called the Digital Angel. That pager-sized device allows caregivers and parents to monitor the health and whereabouts of seniors and children through the use of space-based Global Positioning Systems (GPS) satellites. In the migration path, those two products can be bundled together…” (Eng. 2002). 272

The Auto-ID Trajectory: Converging Disciplines [c]hildren have a natural urge to explore. Parents have a natural desire to know their children are safe. That’s why Wherify created the world’s first Personal Locator to help you determine your child’s location in minutes. Wherify’s GPS Locator technology helps keep loved ones safe by combining Wherify’s patented technology with the U.S. Department of Defence’s multi-billion dollar Global Positioning System (GPS) satellite plus the largest 100% digital, nationwide PCS wireless network. So relax. Now you can have peace of mind 24 hours a day while your child is the high tech envy of the neighbourhood!

The watch worn by Wherify users contains a built-in pager, an atomic synchronised clock, an emergency 911 button, a lock button84 and an on-board GPS technology (see exhibit 8.8 on the following page). One pitfall of the Wherify technology is that it can be seen, thus alerting a perpetrator to the possibility that their location will be found out. The evolutionary vision therefore is a technology that is fully implantable85 and cannot be seen by an attacker or anyone else for that matter. “Enter the Digital Angel: according to CEO Richard Sullivan, the solution combines GPS wireless communications with biosensors, powered86 by body heat in the form of a dime-sized chip, which can be embedded in a watch, bracelet or medallion, even under your flesh…” (Mieszkowski 2000, part 2, p. 2).87 Now given GPS only works outdoors, other wireless systems must cater for in-building/in-container solutions, most of which take advantage of RF/ID tags and transponders, video cameras,88 sensors89 or infrared

83

See http://www.wherifywireless.com/prod_watches.htm (2003). The only way to unlock the watch is using an external key fob. This has major implications for the end user. There is always the possibility that an overprotective parent will make their child wear this watch even till the time they become a teenager for other reasons separate from safety concerns. In addition a kidnapper could cause bodily injury to remove the watch from the possession of the user so tracking can cease, whether the watch is locked in place or not. 85 In a compelling manner, “[t]he company says the device, which is the size of a wristwatch-face and could eventually be made even smaller, could be used to find kidnapped children, locate young kids who wander away from parents and track teens who participate in risky behaviour” (Farrell 2002). 86 “Most embedded chip designs, such as ADS’s VeriChip, are so-called passive chips which yield information only when scanned by a nearby reader. But active chips- such as the proposed Digital Angel of the future- will need to beam out information all the time. And that means designers will have to develop some sort of power source that can provide a continuous source of energy, yet be small enough to be embedded with the chips” (Eng. 2002). 87 The technical hurdles the GPS technology must overcome is the size of the GPS receiver chip, legal, privacy and regulatory issues (e.g. the FDA in the U.S.). 88 See Rungsarityotin and Starner (2000, pp. 61-68) for how to find a location using omnidirectional video on a wearable computing platform. See also Khan et al. (2001, pp. 331-336) for human tracking using multiple cameras, also Davis et al. (2000, pp. 171-178), Skelly and Chizeck (2001, pp. 59-68) and Bobick and Davis (2001, pp. 257-267). An excellent prototype which takes advantage of real-time face recognition is the PersonSpotter- “a fast and robust system for human detection, tracking and recognition. Real-time face recognition system which is able to capture, track and recognise a person walking toward a stereo CCD camera” (Steffens et al. 1998). 89 For intelligent environments and active camera networks see Trivedi et al. (2000, pp. 804-809). 84

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signals. The WhereNet company offers a number of different configurations for its Real-Time Locating System (RTLS).90 Please see print copy for Exhibit 8.8

Exhibit 8.8 The Wherify Solution with Other GPS-enabled Equipment

8.2.4. Towards a Unique Identifier for Universal Personal Telecommunications The requirement for integrated messaging services, also known as unified messaging, increasingly demands that an individual be reached through one unique identifier, though for the time being disparate identifiers are still being utilised. As individuals become used to taking advantage of their idle time ‘on-the-go’ and end-user terminals become more sophisticated, the need for message centralisation will grow. Currently persons are receiving and sending messages from numerous clients including home and work fixed telephones, mobile phones, home and work fixed computers, laptops, PDAs and even facsimiles. Synchronising all these points of interaction is almost impossible without a service that allows the individual to manage their personal needs.91 For instance, a message to an employee’s work email should be accessible by mobile phone without that individual having to dial into a separate message databank. They should be able to check their mobile messages and have their email message converted using text-to-speech functionality. There are two developments that are

90

See http://www.wherenet.com/products-main.htm (2003). It has been frequently maintained in recent times that “…a paradigm shift is underway to move us towards Universal Personal Communications [UPC], which is built upon a person-oriented communications infrastructure and promises personalised services” (Kripalani 1994, p. 25). For “[P]ersonal Communications systems provide the capability to communicate anywhere, anytime with anybody by featuring personal, person-based, and personalised services to serve different customers’ different requests” (Kato 1997, p. 1). 91

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enabling this capability: the first is the blurring between what is wireline and wireless, the second is that the new IP-based networks have turned the traditional notion of voice and data up-side-down. These two changes are setting the stage for a global platform that requires that an individual have a unique lifetime identifier (from the time of birth), either in the form of a number or email address.92 Some of the early protocols such as SIP (Session Initiation Protocol) and H.323 rely on such an identifier. In 2000, Bell Canada launched the “Find-Me Number Service” which allowed phone calls to follow an individual (Bell 2000).93 With time this service will extend to incorporate emails and other forms of messaging. While not apparent what we are moving towards is a “universal” Personal Communications Service (PCS) model that is hybrid94 in approach, utilising the best of both worlds (both GPS and PCS) when it is required. The question perhaps is how interlinked will this scheme be to a potential unique lifetime identifier chip implant? I.e., a unique identifier for communications could be just as suitable for personal user authentication. Farrell (2001) predicts, “[o]ther uses could be to replace keys and ATM cards with implanted chips, making it possible for a single implant to unlock your house, start your car and give you money from a cash point.” 8.3.

Case Study: Auto-ID Adapted for Medical Implants

Auto-ID devices, in particular implantable devices like smart microchips and passive and active RF/ID transponders, have found themselves being utilised in medical applications for completely different purposes to what they were originally invented. Apart from serving their designated purpose as an automatic identification device they have somehow found themselves to be integral components of life-saving95 devices, in 92 Bhattacharya (2000, p. 1578) judges well when he concludes, “[t]he convergence of wired/wireless telecommunication networks and IP-based data networks to form a seamless global personal communication system has set up the stage for a network independent universal location service.” 93 As Kipreos correctly predicted in 1993, when excitement about UPT was initially stirred, “[i]t is a very successful business- one that can fulfil the dreams of millions and millions of people the world over for anywhere, anytime, direct communication based on dedicated phone numbers, whether for business or personal use, for everyday use as well as in emergencies” (p. 334). 94 “There are essentially two representations [for location space positioning]: (i) geometric, where the location is specified as an n-dimensional coordinate, and (ii) symbolic, where the space is divided into named zones. For example, position tracked by the… GPS is geometric, whereas the cell-id broadcast received by a mobile phone is essentially symbolic information” (Bhattacharya 2000, p. 1578). The requirement in the future will be to bridge the gap between these two systems/networks so that advanced services can be offered without interruption, independent of the location of the user. 95 “For example, in a demonstration after Florida resident Leslie Jacobs was implanted with the VeriChip, Applied Digital Solutions CTO Keith Bolton ran a scanner over her arm which displayed not just an identification number, but her name, telephone number and a condition known as ‘mitral valve prolapse,’

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some instances either to the prevention or cure of particular disabilities, ailments or diseases.96 The devices have of course been further developed and adapted to match the requirements of the specific medical application. The evolutionary path indicates that due to developments in auto-ID and microcircuitry in general, today’s medical implantable devices have much overtaken the “humble” pacemaker. It is at this point that a landmark study in the field must be mentioned as supporting evidence. Catherine M. Banbury has written an excellent historical account of technological innovation in the pacemaker industry (1959-1990). In her chapter on pacemaker technology she describes the incremental changes that took place in the pacemaker industry stating that it was first in 1963 that “the market for internal pacemakers had settled on a dominant design” (Banbury 1997, p. 52). It is not surprising that Banbury’s findings on innovation in the pacemaker industry are similar to those of the findings on auto-ID in this thesis (see especially section II on “pacemaker technology”, pp. 47-72).97 It is worth quoting her in full below (Banbury 1997, p. 54): Many technological innovations that occurred in the pacemaker industry during the incremental era changed some aspect of the product and how it was used. These changes resulted from innovations in pacing technology or from innovations in input technologies, where the research and development could have been conducted by pacemaker firms or firms and research institutions external to the pacemaker industry. Innovations in semiconductor technology and in surgical procedures used to implant pacers are examples of external innovations that were later adapted to pacing technology. Innovations in electrode and lead technologies are examples of innovations developed by firms both inside and outside of the industry. However, developments in the pacing mode, the core technology, were introduced by pacing firms.98

Taking this into consideration the following innovation cases point to a future path for auto-ID as something more than an identification technology, a new electrophorus paradigm that is set to revolutionise the way humans consider technology- no longer as a separate entity but as a life-enhancing artefact carried within the body. Now we turn our attention to innovations that are paving the way for this paradigm shift. a heart murmur. This information could be helpful to medical professionals,” said Bolton, “in the event she can’t speak, to save her life” (Gossett 2002, pp. 4f). 96 It is often announced and with ever increasing confidence, “[m]icrochip implants may be the next best thing to a miracle cure for disabilities” (Brooks 2001, p. 1). 97 It was with great surprise that I came across this source in early 2002 which is why it has been omitted from the literature review. 98 Now compare Banbury with the following extract regarding the VeriChip: “Applied Digital Solutions originally planned to sell the chip to people with pacemakers or other internal medical devices as a way of transmitting health information- such as allergies- to hospital workers in emergency situations. The

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8.3.1. Biochips for Diagnosis and Smart Pills for Drug Delivery It is not unlikely that biochips99 will be implanted at birth in the not-too-distant future.100 “They will be able to diagnose disease with precision, pre-determine a patient’s response to treatment and make individual patients aware of any predisposition to susceptibility” (Wales 2001).101 With response to treatment for illness, drug delivery will not require patients to swallow pills102 or take routine injections; instead chemicals will be stored on a microprocessor and released as prescribed (see exhibit 8.9 below).103 The idea is known as “pharmacy-on-a-chip” and was founded by scientists at the Massachusetts Institute of Technology (MIT)104 in 1999 (LoBaido 2001, part 2, p. 2). The following extract is from The Lab (1999): Doctors prescribing complicated courses of drugs may soon be able to implant microchips into patients to deliver timed drug doses directly into their bodies.

Please see print copy for Exhibit 8.9

Exhibit 8.9 The Smart Pill Demonstration, http://www.sun-sentinel.com (2003)

second product… combines a watch and a device the size of a pack of cigarettes that clips onto a waist band or a belt like a pager for Alzheimer’s patients or others who stray in mind” (Scheeres 2002a, pp. 1f). 99 “Biochips are glass slides, or other substrates, upon which biomolecules are placed and immobilised. They perform the job of a miniaturised biochemistry. Biochips enable faster and more efficient gene detection of gene mutation” (Wales 2001). See also PC Magazine (1999) that describes how technology companies are getting involved in biochip developments. For a graphical demonstration of a smart pill see http://www.biomems.net/index.html (2003) and http://www.sun-sentinel.com/graphics/news/smartpill (2003). 100 See Lee, senior technology advisor with the National Cancer Institute in Bethesda, Marylands who predicts that biochips could be implanted in people to provide early warning cancer signs (ÓhAnluain 2001, p. 2). 101 See Rodda (2000, p. 9) for computers that keep you healthy from the inside. 102 See hormone producing implants like the Norplant used for birth control. Recently there has been much press about women blaming doctors for implants that did not work, resulting in unplanned pregnancies. See Teutsch (2003). 103 See polymarase chain reaction (PCR) amplification in silicon (Zhan et al. 2000, p. 25). 104 “Researchers at… [MIT] in the US have created a prototype chip around the size of a 10-cent coin that contains tiny chemical reservoirs each sealed with a gold cap. At a preprogrammed time, a memory chip melts the cap by applying a small electrical voltage, releasing the chemical stored inside” (The Lab 1999). 277

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Microchips being developed at Ohio State University (OSU) can be swathed with a chemical substance like pain medication, insulin, different treatments for heart disease,105 or gene therapies,106 allowing physicians to work at a more detailed level that is possible today (Swissler 2000, p. 1). The breakthroughs have major implications for diabetics especially who require insulin at regular intervals throughout the day. Researchers at the University of Delaware are working on “smart” implantable insulin pumps that may relieve people with Type I diabetes (Bailey 1999, p. 1). The delivery would be based on a mathematical model stored on a microchip and working in connection with glucose sensors that would instruct the chip when to release the insulin. The goal is for the model to be able to simulate the activity of the pancreas so that the right dosage is delivered at the right time. The implantable chips are also being considered as a possible solution to clinical depression and/or for patients who are incapable of committing to a prescribed regime. Gasson (1998, p. 1) first named this capability as “cyberdrugs”/ “cybernarcotics” with a well-meaning intent. Professor John Santini of MIT, knowing the possible implications of such an innovation, however, has repeatedly outlined that the focus is strictly “therapeutic”, a better way to treat diseases (LoBaido 2001, part 2, p. 2).107 Scientists at universities are not the only ones researching biochips or smart pills according to Wales (2001) production is quickly becoming a big business as genomic-based medicine is the next buzz-word.108 Some of the more well-known players include: Affymetrix, Motorola Life Sciences Codelink Division, Packard BioScience, Agilent, and Hitachi.109

105

“The use of microscopic chips will take heart disease treatment to the next level,” said Dr Robert Michler, director of the research and chief of cardio-thoraic surgery at University Medical Centre at OSU” (Swissler 2000, p. 1). 106 “Engineers have developed a technique that might be used to glue cells or DNA to the surfaces of computer “biochips,” a technology aimed at making diagnostic devices to be implanted in the body or used to quickly analyse food and laboratory samples” (Venere n.d., p. 1). See also Moore (2001). 107 See Thomson (1999, pp. 1-3) who features Professor Michael Cima, John Santini and Professor Robert Langer on non-conventional methods of drug delivery. 108 For links to biochip specialist companies and research programs in the field see http://www.loonycat.com/biochip_data.htm (2001, pp. 1-8). 109 See also NZ Herald (2001, p. B2) for an implant that is intended for women with orgasmic dysfunction. Medtronic is expected to start clinical trials of Meloy’s prototype. Also the unofficial Zorn Device, similar to Meloy’s invention, is supposedly available as an untested underground product built by a neurohacker (Branwyn 1993, p. 4). 278

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8.3.2. Cochlear Implants- Helping the Deaf to Hear More than thirty-two thousand people worldwide already have cochlear implants (Manning 2000, p. 7D). Cochlear implants can restore hearing to people who have severe hearing loss, a form of diagnosed deafness. Unlike a standard hearing aid that works like an amplifier, the cochlear implant acts like a microphone to change sound into electronic signals. Signals are sent to the microchip implant via RF stimulating nerve fibres in the inner ear. The brain then interprets the signals that are transmitted via the nerves to be sound.110 For a closer look at the cochlear implant see the Clarion111 and Nucleus112 product innovations (see exhibit 8.10). Another company, Canadianbased Epic Biosonics, has teamed up with Professor Chris Toumazou of Imperial College. Toumazou has made significant inroads to cutting the costs of cochlear implants and making them more comfortable for the individual. Most cochlear implants today require power packs worn on belts with connecting wires generated by battery power that generally do not look aesthetically good, Toumazou is trying to change this impracticality (Imperial College 1999, p. 2). For now, cochlear implants are being used to overcome deafness, tomorrow however they may be open to the wider public as a performance-enhancing technique. Audiologist, Steve Otto of the Auditory Brainstem Implant Project at the House Ear Institute in Los Angeles predicts that some day “implantable devices [will] interface microscopically with parts of the normal system that are still physiologically functional” (Stewart 2000, p. 2). He is quoted as saying that this may equate to “ESP for everyone.” Otto’s prediction that implants will one day be used by persons who do not require them for remedial purposes has been supported by numerous other high profile scientists.113 The critical question is whether this is the ultimate trajectory of auto-ID devices.

110

For a case study on a deaf patient, Mukunda Kantamneni, who received UIHC’s (University of Iowa Health Care) first auditory brain stem implant in 1996, see http://www.uihealthcare.com/news/pacemaker/pacemaker96/pmapr96.html (1996, pp. 1-2). 111 “Sound is received by a microphone, processed by a minicomputer… and the electrical signals are transmitted to the implant by radio-frequency communication. After decoding of the signal, the multiple electrodes directly activate nerve cells that communicate information about sound to the brain” (Wells n.d., p. 4). 112 For the company that developed Nucleus see http://www.cochlear.com (2001). For the actual nucleus device see http://www.Cochlear.com/euro/nucleussystems/ci24m.html (1999). 113 Mieszkowski (2000, part 2, p. 2) states the argument plainly- “[p]icture a system that would constantly monitor a heart disease sufferer’s pulse rate or a diabetes patient’s sugar levels and notify medical help when things were looking dangerous. We accept pacemakers as a necessary and important technology to extend and enhance the quality of lives. How is this any different?” 279

The Auto-ID Trajectory: Converging Disciplines

8.3.3. Retina Implants- on a Mission to Help the Blind to See The hope is that retina implants will be as successful as cochlear implants in the future.114 Like cochlear implants cannot be used for persons suffering from complete deafness, retina implants are not a solution for totally blind persons but rather those suffering from aged macular degeneration (AMD) and retinitis pigmentosa (RP). Retina implants have brought together medical researchers, electronic specialists and software designers to develop a system that can be implanted inside the eye (Ahlstrom 2000, p. 1).115 A typical retina implant procedure is as follows: [s]urgeons make a pinpoint opening in the retina to inject fluid in order to lift a portion of the retina from the back of the eye, creating a pocket to accommodate the chip. The retina is resealed over the chip, and doctors inject air into the middle of the eye to force the retina back over the device and close the incisions (Datamaster 2001, p. 1).116

Brothers Alan Chow and Vincent Chow, one an engineer the other an ophthalmologist, developed the artificial silicon retina (ASR) and began the company Optobionics Corp in 1990. This was a marriage between biology and engineering, first conceived of over a Thanksgiving dinner. “In landmark surgeries at the University of Illinois at Chicago Medical Centre on June 28, the first artificial retinas made from silicon chips were implanted in the eyes of two blind patients who have lost almost all of their vision because of retinal disease.”117 In 1993 Branwyn (p. 3) reported that a team at the National Institute of Health (NIH) led by Dr. Hambrecht, implanted a 38-electrode array into a blind female’s brain. It was reported that she saw simple light patterns and was able to make out crude letters. The following year the same procedure was conducted by another group on a blind male resulting in the man seeing a black dot with a yellow ring around it. Joseph Rizzo of Harvard Medical School’s, Massachusetts Eye and Ear Infirmary118 has cautioned that it is better to talk down the possibilities of the retina

114

See Dagnelie and Massof (1996). However, as it has been admitted, “[t]here are very many complex engineering problems in this project… We had to consider biocompatibility of the device and how to provide a reliable power supply. We also had to design an electrical circuit that conforms to the biological specifications” (Frontiers 1997, p. 1). For biocompatibility issues see Sood (2000, p. 1). 116 For an overview of how retinal implants work see McCabe (2001, pp.1-2). 117 See Ganey (2001, pp. 1-5) and Butler (2000, p. 1). 118 See Wyatt and Rizzo (1993, 1996, 1997) for published papers in IEEE Spectrum and The Neuroscientist. 115

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implant so as not to give false hopes.

119

The professor himself has expressed that they

are dealing with “science fiction stuff” and that there are no long-term guarantees that the technology will ever fully restore sight, although significant progress is being made by a number of research institutes (Wells n.d., p. 5).120 Among these pioneers are researchers at The John Hopkins University121 Medical Centre122 in Baltimore, Maryland. Brooks (2001, pp. 4f) describes how the retina chip developed by the medical centre will work: …a kind of miniature digital camera… is placed on the surface of the retina. The camera relays information about the light that hits it to a microchip implanted nearby. This chip then delivers a signal that is fed back to the retina, giving it a big kick that stimulates it into action. Then, as normal, a signal goes down the optic nerve and sight is at least partially restored…”123

8.3.4. Tapping into the Heart and Brain If as far back as 1958, two transistors the size of an ice hockey puck were successfully implanted in the heart of a 43 year old man (Nairne 2000, p. 1), what will become possible by 2058 is bound by the imagination alone. Heart packemakers124 are still being further developed today,125 but for the greater part, researchers are turning their attention to the possibilities of brain pacemakers.126 In the foreseeable future brain implants may help sufferers of Parkinson’s, paralysis, nervous system problems, speech-impaired persons and even cancer patients. While the research is still in its formative years and the obstacles so great because of the complexity of the brain,

119

“[T]he researchers face many challenges. Researchers are uncertain whether the retina will tolerate the foreign device for a long period of time, as well as the fact that the microelectronics of the epiretinal chip will soak in the salty vitreous humor… Another concern is the constant motion of the eye… Other challenges for researchers involve the degree of the electric charge generated by electrodes. An electrical charge strong enough to stimulate the neurons sufficiently may generate so much heat that it burn retinal tissue” (OE. 2001, pp. 1f). 120 For a thorough overview of the top academic institutions working on retinal microchip implants and their progress see Nighswonger (1999, pp. 1-7). 121 For an overview of the John Hopkins/NCSU retinal prosthesis project see http://www.ece.ncsu.edu/erl/faculty/wtl_data/boston98/boston98.html (2001) and http://www.ece.ncsu.edu/erl/erl_eye.html (1999). 122 “Dr. Mark Humayun, who with Dr. Eugene de Juan, Jr., leads a group at John Hopkins University’s Wilmer Eye Institute, reported the stimulation of patients’ retinas using hand-electrodes, enabling them to “see a simple geometric shape, like a box or the letter H. It’s very encouraging” (Hurley 1999, p. 1). 123 Other methods are being used by Richard Normann’s research group at the University of Utah that is developing an implant for the brain that will interface with the visual cortex. The researchers believe this is the best way to stimulate the brain into seeing possibly curing profound blindness (Brooks 2001, p. 4). 124 For information on pacemakers and defibrillators including the history of pacemakers, the benefits of pacemaker technology and design considerations see http://www.bae.ncsu.edu/bae/courses/bae465/1995_projects/scho/ (1995). 125 See Ryan et al. (1989, pp. 7.6.1-7.6.4), Starner (2001a, p. 50) and Young (2000, p. R7). 126 “Hearts have long been regulated by electronic implants. Now it’s the brain’s turn” (Hall 2001, p. 1). 281

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scientists are hopeful of major breakthroughs in the next twenty to fifty years. The brain pacemaker endeavours are bringing together even more people from different disciplines headed mainly by neurosurgeons.127 By using brain implants electrical pulses can be sent directly to nerves via electrodes.128 The signals can be used to interrupt incoherent messages to nerves that cause uncontrollable movements or tremors. By tapping into the right nerves in the brain, particular reactions can be achieved. Using a technique that was first founded, almost accidentally in France in 1987, the following extract describes the procedure of “tapping into” the brain: Rezai and a team of functional neurosurgeons, neurologists and nurses at the Cleveland Clinic Foundation in Ohio had spent the next few hours electronically eavesdropping on single cells in Joan’s brain attempting to pinpoint the precise trouble spot that caused a persistent, uncontrollable tremor in her right hand. Once confident they had found the spot, the doctors had guided the electrode itself deep into her brain, into a small duchy of nerve cells within the thalamus. The hope was than when sent an electrical current to the electrode, in a technique known as deep-brain stimulation, her tremor would diminish, and perhaps disappear altogether (Hall 2001, p. 2).129

There are companies that have formed like Medtronic, Incorporated (Minneapolis, Minnesota) that specialise in brain pacemakers. Medtronic’s Activa implant has been designed specifically for sufferers of Parkinson’s disease (Wells n.d., p. 3).130 8.3.4.1. Attempting to Overcome Paralysis In more speculative research surgeons believe that brain implants may be a solution for persons who are suffering from paralysis such as spinal cord damage.131 In these instances, the nerves in the legs are still theoretically “working” (below the lesion

127

See Greengard (1997, p. 1) who reported on neuroscientist Theodore Berger who was one of the first to begin researching brain implants. The article which appeared in Wired highlights the “simple problem” that has a “complex solution” stating that between one and ten billion neurons would require identification. 128 See also Melody Moore’s work at Georgia State University. “The key technology involved is called a neurotrophic electrode, which is about the size of the head of a ballpoint pen, and is designed to be directly inserted into a brain so it can interface with neurons” (Morehead 2000, p. 1). 129 “Stanford University neurosurgeon Gary Heits… patients suffer from debilitating tremors, similar to those caused by Parkinson’s disease. These tremors can prevent them from being capable of doing anything themselves… But when they receive a chip implant in the area of the brain known as the hypothalamus, everything changes. Flick a switch to turn the chip on and it emits signals that interfere with the brain signals causing the tremor…” (Brooks 2001, p. 2). 130 See also Karen Davis at the University of Toronto who is researching Parkinson’s. Visit http://www.discovery.com/area/technology/virtualtech/issue1/manmachine.html (2000). 131 “Current prosthetic devices for amputees can read electrical impulses from the remaining muscles and operate mechanical hands, arms and legs, but devices have not been developed yet for those paralysed from the neck down, said John W. Stephenson, clinical coordinator of the prosthetics department at the Texas Scottish Rite Hospital for Children in Dallas” (Dominguez 2000, p. 2). 282

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point), it is just that they cannot make contact with the brain which controls their movement.132 If somehow signals could be sent to the brain, bypassing the lesion point, it could conceivably mean that paralysed persons regain at least part of their capability to move (Dobson 2001, p. 2).133 In 2000 Reuters (pp. 1f) reported that a paralysed Frenchman [Marc Merger] “took his first steps in 10 years after a revolutionary operation to restore nerve functions using a microchip implant… Merger walks by pressing buttons on a walking frame which acts as a remote control for the chip, sending impulses through fine wires to stimulate legs muscles…” It should be noted, however, that the system only works for paraplegics whose muscles remain alive despite damage to the nerves. Yet there are promising devices like the Bion that may one day be able to control muscle movement using RF commands (D. Smith 2002, p. 2). Researchers at the University of Illinois in Chicago have: …invented a microcomputer system that sends pulses to a patient’s legs, causing the muscles to contract. Using a walker for balance, people paralysed from the waist down can stand up from a sitting position and walk short distances… Another team, based in Europe… enabled a paraplegic to walk using a chip connected to fine wires in his legs” (Brooks 2001, p. 3).

These techniques are known as functional neuromuscular stimulation systems. 8.3.4.2. Granting a Voice to the Speech-impaired Speech-impairment microchip implants work differently to that of the cochlear and retina implant. Whereas in the latter two, hearing and sight is restored, in implants for speech-impairment the voice is not restored, but an outlet for communication is created, possibly with the aid of a voice synthesizer. At The Emory University,134 neurosurgeon Roy E. Bakay135 and neuroscientist Phillip R. Kennedy have been

132

“The aims of this new project are to analyse cellular and molecular mechanisms after peripheral nerve injury and nerve repair; to analyse the tissue reactions after implantation of biomaterials in soft tissue; and to combine this knowledge in order to functionally integrate a nerve chip in a nerve trunk… Regenerating nerve fibres are capable of growing through an implanted sieve electrode made out of silicon (nerve chip)… If a nerve chip functionally can be integrated in a nerve trunk this device could be used to control an artificial limb” (Danielsen et al. 1999, p. 1). See also Irwin (1998, p. 2) who quotes Bakay: “Our hope is that soon we will be able to get to the point that we can connect the neural signals to a muscle stimulator in the patient’s paralysed limb and have them move that limb using the same principle that they use to move the cursor.” 133 Mussa-Ivaldi said “[T]he problem is when you think about your arm, it’s not just receiving commands. It also sends information back because you have touch information being sent” (Dominguez 2000, p. 2). 134 See http://www.emory.edu/WHSC (2001). 135 Dr. Bakay also works for the Rush Presbyterian Hospital in Chicago. See (Dominguez 2000, p. 1). 283

The Auto-ID Trajectory: Converging Disciplines 136

responsible for the latest breakthroughs.

In 2002, Versweyveld (p. 1) reported two

successful implants of a neurotrophic electrode into the brain of a woman and man137 who were suffering from Amyotrophic Lateral Sclerosis (ALS) and brainstem stroke, respectively. In an incredible process, Bakay and Kennedy have somehow replicated the ability to explicitly capture the patient’s thoughts to a computer screen by the movement of cursor.138 “The computer chip is directly connected with the cortical nerve cells… The neural signals are transmitted to a receiver and connected to the computer in order to drive the cursor” (Versweyveld 2002, p. 1).139 This procedure has major implications for brain-computer interaction (BCI), especially bionics.140 Bakay predicts that by 2010 prosthetic devices will grant patients that are immobile the ability to turn on the TV just by thinking about it141 and by 2030 to grant severely disabled persons the ability to walk independently (Dominguez 2000, p. 2).142 Despite the early signs that these procedures may offer long term solutions for hundreds of thousands of people, some research scientists believe that tapping into the human brain is a long-shot. The brain is 136

See research at Northwestern University Medical School. The team lead by Sandro Mussa-Ivaldi wired up a lamprey’s brain to a set of wheels. “The brain was able to move the wheels. It was the first demonstration of how an animal’s nervous system and a machine could work together in the future” (Brooks 2001, p. 3). See also Bohringer et al. (2001) regarding an experiment to implant a standalone microcomputer into the brain of a marine mollusc, to allow multi-site intracellular recording and stimulation in a live, freely behaving animal.” 137 “In March 1998, neuroscientists at Emory University in Atlanta implanted two glass-enclosed electrodes in the primary motor cortex of Ray’s brain. Nourished by neurotrophic growth factors, his cortical cells infiltrated one of the 1.5-mm glass cones to form artificial synapses. When the motor neurons fired, the impulses were transmitted to an external receiver hooked to a computer. Now, when Ray wants to converse with visitors, he has trained himself to manoeuvre the cursor around the computer screen, tap a virtual keyboard and “speak” in basic phrases by clicking on icons that activate a voice synthesiser- all simply by thinking about the movement he wants to accomplish” (Weber 2000, p. 1). See also Irwin (1998, p. 1). 138 Jessica Bayliss at the University of Rochester is trialling a virtual model developed “to read a key brain signal that essentially gives an overwhelming “thumbs up” or “thumbs down” to a choice presented to it. Sensors on the subject’s head pick up the signal, called the P300; a computer connected to the sensors reads the intention- on or off- and then sends the appropriate command to the TV” (Keck 2000, p. 1). 139 Some research towards neural interfacing has also been conducted at Stanford University. 140 Bakay has said that “it will be a long time before artificial limbs can be made to perform more complex tasks such as throwing a ball, he said” (Dominguez 2000, p. 1). Yet “NASA… has developed a robotic hand that is almost as dexterous as our own. Systems that rely on the power of thought to move artificial limbs have already been developed. Their potential was recently demonstrated by a monkey in Brooklyn, New York, whose brain signals were used to control a robotic arm located in North Carolina” (D. Smith 2002, pp. 1f). 141 The military is especially interested in ‘control-by-thought’ applications (Dobson 2001, p. 2). According to Colombo (2000, p. 2), NASA published numerous articles in its Tech Briefs magazine about marrying up “solid-state technology with human biology. The reason for NASA’s interest hinges on the prospect of direct astronaut interface with on-board computer and communications systems.”

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commonly understood to be “wetware” and plugging in hardware into this “wetware” would seem to be a type mismatch according to Steve Potter, a senior research fellow in biology working at the California Institute of Technology’s Biological Imaging Centre in Pasadena. Instead Potter is pursuing the cranial route as a “digital gateway to the brain” (Stewart 2000, p. 1). Others believe that it is impossible to figure out exactly what all the millions of neurons in the brain actually do- but it should be reminded that this is the exact same argument that was presented when there were initial discussions about the Human Genome Project.143 See exhibit 8.10 for a diverse range of transponder-based medical applications that were discussed in section 8.3. Please see print copy for Exhibit 8.10

Exhibit 8.10

8.4.

Various Medical Implant Applications

Onward the Quest for Immortality

Up until now this chapter has focused on implants that are attempts at “orthopaedic replacements”,144 corrective in nature, required to repair a function that is either lying dormant or has failed altogether. Implants of the future however, will attempt to add new “functionality” to native human capabilities, either through extensions or additions. Globally acclaimed scientists have pondered on the ultimate 142 See also LoBaido (2001, part 2, p. 1). “Researchers have wired the brains of monkeys to control robotic arms- a feat that could one day allow paralysed people to move artificial arms and legs merely by thinking” (Dominguez 2000, p. 1). 143 There are many obstacles, nevertheless, most researchers are not discouraged and are poised for eventual success. “However, more than 1000 connections between the brain and a bionic device would be needed to communicate the data necessary to produce a complex action like walking. Professor Craelius [biomedical engineer at Rutgers University in New Jersey], predicts this will soon be achievable, even if most of the computer processing is done outside the person’s body at first” (D. Smith 2002, p. 2). 144 See Rummler (2001, p. 1).

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trajectory of microchip implants. The literature is admittedly mixed in its viewpoints of what will and will not be possible in the future;145 but one thing history has taught is that if an idea has been conceived the probability that it will come into fruition is high; perhaps not tomorrow but eventually. One need only consider attempts to clone humans.146 Warwick’s Cyborg 2.0 project147 for instance, intended to prove that two persons with respective implants148 could communicate sensation and movement by thoughts alone (Dobson 2001, p. 1).149 The prediction is that terminals like telephones would eventually become obsolete if thought-to-thought communication150 became possible.151 Warwick describes this as “putting a plug into the nervous system (Dobson 2001, p. 1) to be able to allow thoughts to be transferred not only to another person but to the Internet and other mediums. While Warwick’s Cyborg 2.0152 may not have achieved its desired outcomes, it did show that a form of primitive Morse-code-style nervous-system-to-nervous-system communication is realisable (Green 2002, p. 3).153 Warwick is bound to keep trying to achieve his project goals given his philosophical

145

With reference to Warwick’s experiments at the Department of Cybernetics, University of Reading, journalist McCarthy (1999, p. 1) writes: “So do we really have the audacity to question a leading academic? No, of course not- but we simply can’t bring ourselves to believe that what he says is possible. It’s one thing to make predictions of what the future holds but quite another to set up heavily publicised experiments.” See also BBC (2002a, p. 2): “But his [Warwick’s] pronouncement have irritated some in the fields of robotics and artificial intelligence who feel his remarks are far too speculative.” 146 See Harris (1998) and Rantala and Milgram (1999). 147 “The signals from Warwick will be converted to radio waves and transmitted to a computer which will re-transmit them to the chip in Irena. Warwick believes that when he moves his own fingers, his brain will also be able to move Irena’s” (Dobson 2001, p. 1). 148 “The main part of the silicon chip consists of a battery, radio transmitter, receiving and processing unit. Pins connected to the chip will pierce the membrane surrounding Warwick’s nerve fibres” (Kellan 2000, p. 1). See also the description given by BBC (2002a, p. 1): “[a] silicon square about three millimetres wide was inserted just above the professor’s left hand and its 100 electrodes, each as thin as a hair, connected to the median nerve… Wires from the square come out of the forearm and are being linked to a transmitter/ receiver so nerve messages can be radioed to a computer.” 149 See Pearson (2000, pp. 1-2) for the future of relationships. 150 Scannell (1996) wrote that IBM “…demonstrated technology that uses the natural salinity in the human body as a conductor to send and receive data electronically… IBM showed a prototype transmitter called the Personal Area Network (PAN). About the size of a deck of cards, it has an embedded microchip along with a slightly larger receiving device… The present prototype allows data to be sent between as many as four bodies that touch each other… It could be used to exchange data between personal information and communications devices carried by users, such as cellular phones, pagers, personal digital assistants, and smart cards, which could constitute a sort of LAN that most users wear physically.” 151 See http://www2.cyber.rdg.ac.uk/kevinwarwick/FAQ.html (2003). 152 Kevin Warwick “…plans to have a chip implanted in his arm that will transmit signals from his nervous system to a computer. By relaying signals back to his nerves, he hopes to see whether the same movements, sensations or even emotions can be evoked… His latest plan was aimed at provoking debate about the risks and benefits of computer-enhancement of healthy humans. A more practical aim of the research is to help disabled people” (D. Smith 2002, p. 1). 153 See also Kellan (2000, p. 1). 286

The Auto-ID Trajectory: Converging Disciplines

perspective. And if Warwick does not succeed, he will have at least left behind a legacy and enough stimuli for someone else to succeed in his place, even if, as Berry (1996) says, the prediction will come true 500 years from now, ultimately it is inevitable that it will happen. 8.4.1. Towards Electrophoresis154 The predictions that are being made today can be traced back to the rather crude elucidations of the 1950s and 1960s. The only difference between the pronouncements of today and yester-year is that today scientists have the means to describe the finer details because of the technological advancements that have taken place since. Compare Ellul (1964) with Kaku (1998) and Warwick (2002, 2003) for instance in the following extracts: Knowledge will be accumulated in “electronic banks” and transmitted directly to the human nervous system by means of coded electronic messages. There will no longer be any need of reading or learning mountains of useless information; everything will be received and registered according to the needs of the moment. There will be no need of attention or effort. What is needed will pass directly from the machine to the brain without going through consciousness… (Ellul 1964, p. 432). Is it possible to interface directly with the brain, to harness its fantastic capability? Scientists are proceeding to explore this possibility with remarkable speed. The first step in attempting to exploit the human brain is to show that individual neurons can grow and thrive on silicon chips. Then the next step would be to connect silicon chips directly to a living neuron inside an animal, such as a worm. One then has to show that human neurons can be connected to a silicon chip. Last… in order to interface directly with the brain, scientists would have to decode millions of neurons which make up our spinal cord (Kaku 1998, p. 112). On the 14th of March 2002 a one hundred electrode array was surgically implanted into the median nerve fibres of the left arm of Professor Kevin Warwick. The operation was carried out at Radcliffe Infirmary, Oxford, by a medical team headed by neurosurgeons Amjad Shad and Peter Teddy. The procedure, which took a little over two hours, involved inserting a guiding tube into a two inch incision made above the wrist, inserting the microelectrode array into this tube and firing it into the median nerve fibres below the elbow joint (Warwick).155 In particular extra memory and processing capabilities could be a possibility. A person’s brain could be directly linked to a computer network (Warwick).156

In essence, Ellul, Kaku and Warwick are pointing to a path which seems to have taken root of its own accord. They are all saying the same thing, except what one can observe 154 155

See footnote 50 that pertains to the definition of “electrophorus” and “electrophoresis”. http://www.rdg.ac.uk/KevinWarwick/html/project_cyborg_2_0.html (2002).

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is a continual refinement of thought from ‘this is probably what will happen’ (Ellul), to ‘this is how you might go about it’ (Kaku), to ‘this is how the experiment was implemented’ (Warwick).157 8.4.1.1. The Soul Catcher Chip The Soul Catcher chip was conceived by Peter Cochrane about the same time his father died (Coughlin 2000, p. 1).158 At the time, P. Cochrane led a R&D staff of 660 biologists, engineers and physicists at British Telecom, working on futuristic technologies (Pickering 1999, p. 1). This was the perfect platform in which to launch his ideas to the world. The idea of Soul Catcher was all about the preservation of a human, way beyond the point of physical debilitation.159 Cochrane and fellow Extropians160 believe that there is a way to live forever on Earth. Warwick insists he is “engaged in a noble mission: to save humankind” (C. Jones 2000, p. 1). US Navy Commander Shaun Jones, manager of advanced biotech research programs for DARPA was quoted as saying: “[o]ur generation may be the last to have to accept death as inevitable” (Stephan n.d., p.1). And Dr. Chris Winter of British Telecom who leads an AI team of eight scientists at Martlesham Health Laboratories near Ipswich is even more adamant that “[t]his is the end of death.” Winter predicts that by 2030: 156

See http://www2.cyber.rdg.ac.uk/kevinwarwick/FAQ.html (2003). It is worthwhile consulting other predictive ideas or studies on the same theme: Mumford (1934, 1961); M. Shelley (Frankenstein); Asimov (1950); Turing (1950); Ellul (1964); McLuhan (1964); the JCR1960 (Man-Computer Symbiosis); Toffler (1980, 1981); Minsky (1985); Moravec (1988, 1999); Mark Weiser (1991, 1993); Dery (1994); Negroponte (1995); Gates (1995); Allenby (1996); Mazlish, Barlow, N. Stenger, M. Benedikt, Licklider, (cited in Slouka 1996); Gershenfeld (1999); Kurzweil (1999); Johnscher (1999), Cochrane (1999). See also Innis, Wiener, S. Hawking, Stelarc and Burroughs. 158 See also Cochrane (1999, pp. 3-4). Cochrane believes that the death of people like Albert Einstein and Richard Feynman was a terrible loss to humanity that could have been avoided. With reference to these great minds he says: “[t]heir only echo is a book” (Pickering 1999, p. 2). 159 “The key point is: we occupy that space between our ears- that is where we live. Our carcass serves only as a transport and life-support mechanism; just a vehicle needing maintenance and repair. Who cares if the spare parts are manufactured?” (Cochrane 1999, p. 2). See also Miriam English who told I. Walker (2001, p. 12) in an interview: “[n]ot so much to leave my body, I like my body, but it’s going to die, and it’s not a choice really I have. If I want to continue, and I want desperately to see what happens in another 100 years, and another 1000 years… I need to duplicate my brain in order to do that.” 160 “There are some people though who are finding it difficult waiting for the day when we can trade in what they call our “meat wet bodies” for something more durable, more updatable, when we can upload our minds into a computer to be backed up for all eternity… The most passionate among them call themselves Extropians. Most of them live in California, their passions are life extension, body sculpting, cryonics, smart drinks, funny handshakes, and a new philosophy they call “transhumanism.” Mostly it calls for boundaryless optimism about the future” (Walker, I. 2001, p. 8). See the Extropy Institute web site http://www.extropy.org (2001). Among the most famous Extropians are Max More (1997, 2001), Nick Bostrom (1998a, 1998b. 2001), Alexander Chislenko (1997), Robin Hanson, Hans Moravec, 157

288

The Auto-ID Trajectory: Converging Disciplines …it would be possible to relive other people’s lives by playing back their experiences on a computer. “By combining this information with a record of the person’s genes, we could recreate a person physically, emotionally and spiritually… It would be possible to imbue a new-born baby with a lifetime’s experiences by giving him or her the Soul Catcher chip of a dead person,” Dr. Winter said. The proposal to digitise existence is based on a solid calculation of how much data the brain copes with over a lifetime… Over an eighty year life, we process 1- terabyte of data (Uhlig 2001).161

The Soul Catcher chip to be implanted in the brain, will act as an access point to the external world (Grossman 1998 p. 1).162 Consider being able to download the mind onto computer hardware and then creating a global nervous system via wireless Internet (Fixmer 1998, p. 2).163 By 2050 Cochrane has predicted that downloading thoughts and emotions will be commonplace (LoBaido 2001, part 2, p. 1). He imagines a world where chip implants are as commonplace as mobile phones (McGrath 2001, p. 1). The chip would also complement human memory. Billinghurst and Starner (1999, p. 64) predict “that artificial intelligence will augment human intelligence to make information management as natural as any other physiological function, freeing human intellect to focus on creative rather than computational function.” For a futuristic scenario of an organic-based Soul Catcher chip to be implanted in the brain see table 8.1. Table 8.1 Brain Implants Futuristic Scenario164

Please see print copy for Table 8.1

Source: See http://www.futurefantastic.net/exhibits/implants/implants.htm (2001).

Natasha Vita More and Marvin Minsky. See also the World Transhumanist Association at http://www.transhumanism.com (2001). 161 http://www.xontek.com/Advanced_Technology/Bio-chips_Implants/The_End_of_Death (2001). Compare this estimate with the virtual-rat project which has faces numerous technical challenges in the collection of data coming in at 2.3 megabytes per second, per channel- “enough to max out a multigig hard disk in one afternoon. If you were using the same technology to record input from every neuron in a human brain you’d get 150 million Gbytes of data per minute- enough to fill a 194-mile-high stack of CD-ROMs in 60 seconds.” Stewart (2000, p. 2) 162 Couple the microchip with the biological and a whole new world is discovered (Brooks 2001, p. 6). 163 Consider the notion of WPANs (Wireless Personal Area Network) and how they fit into the Soul Catcher concept (Gorlick 1999, p. 114). “The proliferation of mobile computing devices including laptops, personal digital assistants (PDAs), and wearable computers has created a demand for wireless personal area networks (WPANs)” (Zimmerman 1999, p. 1). 164 See also the Centre for the Study of Technology and Society (TESOC), archived articles for innovation (2001) at http://www.tesoc.org/innovate/innovatearchive.htm (2001). 289

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8.5.

The Evolutionary Paradigm

You could be forgiven for thinking that maybe all this talk of brain implants belongs to science fiction but the evidence is there that it is certainly not science fiction. When well-known universities in North America and Europe fund brain implant projects and big companies like British Telecom and Nortel Networks support ideas like the Soul Catcher chip and sponsor cyborg experiments, and government departments like DARPA165 and NASA discuss future possibilities openly, we can be assured that this is not science fiction but increments of science fact.166 McGrath (2001, p. 1) alludes to the German poet Rainer Maria Rilke who makes the observation that the “future enters into us long before it happens”. The future is entering us. We eat genetically modified food. We submit to implanted devices that go well beyond the familiar heart pacemaker. We tinker with human tissue, developing artificial bone and skin for transplantation. We are on the verge of “smart” prosthetics, such as retinal implants that restore vision in damaged eyes. Such devices will ultimately be networked, allowing, say, a subcutaneous chip to transmit a person’s entire medical history to a physician far away… Rodney Brooks, the director of the Artificial Intelligence Laboratory at the Massachusetts Institute of Technology, goes even further. Over time, he says, “we will become our machines” (McGrath 2001, p. 1).

With reference to Kurzweil’s prediction of humans merging with robots,167 Danny Hillis predicts that the change would happen so gradually that we would sooner or later get use to it as if it had been there all along (Joy 2000, p. 3).168 Steve Mann (1997d, p. 31) uses an excellent analogy to express this: “Someday, when we’ve become accustomed to clothing-based computing, we will no doubt feel naked, confused, and lost without a computer screen hovering in front of our eyes to guide us”, just like we

165

See http://www.sciencedaily.com/print/2002/08/020820071329.htm (2002). “It is in the realm of reality. It is not science fiction any more,” said Duke University researcher Miguel Nicolelis” (Dominguez 2000, p. 1). “It’s already science fact, not science fiction”, said Professor Albert Pisano at the University of California Berkeley” (Swissler 2000, p. 2). In contrast see Hoffman et al. (2001, p. 76): “It’s scary to have a major film premised on your profession, your love… AI lets a new crowd squirm in the glory of misrepresentation. It’s not fun, especially when one’s field suffers from waves of innovation-hype- backlash.” Innovation-hype it may be but that does not necessarily make it altogether impossible even if we disagree with the ultimate direction; rather it is one path of many that AI may follow. 167 Contrast Kurzweil’s prediction with Kosko (2001, p. 1): “[t]he question is not whether robots will replace humans but whether chips will replace brains.” 168 In describing how implants are currently being used, Hall (2001, p. 3) points out that it is mostly for patients for whom there is no other alternative, i.e., as a last resort. But this idea is evolving to cater for those who wish to also extend their functions. “I equate it to where heart pacemakers were in the 1950s. Back then, you would tell someone, ‘I’m having a pacemaker put in,’ and people would go, ‘What’s that?’ Now everyone knows what a heart pacemaker is. I think that it will be a similar situation for brain pacemakers in 10 or 20 years.” 166

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would feel naked without conventional clothes today. It is in the same light that Warwick remarked about his Cyborg 1.0 implant, “I don’t see it as a separate thing… It’s like an arm or a leg” (Witt 1999, p. 2). Bartholomew (2000, p. 1) has pointed out this type of evolutionary paradigm169 in a simplistic yet nevertheless effective manner: “PalmPilots. Windows CE. Car phones. Cell phones. Armband computers for warehouse management. Bar-code readers. Pagers. Geophysical positioning devices. Where will it all end?” His compelling question “where will it all end?” is rather rhetorical. Science believes there is no end. To Bartholomew’s list we could add: RF/ID transponders. VeriChip ID. Cochlear implants. Retina implants. Brain implants. Soul chips… the list can go on and on, bound only by the limits of the imagination. “I think it’s one more step in the evolution of man and technology170… There are endless possibilities for this,” says fourteen year old Derek Jacobs who was one of the first to be implanted with the VeriChip (Scheeres 2002b, p. 2). No doubt the teenager is correct in his analysis. But what kind of evolution is Derek really talking about? That which has its foundations in Darwinian theory perhaps? Darwin’s natural evolution theory is based on the premise of slow and steady change for better adapted creations.171 But certainly what is happening today cannot be considered “slow and steady change”. Rather as Kurzweil observes: “[w]e are now entering that explosive part of the technological evolution curve...” (Kurzweil n.d., p. 2).172 Kurzweil’s Law of Accelerating Returns173 states that “[t]he evolution of biological life and the evolution of technology have both followed the same pattern: they take a long time to get going, but advances build on one another and

169

For the evolution of computer systems see Sadiku and Obiozor (1996, p. 1472-1474). See also http://www.miami.com/mld/miami/news/2654727.html (2002). 171 “Gould and Eldredge observed that the fossil record doesn’t support a belief in steady evolution. Instead, they saw long periods of equilibrium with little activity, separated by short bursts of evolution” (Singh 2001, p. 6). 172 See http://www.sciam.com/specialissues/0999bionic/0999kurzweil.html (2003). 173 “Why do we see exponential progress occurring in biological life, technology and computing? It is the result of a fundamental attribute of any evolutionary process, a phenomenon I call the Law of Accelerating Returns. As order exponentially increases (which reflects the essence of evolution), the time between salient events grows shorter. Advancement speeds up. The returns- the valuable products of the processaccelerate at a nonlinear rate” (Kurzweil n.d., p. 3). See http://www.sciam.com/specialissues/0999bionic/0999kurzweil.html (2003). 170

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progress erupts at an increasingly furious pace.”174 Fixmer (1998, p. 1) described this plight as humanity’s attempt to accelerate its own evolution (see exhibit 8.11).175 This paradigm shift is explained well by Steve Mann (1998): An important observation to make, with regards to the continued innovation, early adopters (military, government, large multinational corporations), and finally ubiquity, is the time scale. While it took hundreds of years for the stirrup to be adopted by the masses, and tens of years for guns to be adopted by the masses, the spread of computer technology must be measured in computer years… this decreasing of the time scale over which technology diffuses through society will have decreased to zero, resulting in a new kind of paradigm shift that society has not yet experienced.176

Please see print copy for Exhibit 8.11

Exhibit 8.11

8.6.

The Human Electrophorus

Conclusion In conclusion it has been shown that auto-ID devices have a trajectory that is

somewhat different from the intent of the inventors. Initially attached to non-living things and later adopted to be carried by humans, it now seems inevitable that the devices will become one with humans. Converging disciplines are making the realm of the “impossible”, “possible”. For the first time, the attribute of mobility is being linked to automatic identification and wearable computing components, and being applied to completely non-traditional areas of electronic commerce. Of course some resistance will be experienced initially but as society continues to change becoming more and more techno-centric, it will decide what auto-ID will be used for, even if it has little to do

174

Cochrane uses the example of the electronic calculator to describe this phenomenon. “Once electronic calculators arrived, it was all over- logarithms and slide rules went the same way as the mechanical typewriter- only faster. What had lasted 350 years was wiped out in three” (Cochrane 1999, p. 1). 175 Cochrane believes “the human brain is reaching its evolutionary peak. Computing power increases a thousandfold each decade. By comparison human brains have remained largely unchanged for 50,000 years…” (Pickering 1999, p. 2). See http://www.salon.com/tech/feature/1999/10/20/cyborg/index1.html (1999). 176 See http://wearcam.org/icwckeynote.html (1998). 292

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with what it was originally designed (Branwyn 1993, p. 6). Society continues to be increasingly dependent on the promise of technology and it is difficult to see who and how many will resist the ultimate hope of “living for ever”. It is important to note here that the accomplishment is not in the rise of the computer/information age, it is as Grier (2000, p. 83) puts it, in “the vision, it has maintained” (Grier 2000, p. 83). When the ENIAC was publicly announced in 1946, no one could predict its ultimate impact. The founder of IBM forecasted a worldwide market of five computers (Coughlin 2000, p. 1)! The same could be said for brain implants today but we should at least pay some good respect to the lessons of history. Perhaps what we really need to do is start afresh considering the implications that such developments may have without discounting them outright as science fiction (see chapter nine). One reason this chapter depended so heavily on quoting current research was to actually dispel the myth that this type of dialogue is premature. It obviously is not. The force of the momentum is such that continual attempts will be made to go beyond that which has been achieved. It is not enough to begin discussing possible implications when the technology reaches the early adoption stage- by then the technology would have taken root- as it seems to have done already to some degree. Ultimately humanity will have a choice, and as Warwick has openly stated, hopefully it will be an individual choice- for those who would like to remain mere humans and those who would like to continue to evolve.177

177

http://www2.cyber.rdg.ac.uk/kevinwarwick/FAQ.html. This was the focus of an ethnographic study conducted by Sheridan et al. (2000, pp. 195-196): “Our goal in this investigation was to identify current themes or aspects of social interactions among non-cyborgs and cyborgs.” 293

9. 9.1.

Evolving Trends and Patterns

Major Findings

The investigation has uncovered a number of significant evolving trends and patterns related to auto-ID innovation. First, that auto-ID devices independent of type, share a similar generic innovation process. Their journey from invention to diffusion is one that traverses like themes involving like stakeholders and infrastructures. This stands as the foundation premise for an auto-ID technology system (TS). It is therefore correct to refer to an “auto-ID industry” which collectively espouses auto-ID techniques from bar codes to biometrics. Second, that the selection environment for auto-ID is one where alternate or substitute technologies are available, specific to an application. A customer interested in card technologies for instance, can choose from a range of autoID card types as is the case with tag devices. Third, that over time a pattern of migration, integration and convergence has occurred between devices in the auto-ID industry- these trends are apparent in some devices more than others. When considered together these interactive forces point to a common auto-ID trajectory. Fourth, that despite the creative symbiosis taking place, the individual auto-ID technologies will continue to co-exist serving a variety of needs. The hypothesis that one super-device will render all other devices obsolete is highly unlikely given the diverse requirements of customers and their applications throughout the world. Fifth, the pervasiveness of auto-ID has acted to result in changes to mass market applications that have continued to evolve since the 1970s especially. Sixth, that the ultimate trajectory of auto-ID is electrophoresis. In the future it is likely that humans will be bearers of automatic technology for a variety of applications such as drug delivery and emergency services. Seventh, that it is possible, if not probable, that in our lifetime, neural implants will be used to enhance human functionality. 9.1.1. The Auto-ID Industry as a Technology System (TS) The auto-ID industry is a technology system (TS) that is bringing diverse stakeholders together to innovate by enabling interaction and sharing resources. Whether it is in the establishment of new research centres that embrace multiple auto-ID

295

Evolving Trends and Patterns

techniques, the use of common network infrastructure, system integrators that are increasingly conversant with generic auto-ID topologies or the formation of associations that encourage joint collaboration, the notion of an auto-ID industry is beginning to prevail. Previous studies have mainly focused on one auto-ID technology and to this end it has been difficult to identify patterns or trends common to all techniques. Rather than seeing auto-ID as one larger structure embodying numerous technologies, usually one auto-ID device was highlighted by authors at the neglect of others. But auto-ID is more than just bar code or RF/ID. The case studies in this thesis present an unbiased and balanced view of numerous technologies from the innovation perspective, and how each plays an important role in the overall success of the auto-ID TS.1 9.1.1.

Auto-ID Technologies Share in the Same Trajectory

Upon their introduction, individual auto-ID technologies underwent a process of continual refinement until a dominant design materialised in each case. Once a dominant design emerged, widespread diffusion was experienced by each of the technologies, initially through niche industry applications and later through respective mass market applications. Diagram 9.1 shows the traditional way that auto-ID innovation was understood using purely separate life cycle curves to chart the path of each technology. Each curve shows the stages of evolution for each technology: embryonic, growth, maturity and aging. The pattern resembles a number of waves, depicting that each technology was a likely successor to the one before it. However, it is this type of diagram that has acted to mislead. This does not describe auto-ID evolution. Please see print copy for Diagram 9.1

Diagram 9.1

Traditional Understanding of Auto-ID- Separate Life Cycle Curves

1

For an understanding of sectoral studies in technological change see Rosenberg (1994, part III, pp. 159250). In chapter 11 (pp. 203-232), Rosenberg describes “telecommunications” as “complex, uncertain, and path dependent”. Consider the “auto-ID industry” as a subset “technology system” within the information technology sectoral innovation system (SIS). 296

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Auto-ID technologies are much more complex and do not fit the traditional life cycle curve. Roughly a five to ten year period has separated the diffusion of the auto-ID techniques studied in this thesis, starting with bar code and ending with RF/ID transponder implants. Diagram 9.2 shows that during each successive window (i.e. the period of time between one technology’s introduction and the next), companies considered new opportunities that would leverage upon their existing knowledge. Apart from incremental innovation that continued on frontline products to match market requirements, cross-pollenisation began to occur between companies specialising in different auto-ID techniques. For instance, bar codes appeared on magnetic-stripe cards, and biometrics were used in smart cards for added security, among many other examples. This recombination of existing knowledge is what sparked collaborative relationships and began a whole new set of interactions between various players and stakeholders- the auto-ID TS was born. Thus diagram 9.2 below shows overlapping life cycle curves for individual auto-ID technologies (in dotted lines) but also indicates an auto-ID industry life cycle curve that takes into consideration integration and convergence trends. It shows how the future of auto-ID technologies is closely allied. There are so many integrated solutions between the technologies depicted in diagram 9.2, that it does not make sense to think of separate life cycle curves but a more allencompassing auto-ID industry life cycle curve.

Diagram 9.2

Life Cycle Curve of the Evolution of the Auto-ID Industry

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9.1.2. The Auto-ID Innovation Process The dimensions of innovation investigated in chapter 6 uncovered recurring themes that form the building blocks of an auto-ID innovation process. The process is not linear and does not necessarily require that some steps happen before others can take place.2 However, for the sake of explaining my findings in discernable order this section will try to stipulate the generic steps that occur in the auto-ID innovation process (see table 9.1). This is another important contribution of the thesis that could aid new startup auto-ID companies or alternatively provide a path forward for existing companies. Table 9.1 The Auto-ID Innovation Process Generic Steps that Occur in the Auto-ID Innovation Process 1. A new idea for an auto-ID technology is conceived. A brief description of the idea is recorded. 2. The inventor, usually an employee of a manufacturing firm, develops a prototype from his/her discoveries. Meanwhile he/she searches for any existing patents that are related to the idea and have already been issued. 3. The manufacturer attempts to protect their new developments by filing for a national or international patent. 4. A patent is accepted and a patent number issued to the manufacturer. 5. The manufacturer promotes the auto-ID technology as a solution to a business problem and usually concentrates its efforts in targeting only one or two market segments specific to an industry. 6. Academic and government research grants are geared towards supporting the new technology. 7. Initial trials are conducted by the manufacturer and other affiliates, usually in closed systems such as university campuses or the military. 8. Service providers or customers purchase the auto-ID technology because it is a suitable solution for their application(s) needs. 9. By this stage resistance to the technology may have been felt internal to the business/ vertical industry; or end-user acceptance may have been overestimated. Relevant stakeholders meet to work through initial teething problems. 10. The media usually get involved at this point highlighting how the new technology may be used in the future. 11. Meanwhile, other new or existing manufacturing companies perhaps specialising in complementary technologies continually scour through registered patents and industry trade publications attempting to develop similar or add-on products. 12. Potential service providers and customers are confronted with several manufacturers who can produce very similar auto-ID technology components. Choosing between manufacturers becomes difficult but is based on differentiation. Proprietary standards are still being used by companies. 13. Physical infrastructure to support the technology quickly begins to permeate. This most likely includes physical networks, terminals such as browsers, kiosks and ATMs and other equipment. 14. New associations, forums, conferences, industry magazines come into existence to support the growth of the technology. A knowledge infrastructure begins to form. 15. By this stage the technology has either impacted consumers or business employees and advocate groups are in full swing on either side of the debate. 16. Auto-ID technology providers launch marketing campaigns targeted not only at customers but at endusers also. They attempt to clarify any misconceptions that may have eventuated during the process of diffusion. 17. As the market continues to grow for the new technology, the small number of manufacturers, realise that standards are vital if the technology is going to succeed being implemented regionally or nationally or even internationally. Large customers like the government, who usually have a vested interest in security devices, try to influence this process. 2 For a generic overview of the generation of innovations and the innovation-decision process see chapters four and five of Rogers (1995, pp. 131-201).

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Evolving Trends and Patterns Generic Steps that Occur in the Auto-ID Innovation Process 18. All suppliers are “forced” to adhere to the one standard which differs to most (if not all) current proprietary solutions. Standards bodies like ISO are usually involved in this process, which takes some years to officially complete. Industry-specific standards for particular applications like banking or telecommunications are also devised. 19. There is a growth in firms and skill sets in the industry. However, there are more customers, and technology providers have a relative bigger piece of the pie. Firms begin to collaborate with one another to promote the technology through the formation of alliances and consortiums. 20. Customers are able to purchase from any number of suppliers and know that the products are interoperable, even if some custom systems integration is required. 21. Specifications are written for particular industry applications. 22. Regulatory and legislative issues arise which require urgent attention. These are often difficult to solve because they are usually “after-the-fact”. By this time there are usually several cases and precedence on particular situations. Some laws are amended, or newly introduced but mostly at the local and state level. This is a long-winded process as most laws were enacted when computer technology was not pervasive. Substitute Acts and Statutes attempt to protect end-users from such things as breaches in privacy or liability. 23. Social issues receive widespread media attention lead by advocacy groups who may hold philosophical, cultural or religious objections to the technology’s permeance to everyday applications. There are also the economic repercussions in job losses etc. 24. Incremental technical improvements are made to the product over time. The auto-ID technology gets smaller, increases in capacity and processing power, has more security and is more reliable in an open systems environment. 25. The technology is most likely involved in a process of migration, integration or convergence. Creative symbiosis is likely to take place between other auto-ID technologies thus starting the whole innovation process again.

Of all the dimensions essential to a set of technologies, standards and specifications are perhaps the most critical. Yet a certain level of product maturation needs to occur in an industry before proprietary standards are more an impediment than an advantage. Among the other important dimensions to focus on are those related to end-user resistance, and the education of stakeholders about the facts and myths related to a given auto-ID device. All too often sweeping assumptions are made especially on behalf of the end-user by manufacturers, service providers and customers. Studies should be conducted to highlight the key areas that may inhibit widespread diffusion of a technology. If the obstacles can be addressed then a device continues along its path, otherwise a discontinuity takes place and a new prototype is developed. The innovation process is complex. Table 9.1 attempts to show the dynamism of the process but does not give any indication of the length of time3 that could be spent in each event. Filing

3

“Timing” is of great significance in the process of auto-ID innovation. For instance, the widespread use of bar code technology could delay the introduction of RF/ID tags and transponders. Similarly the widespread use of smart cards in France for instance, may mean that the “substitute” technologies of magnetic-stripe and bar code cards never enjoy widespread use in that country, even though smart cards are battling to break into the U.S. market. See Rosenberg et al. (1994, pp. 68-72) regarding timing and how complementary, supplementary and substitute technologies affect one another’s adoption. See also (Yoffie et al. 1997, p. 38). 299

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for a patent and having that application accepted, could take several years, dependent on the nature of the patent and whether or not the idea/prototype is considered entirely new. Therefore individual steps that have been highlighted in table 9.1 can be iterative in themselves. There are also continual interactions between various stakeholders some of which are pictured in exhibit 9.1 below. What is increasingly apparent is that the rate of change in the industry is gathering pace. Back in the 1960s market cycles tended to be about ten years in the process, now stakeholders are not afforded that luxury, aiming for shorter innovation cycles like twelve to eighteen months. Please see print copy for Exhibit 9.1

Exhibit 9.1 Stakeholders in the Auto-ID Innovation Process

9.1.3. The Auto-ID Selection Environment The embedded case studies in chapter seven acted to show the diverse applicability of auto-ID technologies in their many shapes and forms. What came through these cases is just how pervasive4 the technologies have become, important in almost every facet of life, independent of jurisdiction.5 Comparisons between technologies applied to the same application also showed that some techniques were more suitable in particular situations. This however, does not mean that all service providers or customers opt for one type of solution in a given scenario. It is entirely a

4

“To say the infiltration of machines into our lives is becoming pervasive is like saying the world is round” (McGinity 2000, pp. 17f). 5 This has been precisely and clearly stated by Kripalani, “[a]s we look across the globe, we perceive a dynamically changing global communications environment, fuelled by changes in the way we live, changes in regulatory policies, new developments in standards and rapid technological improvements. The blending of these factors is opening up new opportunities in many heretofore unaddressed markets” (Kripalani 1994, p. 25). 300

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decision that is based on factors that go beyond the need for ‘the most secure device’ or the one device that is considered by most to be the “optimum” choice or that ‘which is the most cost-effective’. A selection environment is just that, an environment from which people can “make a selection” based on a number of criteria that are personalised to a specific problem in a specific market. In all the case studies that were conducted, it was shown that auto-ID devices can be used interchangeably with one another in any given scenario. For instance, auto-ID card solutions were in abundance, as were combinations of devices on the same card (i.e. hybrid cards). Numerous auto-ID vendor solutions were also presented, showing the subtlety of differentiation between supplier products. The market for auto-ID continues to grow replacing manual ways of performing transactions. Traditionally it has been business-to-business (B2B) and business-to-consumer (B2C) transactions that have made use of auto-ID, but more recently, governments worldwide are beginning to realise the vast benefits auto-ID have over legacy methods in servicing an entire population (i.e. G2C). Proposals for national ID schemes using multiapplication smart cards are now commonplace.6 Some stakeholders are predicting the elimination of several government-centric cards for one “everything” card7 that is focused on social security applications and has other peripheral functions (see exhibit 9.2 on the following page). Commercial applications are set to remain separate to national ID cards however. It also looks inevitable that the banking sector will undergo major changes in the provision of services as telecommunication providers attempt to enter the same market space. It does seem probable that numerous commercial organisations will begin to form alliances with one another so that they are able to build super-brand images using smart transaction cards.8 Multi-purpose smart card systems, for instance, are becoming widespread, especially at the campus level. Affiliations between major players are already starting to surface as the potential returns get higher and higher (Michael 2003, pp. 135-152).

6

See Council of Europe (1983). This ‘everything card’ as it is termed by Keenan et al. (1997, p. 31) has the potential to literally change the world, for better or for worse. Of the four most important functions that the card will perform for consumers are: “(1) to make payments, (2) to gain rewards, (3) to gain access to an electronic network or a physical structure, and (4) to store and manage information” (Keenan et al. 1997, p. 23). 8 Shoales (1996, p. 72) asks the question: “[a]nd when everything in our lives- insurance, transportation, passport- is reduced to one card, what happens if it gets lost or stolen? Do we disappear too?...” 7

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Please see print copy for Exhibit 9.2

Exhibit 9.2 Government Applications United by Integrated Auto-ID Solutions

9.1.4. Auto-ID Device Migration, Integration and Convergence Patterns of migration and integration were prevalent throughout the case studies (see table 9.2 on the following page). Dependent on the application in question, some customers and service providers migrated from one auto-ID device to another, seeking better security, greater functionality, a reduction in fraud and counterfeit, even a smaller device that was more convenient for the end-user to carry. Convergence was also identified but predominantly at the application-level (ch. 7) rather than at the device level (ch. 5). For instance, the ability to have more than one application on a smart card is quite different to ‘true’ technological convergence, where one device becomes an intrinsic part of another. Integration is also all too often confused with convergence, although both can be considered creative symbiosis (i.e. recombinations). Integration is the ability to use two or more auto-ID techniques on the same device. Integration has proven quite popular as legacy card technology systems have changed with the timesfrom embossed numbers, to bar codes, to magnetic-stripe and microprocessor functionality all on the same card device. Many predictions have been made about this or that auto-ID technology becoming obsolete,9 however, one need only to look at the widespread diffusion of devices in the market today to consider this an unlikelihood (for the conceivable future anyway). Bar codes will for a long time yet serve their purpose,

9

For instance, some have predicted that card technologies are ultimately going to be replaced by biometric techniques that do not require the end-user to carry any device whatsoever. But others disagree vehemently “[c]ards are not going to go away, and one thing that should be dispelled is that biometrics is a replacement for cards. It’s an adjunct to the card technology” (http://www.nextstep.com/stepback/cycle10/130/biometrix.html, p. 3). 302

Evolving Trends and Patterns

albeit in developing countries which cannot afford RF/ID devices; and magnetic-stripe cards will maintain their niche, perhaps not in banking but in other applications such as electronic ticketing. In addition, there are continual improvements being made to all auto-ID devices, of course to differing frequencies, but nevertheless the breakthroughs enable certain weaknesses in each technology to be overcome. The diversity in auto-ID techniques also allow for an end-to-end capability such as in the case of military applications. Table 9.2 Auto-ID Technology Migration, Integration and Convergence Trends

Please see print copy for Table 9.2

This table shows the auto-ID trends towards migration (M), integration (I) and convergence (C) that were discovered through the case studies conducted. As can be seen there are more incidences of migration and integration than there are of convergence. The asterisk (*) implies not applicable.

9.1.4.1. Migration from Magnetic-stripe to Smart Cards Joseph Sheppard (1997, p. 16f) CEO of Xico Incorporated, a magnetic-stripe equipment manufacturing company, summed up the situation well. In short, the smart card industry assertion 10 years ago that magnetic stripes were dead was premature by at least half a century. This is graphically illustrated by the cover of the October 1997 issue of Card Technology, which tracks the trends in both magstrip and smartcard technologies and applications... “While smart card makers tout their benefits, mag-stripe card usage continues to proliferate. Don’t expect that to change anytime soon.”

Murphy (1996, p. 80) also asserted that, “smart cards are the talk of the card manufacturing industry, but the magnetic stripe will be the bread and butter of card makers for the near term.” Yet, one cannot ignore the gravitational pull that is obviously occurring from magnetic-stripe to the chip card.10 “Visa, MasterCard and other players in the smart card business contend that an ‘evolution’ or a ‘migration’ to smart card technology is under way. The pace of that evolution, though, is anybody’s guess” (Nixon 1995, p. 22).11 The magnetic-stripe card was more of an enabler, a convenience card; something that would accustom people to a particular behavioural style. The smart 10 11

See Farrell (1996), “smart cards have earned their stripes”. For the evolution of smart cards see Zoreda and Otón (1994, p. 165). 303

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card is being heralded as the grand solution to personalisation, tailored to the specific needs of the individual. Hybrid cards may well end up facilitating the evolution and be phased out gradually as they are not required. Already the widespread use of magneticstripe has ensured that the size of smart cards must maintain the same ISO standard dimensions. Hybrid cards now have a physical location for microchips, magneticstripes, bar codes, embossed characters, holograms and photographs. Read/write equipment is even starting to become multi-technology capable (Hendry 1997, p. 45f). In 1987 Svigals (pp. 165-176) was undecided whether the pattern taking place was “magnetic stripe evolution or smart card migration”. Perhaps what can be said, in the case of magnetic stripe and smart card, is that the “migration” phase is part of a larger evolutionary process.12 What Svigals observed in the card technologies was equally applicable to tag technology over a decade later. Many ATM machines have already been upgraded to accept both magnetic-stripe and smart cards. Some smart cards have even been developed to emulate magnetic-stripe or bar code cards so that very costly card readers do not have to be entirely replaced, at least in the short term.13 This has posed a special challenge to card issuers who are attempting a seamless migration. McCrindle (1990, p. 72) stated: [e]xisting equipment, such as ATMs, are not going to be discarded overnight. A smart card must, therefore, be capable of being used in the current generation of machines as well as in smart card based equipment… the two types of technology must coexist.

Murphy (1996, p. 83) also agreed that “...cards will be issued for many years with both mag stripes and computer chips.” Jerome Svigals attributed this trend to a global evolution from cash to electronic currency but admitted he could not predict how long the evolution would take to complete (Nixon 1995, p. 27). What is of interest to note however, is that the longer the migration phase continues, the more it will become ingrained into applications.

12 It is incorrect to state that the magnetic-stripe card was evolving into a smart card because the two techniques were invented separately and require different physical components. 13 For instance, suppliers of card readers are now making their products capable of reading several different card types. Mobile Data Processing boast of their “all in one integrated system” DAT400 and DAT500 which can act as a bar code laser scanner, magnetic card reader, smart card reader, with a touch and pen screen and printer.

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9.1.4.2. Migration from Bar Codes to RF/ID Transponders RF/ID manufacturers are starting to make inroads into the bar code market. While some predict RF/ID will replace bar codes,14 it is more realistic to say (as has Phil Calderbank, general manager of Sensormatic’s RF/ID group) that RF/ID will have a market for high-cost items rather than low-cost items (Gurin 1998, p. 1).15 The trend is towards combining RF with EAS (electronic article surveillance), as have Sensormatic Electronics and Checkpoint Systems. Bar codes have poor readability rates in applications that are exposed to harsh environments whether it is indoors or outdoors. RF/ID can capitalise on this and other weaknesses, particularly where material handling and tracking of components is of the utmost importance. RF tags have many advantages over bar code. First, they can be placed anywhere and can store a lot of information, whereas the bar code is limited by its own label size. Second, RF/ID does not require LoS (line-of-sight) and cannot be erased by strong magnetic fields. Third, the systems have almost 100 per cent accuracy. Fourth, the tag is not affected by substances such as dirt or paint which may cover the tag from time to time. Fifth, tagged objects can be mobile, without the need to stop to be identified which speeds up the process significantly. And finally, non-metallic objects can come between the tag and the reader without interfering with the system (Automatic I.D. News 1998, p. 2). Marsh (1998, p. 2) believed that bar codes have played an incredible role in reaching widespread productivity benefits in industry but that there time is now coming to an end: “[t]he RF/ID tag to replace barcodes is about to arrive from a number of different suppliers who are all working towards this goal.”16 There are however, numerous counter arguments for why bar code will not be replaced altogether by RF/ID. For the time being at least, it seems impossible that every single bar coded item in existence today will have a RF/ID tag or transponder attached to it. 9.1.4.3. Integration- the Rise of Multi-Technology Cards It is difficult to say whether “integration” was a consequence of an attempt at “migration” in some applications areas or an independent phenomenon. Initially

14

See http://rapidttp.co.za/transponder/editori1.html (Marsh 1998, p. 2). “The mere mention of the term “radio frequency identification” causes a ripple through the Auto-ID industry. What was once seen as a ‘blue-sky’ technology now is viewed by many as a logical progression in automated tracking and identification applications” (Gurin 1998, p. 1). 16 See http://rapidttp.co.za/transponder/editoria.html (1998). 15

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integration of auto-ID techniques on the same device was born from the idea that each technique could serve its own function for different applications (this was particularly true of closed systems). In addition, as a consequence of migration patterns, multitechnology cards served as a way to transition from auto-ID legacy systems to future modes of operation. The requirement to include more than one technique on the card was a result of roll-out phases of the new technologies (i.e. different geographic regions transitioning at different times). New cardholders receive the latest cards while existing cardholders are transitioned prior to card expiration. This interim period usually requires hybrid cards. Hodgson (1995, p. 19) described this incidence of multi-technology cards as an evolutionary process. When multi-technology cards first came on the scene, many saw them as a potential solution to a sticky problem- how to eliminate the need for numerous cards or keys without going to a lot of expense to integrate whole systems. Beginning with dual technology, the cards then evolved to true multi-tech capabilities, incorporating functions such as library (bar code), time and attendance (magstrip) and photo ID. Now they are much more than just a temporary solution to a non-integrated system. Their evolution is just beginning, and will include not only new applications, but also new technology- specifically the smart card.

Multi-technology cards form a strong argument and present us with a compelling reason of why individual auto-ID techniques will continue to co-exist in the future. 9.1.4.4. Converging Auto-ID Technologies The convergence17 of auto-ID technologies is now starting to become evident at different levels such as standards, regulations, infrastructure and applications (see exhibit 9.3 on the following page).18 True convergence however at the auto-ID device

17

“Convergence is about the coming together of diverse technologies and capabilities” (Yoffie et al. 1997, p. 26). Conferences and exhibitions focused on “convergence” are being held all over the world. In Australia the “Convergence” conference in 2003 included Cards Australasia, Information Security World, Mobile Commerce World and Automatic Data Capture Association, all under the same roof during common dates. Once stakeholders from each of these associations would attend separate conferences, now it makes sense to have them coming together as they increasingly begin to rely on one another for application solutions.

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Please see print copy for Exhibit 9.3

Exhibit 9.3 Convergence at the Application Level using Smart Card Technology

level is not as common as it is often portrayed. It all depends on the definition one uses to describe what they mean by convergence.19 The definition that is most relevant to auto-ID is perhaps that offered by Greenstein and Khanna (1997, p. 203). In describing industry convergence they describe two primary kinds: “convergence in substitutes” and “convergence in complements.” The most authentic example in auto-ID of convergence in complements20 at the present is that between the contact smart card and RF/ID card capabilities (i.e. contactless). Smart cards once required to make contact with a reader, today a RF smart card can either be utilised by inserting it in a reader or by presenting it close to a RF field. Companies like AT&T and GEC have demonstrated smart cards which communicate using radio frequency signals (Monk 1998, pp. 40-41). The ability to store biometric templates on a bar code or magnetic-stripe is another example of convergence in complements. In the case of the bar code, the biometric replaces the

18

See Lindley (1997, pp. 90-91) who described technological convergence in smart cards at different levels, albeit cautiously. Lindley is respectful of the weighted meaning that “convergence” at the device level carries. 19 Compare this definition with Covell’s (2000) very broad definition of “digital convergence”. He stated (p. 49): “digital convergence is the merging of these improved computing capabilities, new digital multimedia technologies and content, and new digital communications technologies. This combination of computing power and functionality, digital networked interconnectedness, and multimedia capability enables new forms of human interaction, collaboration, and information sharing.” Convergence at a device level however is somewhat different to “digital” convergence which is all-encompassing. Covell (2000) spends the whole of his chapter seven discussing the latter (pp. 161-200). Baldwin et al. (1996, pp. 104-159) discuss technological convergence in the same context that Covell describes digital convergence (Yoffie et al. 1997, p. 4). 20 Swartz (1999, p. 21) also sees auto-ID technologies as being “complementary”. 307

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need for a unique ID number to be stored, with an ID derived from a fingerprint or other unique human characteristic.21 9.1.5. Towards a Model of Coexistence While recombinations and mutations of auto-ID technology are occurring in the form of integrated devices and those that have converged, it does not mean that existing markets for technologies suddenly disappear. Rather the integration and convergence should be seen as one more step in the evolution of the technology, not rendering all other devices obsolete, but simply meeting the requirements of a new problem.22 In this manner, coexistence can be put forward as a plausible model of the future.23 Exhibit 9.4 on the following page shows a whole range of multi-purpose readers used for auto-ID. Some of the readers specialise in magnetic-stripe and smart cards while others in biometrics and smart cards. Does a bank customer require better security on their ATM transaction cards? Then one can recommend a smart card solution with the added security of a stored biometric value. Does a lesser developed country (LDC) require a basic electronic ticketing system? Then recommend a magnetic-stripe solution. Do manufacturers want the ability to track their goods from destination A to destination B? Then recommend an RF/ID transponder solution. It is my prediction that independent of the auto-ID technology in question, there is or there will be a use for it, somewhere, some time, either now or in the near future. We cannot forget that economic and political conditions around the world are very different. When seventy-five percent of the world’s population is classified as living in LDCs or NICs and some fifty percent of the world’s population to be living in poverty, we cannot expect for ATMs equipped with biometric

21

In another example, see also Schneider and Efthymiou (1996) who discuss the PC Card standard, the PCMCIA (PC Memory Card Industry Association) interface and regular smart cards. See also Lindley (1997, pp. 42-46). 22 For instance, why are there so many different biometric technologies? Is it because the human body is made up of such a diverse number of unique characteristics or is because developers envisage the use of particular biometrics in particular circumstances? The latter seems the more appropriate response and the only plausible reason why so many different researchers would be painstakingly trying to optimise algorithms to meet commercial needs. 23 Swartz (1999, p. 21) highlights: “[n]ot long ago, I recall the heated debates about which technology was the best- which would bring the most benefits, prove to be the most reliable or the cheapest… I believe the “competitive” framework asked all the wrong questions and clouded a better understanding of how the technologies could exist side-by-side.” 308

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technology to suddenly appear in the middle of a starving population (where they are perhaps lucky to have one telephone per village). We have to be realistic about our predictions- and in so doing state that a framework of coexistence will prevail. Added to Please see print copy for Exhibit 9.4

Exhibit 9.4 Reader Equipment Points to Auto-ID Techniques Coexisting

this very important argument is the end-to-end nature of applications today. For example, you cannot use smart cards for everything and you cannot use bar codes for everything, effectively. Seideman (1997, p. 13), for instance, reported that the use of RF/ID, smart card and bar code systems “working in concert” during the US military deployment in Bosnia. Called Operation Joint Endeavour, the project uses technology elements from previous logistics systems to save distribution time and untold millions in supply costs. Individual items are bar coded and scanned into a database… information is loaded onto a smart card which is placed on the outside of each container… [and] loaded onto air pallets which are equipped with RF/ID tags…

And while some have a vision that every single non-living thing will eventually be “smart” or “intelligent” (e.g. the idea of the Electronic Product Code (EPC)),24 consumers will insist that some things remain “dumb”. Now having said that, it does not mean that some auto-ID technologies will not maintain a dominant position in specific vertical applications but this will not render all other devices obsolete.

24 According to Brock (2001, p. 5), EPC will aid the vision of a “smart world” where everything is active, components, assemblies and systems.

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9.2.

Minor Findings

9.2.1. The Suitability of the SI Framework in Studying Clusters of Technologies The systems of innovation (SI) framework applied in this study, has shown itself to be an advantageous model, useful in the pursuit of qualitative results when investigating a set of complex technologies. The framework grants the researcher the flexibility to choose which factors to include or to exclude. It also realises the importance of gathering multidisciplinary evidence so that a well-rounded holistic view is formed.25 This thesis has attempted to bring together a number of different disciplines. The framework thus allows the researcher to work at any unit of detail that is relevant to a particular study, without compromising on the richness of results obtained. Previously several types of socio-technical models had been chosen by researchers but most lacked the completeness that the SI model offered this auto-ID study. The approach taken here allowed for both an exploration of the innovation process and an investigation of its implications. The use of embedded case studies has also acted to make a methodological contribution to the field. Quantitative studies have long been considered to be more useful in the field of innovation/diffusion; this thesis however, has shown that qualitative studies do act to bring out important patterns and trends that would go largely unnoticed in numerical analyses. 9.2.2. The Requirement for Interaction Between Stakeholders Auto-ID innovation requires the interaction between numerous stakeholders (see exhibit 9.5 on the following page). While this thesis presents the firm (i.e. the

25

“Mobile computing is multidisciplinary in nature, it involves many issues in computer science and electrical engineering” (Gupta & Srimani 2000, p. S1C-6). “Because designers of wearable computers must consider social science issues and be willing to experiment with a variety of approaches, a

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Please see print copy for Exhibit 9.5

Exhibit 9.5 Some of the Auto-ID Stakeholders Consulted

manufacturer) as the central focal point of the auto-ID technology, service providers and customers are equally responsible for the success of a given product innovation (as was seen especially in chapter seven). The relationships between stakeholders are so meshed at times, that it seems difficult to single out particular recurring patterns of engagement. In some instances they are planned exchanges, in other instances they are ad-hoc. The complexity is derived from ad-hoc communications. The delineation between technology and service providers; technology and infrastructure providers; and between service providers and customers is becoming less and less clear over time. Firms are moving outside their traditional space, forming alliances, creating partnerships, merging and even acquiring other firms along the value chain in an attempt to consolidate their positions and to gain more of an end-to-end capability to provide turn-key auto-ID solutions.26 Clusters of auto-ID companies are congregating together, and locating as close as possible to their customer base to ensure sales.27 Penetrating international markets has proven difficult without an immediate presence in the region. This is particularly true of European vendors trying to enter into the North American market and vice versa. Suffice to say that this thesis offers a thorough “who’s who list” of some of the most important stakeholders in auto-ID.

multidisciplinary research community evolved that includes electrical engineers, mechanical engineers, materials scientists, computer scientists and industrial designers” (Siewiorek 1999, p. 82). 26 Industries and information technologies are beginning to converge to create new business opportunities spurred on by the demand for electronic delivery to the consumer (Allen & Kutler 1997, p. 15-16). 27 See Lindley (1997, pp. 88-90) who describes smart card clustering. 311

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9.2.3. Increasing Level of Invasiveness in Auto-ID Techniques There is a trend towards increasingly invasive technology. From devices that can be carried, to those which can be placed in our purse or clipped onto clothing, to those that are fully worn on our bodies, to those that are embedded within our body. Particular targets for the latter devices seem to be the left or right arm, but are likely to incorporate the brain (i.e. the head) as well in the future. Marketing campaigns do not shy away from this long-term view- rather they encourage this thought through advertisements which use metaphors or personified images to sell a message or idea (see exhibit 9.6). Please see print copy for Exhibit 9.6

Exhibit 9.6 Marketing Campaigns that Point to Electrophoresis

There are, however, two opposing schools of thought- one that comes from the wearable computing experts and another that comes from those who believe that technology ultimately belongs “under the skin”. Wearable computing experts are content with making computing devices to be worn transparently with everyday clothing such as eyeglasses or t-shirts. The other group of researchers are adamant that technology must fuse with the body and that if humans are to evolve to another level then the only way to do that is via chip implants that are connected to the brain. The pressing question is what has triggered this paradigm shift? Auto-ID technology was once solely used for identification purposes; it is now useful for medical applications; and in the future it might even form the basis for an evolution of the human species.

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9.2.4. The Wireless Communications Advantage One of the biggest impacts on auto-ID has been the ability for wireless transmission. Devices no longer have to touch readers, they can be metres away as in the case of RF/ID (and in motion), or in the instance of GPS, a device like the Digital Angel watch can be triggered from anywhere in the world. In fact this is the very attribute that has meant that transponders under the skin do not have to be “hard-wired” to an external reader device, nor “jacked-in”. Luggables such as mobile phones and wireless PDAs,28 and emerging infrastructures like 2.5G (i.e. GPRS) and 3G (i.e. UMTS) are also generating new opportunities for the auto-ID industry. The new 3G will create a new “technological centre of gravity” and is likely to function as an aggregator towards service convergence and network integration (Ferreira 2001, pp. 351-354).

Lutz (1997, p. 145) described the advances in wireless communications as evolutionary directions that have the capacity to directly influence the diffusion of technologies such as smart cards.29 The rise of new mobile commerce applications, such as multimedia messaging service (MMS), mobile email, online games, online news, online calendars, and vendor machine and ticket payment all require some user identification to take place throughout the process.30 Smart cards provide the ability for the service provider to authenticate and subsequently bill the customer for access and usage of mobile applications. 9.2.5. The Need to Forecast Auto-ID Innovation Forecasting and determining potential patterns and rates of change offer important insights for the future. Even if predictions turn out to be short-lived or blatantly wrong, they are still a vehicle for considering all the possibilities. It provides a stimulus for discussion and debate. In some situations forecasting may be said to be preemptive of actual events in the future. In other instances, the forecast depicted is considered unfavourable, and events that would have led to an expected outcome are 28

Brodsky (1995) was one of the first authors to write on the wireless revolution in personal telecommunications. Her chapter 8 on “PDAs, Personal Communicators and Mobile Companions” was way ahead of its time. A fascinating study that helps support the findings of this thesis. 29 That is, we are being basically reminded that “[t]he issues surrounding evolutionary directions today primarily involve wireless telecommunications... Evolution issues are not limited to mobile telephony... Evolution of fixed telephones, cable-TV set-top boxes, and computers could also include plans to incorporate smart cards for convenience of users and protection of information” (Lutz 1997, p. 147). 30 See Fardoulis (2003, pp. 18-23). 313

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redirected in scope and focus. Given that evolutionary theory underpins the SI framework, the forecasting or predictive nature of this thesis has been based almost solely on current research and development (i.e. history). Incremental changes in innovations have pointed to a path dependency. The shorter term the predictions are, the higher the likelihood that they will eventuate as they are based on “known” factors and not on wild assumptions. For instance, it is easier to forecast what will happen in the next year or two, rather than what will happen in twenty, fifty or one hundred years. Having said that, longer-term visions are equally important; science fiction has provided much in the way of future possibilities (see exhibit 9.7 below). Many do not Please see print copy for Exhibit 9.7

Exhibit 9.7 Science Fiction Film Genre Pointing to the Rise of the Electrophorus

Many do not acknowledge these contributions as important however few would dispute that predictions made by Arthur C. Clarke years in advance of their happening were unimportant or just coincidental. 9.2.6.

Extensive Bibliography and Online Resources

In order to provide evidence that would conclusively come to the findings in this chapter, an extensive literature review was conducted. International sources were gathered dating back to the earliest auto-ID innovations to the most recent. This thesis made use of over 1600 books and articles and over 650 online resources. In itself the substantial referencing is a new contribution to the field, not only because of its size but also because of its scope. A plethora of support evidence was also included in the footnotes. The footnotes in themselves offer a rich digest of resources for potential and existing auto-ID stakeholders. In addition, the pictures and photographs used to

314

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illustrate and convey the fundamental concepts, ideas and findings in this thesis were compiled over years of research. Some of the images belong to my own personal collection taken during international business travel, others were downloaded from web sites and still others were scanned from relevant magazines. Together with the exhibits, the diagrams and tables offer overwhelming evidence to the auto-ID trajectory. The next section will now concentrate on the trends and patterns that emerged from the case studies (chs. 5-7) and the historical analysis conducted (chs. 4 and 8). It covers the predictive element of the thesis and in so doing documents a number of important issues that need to be addressed. The section is supplemented with perspectives held by people in a variety of disciplines related to the field. 9.3.

Trends and Patterns Emerging from the Case Studies

As auto-ID technology has continued along a particular path it has progressively impacted people, processes and organisations. The more widespread the technology (in all its forms) has become the greater the imprint it is leaving on society. The auto-ID trajectory is having long term effects on the way we live and work and is set to continue doing so in its own right,31 and through subsequent paradigmatic shifts, as in the case of electrophoresis. Below are presented a number of themes that have emerged from the case studies that collectively act to summarise changes that have occurred as a result of auto-ID innovation. In each theme, the link between the auto-ID trajectory and electrophoresis is established, tying past, present and future together. The results point to an increasing reliance of humans upon auto-ID technology to the extent that some of the trends seem irreversible in nature. The prediction that humans will become “bearers of electricity” seems not only plausible but inevitable.32

31

See Addison and Thimbleby (1997, pp. 6/2-6/3). Question nine asks: “[h]ow will network computers be tied to other social developments? For example, national IDs could be used to identify users. Network computers might become ubiquitous… Who will own this information?... We note that Rheingold’s enthusiastic book ends with a dark analysis of social issues. His issues weren’t hypothetical; they were already happening- in 1994.” 32 Marshall McLuhan was one of the first explorers to probe how the psycho-social complex was influenced by electricity. “Electricity continually transforms everything, especially the way people think, and confirms the power of uncertainty in the quest for absolute knowledge. That is revolutionary” (McLuhan, E. & Zingrone 1995, p. 2). “The main effect of electric process, McLuhan discovered, is to retribalise the structure of psychic and social awareness” (p. 4). 315

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9.3.1. Information Centralisation- Big Brother Plays “Eyes Spy” Over the years two main terms have been used to describe the potential for the invasion of privacy33 or surveillance using computing technology.34 At first the term Big Brother proliferated to correspond to the all-seeing eyes of government but with time it was determined that it was more accurate to speak of Many Little Brothers, given the requirement for so many separate databases. In most western countries data matching programs instead were constructed, linked to a unique citizen ID, to perform an audit function. More recently however, the trend has tended towards information centralisation between government departments based around the auspices of a national ID to reduce fraud. Looking forward, the potential for privacy issues linked to chip implants is something that has been considered but mostly granted attention by the media.35 Even Warwick, himself, is aware that chip implants do not promote an air of assurance: Looking back, Warwick admits that the whole experiment [Cyborg 1.0] “smacked of Big Brother.” He insists, however, that it’s important to raise awareness of what’s already technically possible so that we can remain in the driver’s seat. “I have a sneaking suspicion,” he says, “that as long as we’re gaining things, we’ll yell ‘Let’s have Big Brother now!’ It’s when we’re locked in and the lights start going off- then Big Brother is a problem” (Masterson 2000, p. 3).

In this instance, Warwick has made an important observation. So long as individuals are “gaining” they generally will voluntarily part with a little more information. It is when they stop gaining and blatantly start being taken advantage of that the idea of Big Brother is raised. On that point, chip implants promise the convenience of not having to carry a multitude of auto-ID devices, perhaps not even a wallet or purse. According to McGinity (2000, p. 18) “[e]xperts say it [the chip] could carry all your personal information,

medical

background,

insurance,

banking

information,

passport

information, address, phone number, social security number, birth certificate, marriage

33

Starner (2001b, p. 57) makes the distinction between privacy and security concerns. “Security involves the protection of information from unauthorised users; privacy is the individual’s right to control the collection and use of personal information.” 34 Mills (1997, p. 177) is of the opinion that some technology, like communications, is not non-neutral but totalitarian in nature and that it can make citizens passive. “These glamorous technologies extend and integrate cradle-to-grave surveillance, annihilating all concept of a right to personal privacy, and help consolidate the power of the national security state… every technology, being a form of power, has implicit values and politics…” See also Michael, K. (2002e, pp. 259-262) regarding online privacy. 35 Privacy advocates warn that such a chip would impact civil liberties in a disastrous way (Newton 2002, p. 1). 316

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license.” This kind of data collection is considered by civil libertarians to be “cryptofascism or high-tech slavery” (Associated Press 2002a, p. 2). The potential for abuse cannot be overstated (Mieszkowski 2000, part 2, p. 2). Salkowski (2000, p. 2) agrees pointing to the potential for abuse in the ADS VeriChip system, stating that police, parents and ADS employees could abuse their power. Hackers too, could try their hand at collecting data without the knowledge of the individual, given that wireless transmission is susceptible to interception.37 At the same time, the chip implant may become a prerequisite to health insurance and other services.38 As Chris Hoofnagle, an attorney for the Electronic Privacy Information Centre in Washington, D.C., pointed out, “[y]ou always have to think about what the device will be used for tomorrow” (Black 2002, p.1). In many ways, this is exactly the void this thesis has tried to fill. 9.3.1.1. Preserving Privacy in a Technological Society Wearable computing designer Steve Mann (1998) believes that “[s]urveillance and mass media have become the new instruments for social control.”39 Public surveillance cameras especially can pose a serious threat to privacy. Originally cameras were used in private enterprises, like banks, then they made there way into department stores, and now they have made there way into foyers and train station exits and city streets outside popular venues and even sporting arenas. The last pictures of Princess Diana alive were beamed throughout the world shortly after her fatal car accident. She was probably oblivious to the fact that a camera was taping her final movements, let alone that the footage would be continually replayed on news flashes all over the world for weeks to come. To counter-act surveillance camera ‘spying’, some wearable computing experts have said that we should all carry computing devices that possess the ability to record audio and video (S. Mann 1997a, p. 177). Rather than having global “eyes” everywhere, each individual carries his own, thus protecting himself/herself. Steve Mann considers a community of networked wearable computing users who would 36

It should be noted that the chip referred to here is one that can store a lot more information than the VeriChip made by ADS. 37 “It might even be possible for estranged spouses, employers and anyone else with a grudge to get their hands on tracking data through a civil subpoena” (Salkowski 2000, p. 2). 38 Another case in point, “[y]ou could have a scenario where insurance companies refuse to insure you unless you agree to have a chip implant to monitor the level of physical activity you do” says Pearson (BT) (LoBaido 2001, part 2, p. 2). “Cost-conscious insurance companies are sure to be impressed, because the portability of biomems would allow even a seriously ill patient to be monitored after surgery or treatment on an outpatient basis” (Swissler 2000, p. 1). 317

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look out for one another as suggested by Brin in his novel Earth (S. Mann 1997d, p. 30).40 Pentland believes that it is the networking aspect that is the problem, not so much the cameras themselves. “Who cares if your house’s door knows you came home at 2 a.m., unless it can tell your neighbour?” (Pentland 2000, p. 117). The types of miniature auto-ID devices being proposed, with the capability to record information, will most likely have to overcome legal barriers in the future (Martin et al. 2000, p. 44). 9.3.2. Mandatory Proof of Identity Few government and commercial applications that require the identification of an individual allow for true voluntary participation (though they are not exactly compulsory either). Access to a particular service, usually requires proof of identity in the form of an auto-ID device. In most cases, without proof of identity, services are denied. So it is in this context that the requirement for a card, biometric or tag can be considered mandatory. For instance, if I wish to drive a vehicle, I must possess a license. If I choose not to carry my license with me when I drive I would be fined accordingly. If I request medical services from a general practitioner (GP) in Australia and I do not provide my Medicare card, then I would most likely have to pay the full amount up-front. If I would like to withdraw money from a bank and do not possess a card or passbook then I would be denied access to my funds. If I would like to travel overseas and do not provide my passport, then I will not be allowed to board a plane. As democratic as some nations believe they are the notion of something being voluntary or mandatory is directly linked to its perceived value- whether this is based on money or any other verifiable measure. An application which allows voluntary participation for its members, without the use of identification, is probably not linked to basic human needs and wants, and it could be forgone by the citizen with a relative low impact on the individual or their family. Non-living things undergo the same type of treatment. No one demands that a product possess a UPC bar code but if it does not, then the chances that it will end up in a large supermarket chain in the U.S. are near impossible (with the

39

See http://wearcam.org/icwckeynote.html (1998). Pentland (2000, p. 116) acknowledges the advantages of making machines that are aware of people but also realises the potential perils. “The idea is that machines should know who we are, see our expressions and gestures, and hear the tone and emphasis of our voice. However, when such perceptually-aware machines are tightly networked together, as in proposals for ubiquitous or pervasive computing environments, we obtain a capacity to concentrate information about people that closely resembles George Orwell’s dark vision of a government that can monitor and control your every move.” 40

318

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exclusion of perishable items). So we can see even from these few examples, that there are repercussions for non-compliance which in most cases equates to outright exclusion for that living or non-living thing, or at least diminished returns. In fact, there are very few government-to-consumer (G2C) applications that a citizen would be willing to forgo for the sake of remaining anonymous and not having to carry an auto-ID device. That person who refuses to carry and use auto-ID devices or to be identified by a unique ID code would become dysfunctional within society within a short period of time. 9.3.2.1. The Prospect of National ID Chip Implants With the growing prospect of chip implants for identification purposes, it is not an impossible scenario to consider that one day these devices may be incorporated into national identification schemes by governments. Already governments worldwide are moving toward the introduction of a single unique ID to cater for a diversity of citizen applications (see exhibit 9.8 below on the proposed 1987 Australian national ID card). Opinions on the possibility of widespread chip implants in humans, range from “it would be a good idea,” to “it would be a good idea, but only for commercial applications not government applications,” to “this should never be allowed to happen”. Leslie Jacobs, who was one of the first to receive a VeriChip told Scheeres (2002b, p. 2), “[t]he world would be a safer place if authorities had a tamper-proof way of identifying people… I have nothing to hide, so I wouldn’t mind having the chip for verification… I already have an ID card, so why not have a chip?”41 Please see print copy for Exhibit 9.8

Exhibit 9.8 The Functions of the 1987 Proposed Australian National ID Card

41

Some tracking and monitoring systems can be turned off and on by the wearer, making monitoring theoretically voluntary. Sullivan a spokesperson for ADS, said: “[i]t will not intrude on personal privacy except in applications applied to the tracking of criminals” (Mieszkowski 2000, part 2, p. 2). 319

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Applied Digital Solutions have claimed on a number of occasions that it has received more than two thousand emails from teenagers volunteering to be the next to be “chipped” (Scheeres 2002a, p. 2). Cunha Lima a government official who also has a chip implant is not ignorant of the potential for invasion of privacy but believes the benefits outweigh the costs and that so long as the new technology is voluntary and not mandatory there is nothing to worry about. He has said, “[i]f one chooses to ‘be chipped,’ then one has considered the consequences of that action” (Scheeres 2002c, p. 2). Professor Brad Meyers of the Computer Science Department at Carnegie Mellon University believes that the chip implant technology has a place but should not be used by governments.42 Yet the overriding sentiment is that chip implants will be used by government before too long. Salkowski (2000, p. 3) has said, “[i]f you doubt there are governments that would force at least some of their citizens to carry tracking implants, you need to start reading the news a little more often.” Black (2002, p. 2) echoes these sentiments: “Strictly voluntary?43 So far so good. But now imagine that same chip being used by a totalitarian government to keep track of or round up political activists or others who are considered enemies of the state.44 In the wrong hands, the VeriChip could empower the wrong people.” Bob Gellman, a Washington privacy consultant, likens this to “a sort of modern version of tattooing people, something that for obvious reasons- the Nazis tattooed numbers of people- no one proposes” (Mieszkowski 2000, part 3, p. 1). The real issue at hand as Gellman sees it is “who will be able to demand that a chip be implanted in another person…”45 Professor Chris Hables Gray uses the example of prospective military chip implant applications. How can a marine, for

42 Meyers said, “[i]f the chips are wirelessly connected to networks, that opens up a whole new set of issues” (LoBaido 2001, part 1, p. 2). See also Tan (2002) and McConnell (2003). 43 “Microchip implantation is currently introduced as a voluntary procedure. But a report written by Elaine M. Ramish for the Franklin Pierce Law Centre says, “A [mandatory] national identification system via microchip implants could be achieved in two stages: Upon introduction as a voluntary system, the microchip implantation will appear to be palatable. After there is a familiarity with the procedure and a knowledge of its benefits, implantation would be mandatory” (Horn 2000, p. 3). 44 McClimans (1998 pp. 1-4) believes that everyone should get chipped. 45 Some cyberpunks have attempted to counteract the possibility of enforced implantation. One punk known by the name of “Z.L” is an avid reader of MIT specialist publications like open|DOOR MIT magazine on bioengineering and beyond. Z.L.’s research has indicated that: “[i]t is only a matter of time… before technology is integrated within the body. Anticipating the revolution, he has already taught himself how to do surgical implants and other operations. “The state uses technology to strengthen its control over us,” he says. “By opposing this control, I remain a punk. When the first electronic tags are implanted in the bodies of criminals, maybe in the next five years, I’ll know how to remove them, deactivate them and spread viruses to roll over Big Brother” (Millanvoye 2001, p. 2).

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instance, resist implantation?

46

Mieszkowski (2000, part 3, p. 2) supports Gray by

observing how quickly a new technological “option” can become a requirement. Resistance after the voluntary adoption stage can be rather futile if momentum is leading the device towards a mandatory role.47 9.3.3. Regulating an Unexplored Technology There are numerous arguments for why implanting a chip in a person is outright unconstitutional as was discovered in section 6.5.5. But perhaps the totally unexplored area as Gellman puts it are the legal and social issues of who would have power over the chip and the information gathered by its means (Mieszkowski 2000, part 3, p. 1). Gellman is correct in his summation of the problem but science has a proven way of going into uncharted territory first, then asking the questions about implications later. Applied Digital Solutions, for instance, have already launched the VeriChip solution. Sullivan, a spokesperson for ADS told Salkowski (2000, p. 3): “I’m certainly not a believer in the abuse of power,” he offered, suggesting that Congress could always ban export of his company’s device. Of course, he admits he wouldn’t exactly lobby for that law. “I’m a businessman,” he said.

Black (2002, p. 2) makes the observation that the US government might well indeed place constraints on international sales of the VeriChip if it felt it could be used against them by an enemy.48 From a different angle, Rummler (2001, p. 2) points out that the monitoring and tracking of individuals raises serious legal implications regarding the individual’s capacity to maintain their right to freedom. He wrote: “[o]nce implanted with bio-implant electronic devices, humans might become highly dependent on the creators of these devices for their repair, recharge, and maintenance. It could be possible

46

See also Nairne (2000, p. 2). Timothy McVeigh, convicted Oklahoma bomber, claimed that during the Gulf War, he was implanted with a microchip against his will. The claims have been denied by the U.S. military however, it is not entirely impossible that this happened. See the British Army APRIL project (LoBaido 2001, pp. 1-2). 47 McMurchie (1999, p. 11) reveals the subtle progression toward embedded devices: “as we look at wearable computers, it’s not a big jump to say, ‘OK, you have a wearable, why not just embed the device?’… And no one can rule out the possibility that employees might one day be asked to sport embedded chips for ultimate access control and security…” 48 Consider the issues surrounding GPS technology that has been in operation a lot longer. “Good, neutral, or perhaps undesirable outcomes are now possible… Tension arises between some of the civil/commercial applications and the desire to preclude an adversary’s use of GPS. It is extremely difficult (technically, institutionally, politically, and economically) to combine the nonmilitary benefits of the system that require universality of access, ease of use, and low cost with military requirements for denial of the system to adversaries. Practical considerations require civil/commercial applications to have relatively easy access” (Pace et al. 1996, pp. 196f). This is a governance issue. 321

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to modify the person technologically…thus placing them under the absolute control of the designers of the technology.” FDA’s Dr. David Feigal has been vocal about the need for such devices as the VeriChip not to take medical applications lightly and that companies wishing to specialise in health-related implants need to be in close consultation with the FDA.49 There is also the possibility that such developments, i.e. regulating chip implants, may ultimately be used against an individual. The Freedom of Information Act for instance, already allows U.S. authorities to access automatic vehicle toll-passes to provide evidence in court (Starner 2001b p. 58); there is nothing to suggest this will not happen with RF/ID transponder implants as well, despite the myriad of promises made by ADS.50

Professor Gray is adamant that there is no

stopping technological evolution no matter how sinister some technologies may appear, and that we need to become accustomed to the fact that new technologies will continually infringe upon the constitution (Mieszkowski 2000, part 3, p. 2). 9.3.4. Social Consequences Advances in auto-ID have had numerous social51 implications. Ever since bar codes acted to make particular job roles obsolete or less in demand, and magnetic-stripe and smart cards diminished the requirement for so many bank tellers, auto-ID has had its share of controversy.52 Maybury (1990, p. 12) makes the comparison between blue collar workers having been replaced by robots, and forthcoming white collar positions now also being relinquished by intelligent programs and machinery such as ATMs. Another concern has been that of privacy. Auto-ID itself is supposed to ensure privacy, especially more sophisticated techniques like smart cards and biometrics. Yet, it is the ease with which auto-ID devices can collect information (i.e. data capture) that has some advocates concerned about the ultimate use of personal information.53 Data mining through geographic information systems can pinpoint behaviours at the most

49

See Thomas (2003), http://www.detnews.com/2002/technology/0204/05/technology-457686.htm (2002) and http://www.usatoday.com/life/cyber/tech/2002/04/04/implant-chip.htm (2002). 50 See ‘On travelling incognito’, Herzberg et al. (1995, pp. 205-211). 51 See also Hutchins (2000, p. 3) for a summary of social and economic impacts. For long-range cyclic changes and how smart cards will affect society see Svigals (1987, pp. 177-184). 52 See chapter eight, “Technology, employment, and livelihood”, in Mills ed. (1997, pp. 142-162). See also Zuboff (1988). 53 While the devices are secure, breaches in privacy can happen at any level- especially at the database level where information is ultimately stored after it is collected. How this information is used, how it is matched with other data, who has access to it, is what has caused many citizens to be cautious about autoID in general. 322

Evolving Trends and Patterns 54

incredible level of detail.

Citizens are also concerned with the ultimate trajectory of

auto-ID. Worldwide terrorist attacks for instance, have seen governments introduce new laws regarding security and individual identification. Pet ID implants are now commonplace, many believe that it is just a matter of time before humans are implanted as well. In fact, some humans have been implanted for medical reasons. As was shown in chapter eight, many deaf people are using cochlear implants to hear. But even these medical marvels are not without their controversy.55 Some deaf activists… are critical of parents who subject children to such surgery [cochlear implants] because, as one charged, the prosthesis imparts “the nonhealthy self-concept of having had something wrong with one’s body” rather than the “healthy self-concept of [being] a proud Deaf” (Weber 2000, p. 2).56

Putting this delicate debate aside it is here that some delineation can be made between implants that are used to treat an ailment or disability (i.e. giving sight to the blind and hearing to the deaf), and implants that may be used for enhancing human function (i.e. memory). Some citizens are concerned about the direction of the human species as future predictions of fully functional neural implants are being made by credible scientists.57 “[Q]uestions are raised as to how society as a whole will relate to people walking around with plugs and wires sprouting out of their heads. And who will decide which segments of the society become the wire-heads” (Branwyn 1993, p. 4)?58 Those who can afford the procedures perhaps? And what of the possibility of brain viruses that could be fatal and technological obsolescence that may require people to undergo frequent operations? Maybury (1990, p. 13) believes that humans are already beginning to suffer from a type of “mental atrophy” worse than that which occurred

54 Rothfeder (1995, p. 152) states: “[m]edical files, financial and personnel records, Social Security numbers, and telephone call histories- as well as information about our lifestyle preferences, where we shop, and even what car we drive- are available quickly and cheaply.” See SearchSoftwareAmerica (1998) and Shaver (1996) for data mining and database marketing techniques. 55 Assistant Professor Scott Bally of Audiology at Gallaudet University has said: “Many deaf people feel as though deafness is not a handicap. They are culturally deaf individuals who have successfully adapted themselves to being deaf and feel as though things like cochlear implants would take them out of their deaf culture, a culture which provides a significant degree of support” (Branwyn 1993, p. 4). 56 See also Manning (2000a, p. 19; 2000b, p. 7D). 57 “Gray says it’s our duty as ‘cyborg citizens’ to confront the Mad Scientists and talk about the implications of just what kind of future the new Dr Frankensteins are busy trying to create for us” (I. Walker 2001, p. 13). 58 With reference to wearable computing devices Mann, S. (1997d, p. 29) stated: “[t]he early prototypes were quite obtrusive and often made people ill at ease, but more recently the apparatus has been gaining social acceptance. I attribute this partly to miniaturisation, which has allowed me to build smaller units, and partly to dramatic changes in people’s attitudes towards personal electronics.”

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during the industrial revolution and that the only way to fight it is to hang on to those essential skills which are required for human survival. 9.3.5. The Potential for Health Risks Public concern about electromagnetic fields from cellular phones was a contentious issue in the late 1990s.59 Now it seems that the majority of people in MDCs have become so dependent on mobile phones that they are disregarding the potentially harmful health risks associated by this technology. Though very little has been proven concretely, most terminal manufacturers do include a warning with their packaging, encouraging users not to touch the antenna of the phone during voice transmission. Salonen (1999, p. 96) puts forward the idea of directing wearable computing antenna away from the head where “there may be either a thermal insult produced by power deposition in tissue (acute effects) or other (long-term) effects” to midway between the shoulder and elbow where radiation can be pushed outward from the body. Yet chip implants may also pose problems, particularly if they are active implants that contain batteries and are prone to leakage if transponders are accidentally broken.60 Surgical implantation, it must also be stated, causes some degree of stress in an animal and it takes between four to seven days for the animal to return to equilibrium (Geers et al. 1997, p. 77). In the Cyborg 1.0 project, Warwick was advised to leave the implant under his skin for only ten days. According to Trull (1998, p. 3), Warwick was taking antibiotics to fight the possibility of infection. Warwick also reportedly told his son while playing squash during Cyborg 1.0: “Whatever you do, don’t hit my arm. The implant could just shatter, and you’ll have ruined your father’s arm for life” (Witt 1999, p. 3).61

59

The location of base station antennae is still a topic of contention. Lobby groups muster local council support to ensure that antennae do not appear on top of schools, churches or shops, not only because they are unsightly in most cases, but because of the health concern. 60 “Another important aspect is the potential toxic effect of the battery when using active transponders. Although it should be clear that pieces of glass or copper from passive tags are not allowed to enter the food chain. When using electronic monitoring with the current available technology, a battery is necessary to guarantee correct functioning of sensors when the transponder is outside the antenna field. If the transponder should break in the animal’s body, battery fluid may escape, and the question of toxological effects has to be answered” (Geers et al. 1997, p. 68). In fact, we need only consider the very real problems that women with failed silicon breast implants have had to suffer. Will individuals with chip implants, ten years down the track, be tied up in similar court battles and with severe medical problems? See also http://www.rfidjournal.com/article/view/112 (2002) and Magee (2003). 61 It is also worthwhile noting Warwick’s appearance after the Cyborg 2.0 experiment (refer back to exhibit 8.6). He looks pale, like someone who has undergone a major operation. 324

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9.3.6. Religious Advocates Object to the “Mark” Ever since the UPC bar code became widespread some Christian groups linked auto-ID to the “mark” in the Book of Revelation (13:18): “…the number of the beast… is 666”.62 Since it became a standard for every non-perishable item to be bar coded the UPC was closely associated with the prophecy: “so that no one could buy or sell unless he had the mark” (Rev 13:17). According to some Christians, this reference would appear to be alluding to a mark on or in the human body, the prediction being made that the UPC would eventually end up on human skin. As the selection environment of autoID devices grew, the interpretation of the prophecy further developed as to the actual guise of the mark. It was no longer considered to be ‘just’ the bar code (see exhibit 9.9). Card technology became the next focus as a technique that would pave the way for a permanent ID for all citizens in the globe: “He also forced everyone, small and great, rich and poor, free and slave, to receive a mark…” (Rev 13:16). Please see print copy for Exhibit 9.9

Exhibit 9.9 Evidence for the Mark of the Beast as Presented on GreaterThings.com

Biometrics were then introduced and immediately the association was made that the mark would appear on the “right hand” (i.e. palmprint or fingerprint) or on the “forehead” (facial/ iris recognition) as was prophesied (Rev. 13:16). Finally RF/ID transponders made their way into pets and livestock for identification, and that is when some Christian groups announced that the ‘authentic’ mark63 was now possible, and that it was only a matter of time before it would find its way into citizen applications.

62 Coincidentally the start, middle and end bars of the UPC are encoded 6, 6, 6 (see exhibit 9.7). See Father Paisios comment on the number from the perspective of an Eastern Orthodox monastic (Hristodoulou 1994). See also Michael, M. G. (1998). 63 One of the most outspoken commentators and authors on the topic is Terry L. Cook. Cook “worries the identification chip could be the ‘mark of the beast’, an identifying mark that all people will be forced to wear just before the end times, according to the Bible” (Newton 2002, p. 2). See also Cook (1999).

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Christians who take this mark, for whatever reason, are said to be denouncing the seal of baptism, and accepting the Antichrist in place of Christ.65 Horn (2000, pp. 1f) explains: [m]any Christians believe that, before long, an antichrist system will appear. It will be a New World Order, under which national boundaries dissolve, and ethnic groups, ideologies, religions, and economics from around the world, orchestrate a single and dominant sovereignty… According to popular Biblical interpretation, a single personality will surface at the head of the utopian administration… With imperious decree the Antichrist will facilitate a oneworld government, universal religion, and globally monitored socialism. Those who refuse his New World Order will inevitably be imprisoned or destroyed.

Companies that specialise in the manufacture of chip implant solutions, whether for animals or for humans, have been targeted by some religious advocates. The bad publicity has not been welcomed by these companies- some have even notably “toned down” the graphic visuals on their web sites so that they do not attract the ‘wrong type of web surfers’. While they are trying to promote an image of safety and security, some advocates have associated company brands and products with apocalyptic labels. Perhaps the interesting thing to note is that religious advocates and civil libertarians agree that ultimately the chip implant technology will be used by governments to control citizens. ADS is one of the companies that have publicly stated that they do not want adverse publicity after pouring hundreds of thousands of dollars into research and development and the multi-million dollar purchase of the Destron Fearing company.66 So concerned were they that they even appeared on the Christian talk show The 700 Club, emphasising that the device would create a lot of benefits and was not meant to fulfil prophecy (Scheeres 2002c, p. 2). According to Gary Wohlscheid, the president of The Last Day Ministries, the VeriChip could well be the mark. Wohlscheid believes that out of all the auto-ID technologies with the potential to be the mark, the VeriChip is 64

“Religious advocates say it represents ‘the mark of the Beast’, or the anti-Christ” (Associated Press 2002a, p. 2). For a Christian discussion see http://www.thefalcononline.com//story/2270 (2002). See also Michael, M.G. for a more sober historical and analytical discussion on the “mark” (2000a; 2000b). 65 The description of an implant procedure for sows that Geers et al. (1997, p. 49) gives, especially the section about an incision being made on the skin, is what some religious advocates fear may happen to humans as well in the future. “When the thermistor was implanted the sows were restrained with a lasso. The implantation site was locally anaesthetised with a procaine (2%) injection, shaved and disinfected. After making a small incision in the skin, the thermistor was implanted subcutaneously, and the incision was closed by sewing. The position of the thermistor (accuracy 0.1C) was wire-connected to a data acquisition system linked to a personal computer.” 66 A spokesperson for ADS said: “[w]e don’t want the adverse publicity. There are a number of privacy concerns and religious implications- fundamentalist Christian groups regard [i.e., implanting computer

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the closest. About the VeriChip he says however, “[i]t’s definitely not the final product, but it’s a step toward it. Within three to four years, people will be required to use it. Those that reject it will be put to death” (Scheeres 2002b, p. 3). With respect to the potential of brain chips in the quest for immortality, many Christians see this as trying to replace the Eternal Life as promised by God, through Jesus Christ. Just like in the case of human cloning, scientists are accused of trying to play God with brain implants too. However, the area is grey here, when do implants for medical breakthroughs become acceptable versus those required for pure identification purposes?- the future might end up merging the two functions onto the same device.67 9.3.7. From the ENIAC to High-Tech Gadgetry When the ENIAC was first made known to the public in February of 1946 reporters used “anthropomorphic”68 and “awesome characterisations” to describe the computer. The news was received with scepticism by citizens who feared the unknown. In an article titled ‘The Myth of the Awesome Thinking Machine’, Martin (1993, p. 126) stated that the ENIAC was referred to in headlines as “a child, a Frankenstein, a whiz kid, a predictor and controller of weather, and a wizard”. Photographs of the ENIAC used in publications usually depicted the computer to completely fill a small room, from wall-to-wall and floor-to-ceiling. People are usually shown interacting with the machine, feeding it with instructions, waiting for results and monitoring its behaviour. One could almost imagine that the persons in the photographs are ‘inside the body’ of the ENIAC (K. Michael 2002c, p. 131). Sweeping changes have taken place since that time, particularly since the mid 1980s. Consumers now own PCs in their homes (these are increasingly being networked), they carry laptop computers and mobile phones and chip cards and closely interact with public automated kiosks. Relatively speaking, it has not taken long for people to adapt to the changes that this new technology has heralded. Today we speak of a Net Generation (N-Geners) who never knew a world without computers or the Internet (Tapscott 1998, p. 38); for them the digital world is like the air they breathe. What is important to N-Geners is not how chips] as the Devil’s work” (LoBaido 2001, part 1, p. 2). This idea of fundamentalism seems to be a common label today, for anyone who questions technological advancement. 67 For a religious advocate who is for “composite humans” see Roper (2001) who writes on the “evolution of belief”.

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they got to where they are today but what digital prospects the future holds. “[O]ur increasing cultural acceptance of high-tech gadgetry has led to a new way of thinking: robotic implants could be so advantageous that people might actually want to become cybernetic organisms, by choice. The popularisation of the cyberpunk genre has demonstrated that it can be hip to have a chip in your head” (Trull 1998, p. 1). 9.3.7.1. Shifting Cultural Values Auto-ID has influenced changes in language, art,69 music70 and film.71 Apart from the plethora of new terms that have been born from the widespread use of IT&T72 and more specifically from extropians (much of which have religious connotations or allusions),73 it is art, especially body art that is being heavily influenced by chip implant technology. Mieszkowski (2000, part 2, p. 4) believes that “chipification” will be the next big wave in place of tattoos, piercing and scarification (see exhibit 9.10 below). In Please see print copy Exhibit 9.10

Exhibit 9.10

The New Fashion: Body Bar Code Tattoos, Piercing and Chipification

the U.S. it was estimated in 2001 that about two hundred Americans had permanently changed their bodies at around nine hundred dollars an implant, following a method

68 See Ermann et al. (1997, pp. 304-306) for an explanation on “anthropomorphising the computational system”. 69 See King (2001, pp. 1-2) on robots and art. 70 “Recent albums by digital artists Brian Eno, Clock DVA, and Frontline Assembly sport names like Nerve Net, Man Amplified and Tactical Neural Implant” (Branwyn 1993, p. 1). 71 Chris Hables Gray tells his students “…that a lot of the best cyborgology has been done in the mass media and in fiction by science fiction writers, and science fiction movie producers, because they’re thinking through these things.” E.g. Star Trek: the Next Generation (Walker 2001, p. 5). The popular 1970s series of Six Million Dollar Man began as follows: “We can rebuild him. We have the technology. We have the capability to make the world’s first Bionic man.” Today bionic limbs are a reality and no longer science fiction. See http://physicsweb.org/article/world/14/7/11 (2001). 72 “Computer network and hacker slang is filled with references to “being wired” or “jacking in” (to a computer network), “wetware” (the brain), and “meat” the body. Science fiction films, from Robocop to the recent Japanese cult film Tetsuo: The Iron Man, imprint our imaginations with images of the new…” (Branwyn 1993, p. 1). 73 See Dery (1996, p. 66).

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developed by Steve Hayworth and Jon Cobb (Millanvoye 2001, p. 1). Canadian artist Nancy Nisbet has implanted microchips in her hands to better understand how implant technology may affect the human identity.74 The artist told Scheeres (2002d, pp. 1f), “I am expecting the merger between human and machines to proceed whether we want it to or not…”75 However, other artists like Natasha Vita More and Stelarc have ventured beyond localised chip implants. Their vision is of a complete prosthetic body that will comprise of nanotechnology, artificial intelligence, robotics, cloning and even nanobots (I. Walker 2001, p. 9). More calls her future body design Primo 3M Plus. Stelarc’s live performances however, have been heralded as the closest thing there is to imagining a world where the human body will become obsolete.76 A Stelarc performance is not something you’d recommend for the kiddies before bedtime. It usually involves a disturbing mix of amplified sounds of human organs and techno beats, an internal camera projecting images of his innards, perhaps a set of robotic legs or an extra arm, or maybe tubes and wires connecting the performer’s body to the internet with people in another country manipulating the sensors, jerking him into a spastic dance. It’s a dark vision, but it definitely makes you think (I. Walker 2001, p. 6).

Warwick believes that the new technologies “will dramatically change [art], but not destroy it.”77 9.3.8. Ethics and a Growing Moral Dilemma In an attempt to make our world a safer place we have inadvertently infringed on our privacy and our freedom through the use of surveillance cameras and the like. We equip our children with mobile phones, attach tracking devices to them or make them carry them in their bags and soon we might even be implanting them with microchips.78 This all comes at a price- yet it seems more and more people are willing to pay this price as heinous crimes become common events in a society that should know better. Take the example of 11-year old Danielle Duval who is about to have an active chip (i.e. containing a rechargeable battery) implanted in her. Her mother believes that it is no different to tracking a stolen car, simply that it is being used for another more 74

See also chapter nine, “Consciousness and technology” in Mills (1997, pp. 163-176). As far back as 1997, Eduardo Kac “inserted a chip into his ankle during a live performance in Sao Paulo, then registered himself in an online pet database as both owner and animal” (Scheeres 2002d, p. 2). Perhaps the actual implant ceremony was not Kac’s main contribution but the subsequent registration onto a pet database. 76 See also Tysome (2001, p. 35) and Gunn (n.d.). 77 See http://www2.cyber.rdg.ac.uk/kevinwarwick/FAQ.html (2002). 75

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important application (Wilson 2002, p. 1). Warwick has said that an urgent debate is required on this matter (i.e. whether every child should be implanted by law), and whether or not signals from the chips should be emitted on a 24x7 basis or just triggered during emergencies. Warwick holds the position that “we cannot prejudge ethics”.80 He believes that ethics81 can only be debated and conclusions reached only after people become aware of the technical possibilities when they have been demonstrated. He admits that ethics may differ between countries and cultures. The main ethical problem related to chip implants seems to be that they are under the skin (Trull 1998, p. 2) and cannot just be removed by the user at their convenience. In fact there is nothing to stop anyone from getting multiple implants all over their body rendering some applications useless. Tien of the Electronic Frontier Foundation (EFF) is convinced that if a technology is there to be abused, whether it is chip implants or national ID cards, then it will because that is just human nature (Eng. 2002). Similarly, Kidscape, a charity that is aimed at reducing the incidence of sexual abuse in children believe that implants will not act to curb crime. Kidscape hold the position that rather than giving children a false sense of security because they are implanted with a tracking device that could be tampered with by an offender, they should be educated on the possible dangers. Implanted tracking devices may sound entirely full-proof but deployment of emergency personnel, whether police or ambulance, cannot just magically appear at the scene of a crime in time to stop an offender from committing violence against a hostage. 9.3.8.1. Beyond Chip Implants Beyond chip implants for tracking there are the possibilities associated with neural prosthetics and the potential to directly link computers to humans as explored in sections 8.4 and 8.5. Rummler (2001, p. 1) asks whether it is ethical to be linking computers to humans in the first place and whether or not limitations should be placed

78

For ethical questions related to the Digital Angel product see Raimundo (2002). Mrs Duvall is considering implanting her younger daughter age 7 as well but will wait until the child is a bit older: “so that she fully understands what’s happening…” (Wilson 2002, p. 2). One could be excused for asking whether Danielle at the age of 11 actually can fully comprehend the implications of the procedure she is about to undergo. It seems that the age of consent would be a more appropriate age. 80 http://www2.cyber.rdg.ac.uk/kevinwarwick/FAQ.html (2002). 81 For an excellent introduction into computers, ethics and society, see Ermann et al. (1997). 79

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on what procedures can be conducted even if they are possible.82 For instance, could this be considered a violation of human rights? And more to the point what will it mean in the future to call oneself “human”. McGrath (2001, p. 2) asks “how human”? As technology fills you up with synthetic parts, at what point do you cease to be fully human? One quarter? One third?... At bottom lies one critical issue for a technological age: are some kinds of knowledge so terrible they simply should not be pursued? If there can be such a thing as a philosophical crisis, this will be it. These questions, says Rushworth Kidder, president of the Institute for Global Ethics in Camden, Maine, are especially vexing because they lie at “the convergence of three domains- technology, politics and ethicsthat are so far hardly on speaking terms.

At the point of electrophoresis “[y]ou are not just a human linked with technology; you are something different and your values and judgement will change.”83 Some suspect that it will even become possible to alter behaviour in people with brain implants (LoBaido 2001, part 2, p. 2), whether they will it or not. Maybury (1990, p. 7) believes that “[t]he advent of machine intelligence raises social and ethical issues that may ultimately challenge human existence on earth.”84 9.4.

The Evolution of the Electrophoresis Trajectory

9.4.1. Towards Ubiquitous Computing From PCs to laptops to PDAs and from landline phones to cellular phones to wireless wristwatches, miniaturisation and mobility have acted to shift the way in which computing is perceived by humans.85 Once a stationary medium, computers are now portable, they go wherever humans go.86 This can be described as technology becoming more ‘human-centric’, “where products are designed to work for us, and not us for

82

Warwick is also well aware that one of the major obstacles of cyber-humans are the associated moral issues (Irwin 1998, p. 2)- who gives anyone the right to be conducting complex procedures on a perfectly healthy person, and who will take responsibility for any complications that present themselves? 83 http://www.salon.com/tech/feature/1999/10/20/cyborg/index2.html (1999). 84 See Brown (1998, p. 301) for ethics and bioengineering. 85 See Lemonick (1995, pp. 44f) who describes the pace of change since the first computer. “It took humanity more than 2 million years to invent wheels but only about 5,000 years more to drive those wheels with a steam engine. The first computers filled entire rooms, and it took 35 years to make the machines fit on a desk- but the leap from desktop to laptop took less than a decade… What will the next decade bring, as we move into a new millennium? That’s getting harder and harder to predict.” Lemonick puts perspective on technology evolution. 86 See McGinity (2000, pp. 17f). See also Furui (2000, pp. 3735f) who described two major computing patterns in the last fifty years. The first is that of the mainframe- where one machine was used by many users; the second is that of the PC- where each machine was used by only one user. Perhaps the next fifty years will signify a third pattern- multiple machines for each user. 331

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them” (Stephan n.d., p. 2). Thus, the paradigm shift is from desktop computing to wearable computing (Sheridan et al. 2000, p. 195).87 The amazing thing is that in the pursuit of miniaturisation, little has been lost in terms of processing power.88 And despite the rapid pace of change, prices for devices keep falling. This transition phase will see wearable computing devices become an integral part of our daily lives. Whether noticeable or not by users, the change has already begun. Technology is increasingly becoming an extension of the human body, whether it is by carrying smart cards or electronic tags (Millanvoye 2001, p. 1). Furui (2000, p. 3735) predicts that “[p]eople will actually walk through their day-to-day lives wearing several computers at a time.” Cochrane described this phenomenon as technology being an omnipresent part of our lives. Not only will devices become small and compact but they will be embedded in our bodies, invisible to anyone else (Pickering 1999, p. 1).89 For the time being however, we are witnessing the transition period in which auto-ID devices especially are being trialled upon those who either i) desperately require their use for medical purposes90 or ii) who cannot challenge their application, such as in the case of armed forces or prisoners. Eventually, the new technology will be opened to the wider market in a voluntary nature but will most likely become a de facto compulsory standard (i.e. such as in the case of the mobile phone today), and inevitably mandatory as it is linked to some kind of requirement for survival.91 On analysis, this is the pattern that most successful high-tech innovations throughout history have followed. Mark Weiser first conceived the term “ubiquitous computing” to espouse all those small IS devices, including calculators, electronic calendars and communicators 87 “Our new aim is to provide an interface that can take on the responsibility of locating and serving the user” (Abowd et al. 1997, pp. 179-180). 88 “The enormous progress in electronic miniaturisation make is possible to fit many components and complex interconnection structures into an extremely small area using high-density printed circuit and multichip substrates” (Lukowicz et al. 2001, p. 22). We now have so-named Matchbox PCs which are “fully functional PC[s] not much larger than a box of matches yet able to run popular operating systems…” (Defouw & Pratt 1998, p. 1). See also Mann, S. (1997d, p. 25) on how miniaturisation has allowed rapid change in wearable computing. 89 “The development of wearable computer systems has been rapid. They are becoming more and more lightweight and quite soon we will see a wide range of unobtrusive wearable and ubiquitous computing equipment integrated into our everyday wear” (Salonen 1999, p. 95). 90 “The new era of biomedical and genetic research merges the worlds of engineering, computer and information technology with traditional medical research. Some of the most significant and far-reaching discoveries are being made at the interface of these disciplines” (Boehringer 2001, p.1). This was shown in section 8.3. 91 See also LoBaido (2001, part 1, p. 2).

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that users would carry with them every day (Sydänheimo et al. 1999, p. 2013).92 The term today has come to mean much more. Kaku (1998, p. 27) stated that ubiquitous computing, is the time “when computers are all connected to each other and the ratio of computers to people flips the other way, with as many as one hundred computers for every person.” This latter definition implies a ubiquitous environment that allows the user to seamlessly interface with computer systems around them. Environments of the future are predicted to be context-aware so that users are not disturbed in every context, save for when it is suitable (Laerhoven & Cakmakci 2000, p. 77).93 Kortuem (1998, p. 58) stated that “[s]uch environments might be found at the home, at the office, at factory floors, or even vehicles.” 9.4.1.1. The Human as Electrophorus Luggables, like mobile phones, do create a sense of attachment between the user and the device but the devices are still physically separate; they can accidentally be left behind. Wearable computers on the other hand are a part of the user, they are worn, and they “create an intimate human-computer-symbiosis in which respective strengths combine” (Billinghurst & Starner 1999, p. 58). S. Mann calls this human-computersymbiosis, “human interaction” (HI) as opposed to HCI. [W]e prefer not to think of the wearer and the computer with its associated I/O apparatus as separate entities. Instead, we regard the computer as a second brain and its sensory modalities as additional senses, which synthetic synesthesia merges with the wearer’s senses (S. Mann 2001, p. 10).

Electrophoresis is set to make this bond between human-computer irrevocable (see exhibit 9.11). Once on that path there is no turning back. If at the present all this seems impossible, a myth, unlikely, a prediction far gone, due to end-user resistance and other similar obstacles facing the industry today, history should teach us otherwise.

92 It is important to make the distinction between ubiquitous and wearable computing. They “have been posed as polar opposites even though they are often applied in very similar applications” (Rhodes et al. 1999, p. 141). 93 There is some debate however of where to place sensors in these environments. E.g. should they be located around the room or should they be located on the individual. Locating sensors around the room enforces certain conditions on an individual, while locating sensors on an individual means that that person is actually in control of their context. The latter case also requires less localised infrastructure and a greater degree of freedom. Rhodes et al. (1999, p. 141) argue that by “properly combining wearable computing and ubiquitous computing, a system can have the advantages of both.”

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Please see print copy Exhibit 9.11

Exhibit 9.11

The Process of Transformation

This year alone, millions of babies will be born into a world where there are companies on the New York Stock Exchange specialising in chip implant devices for humans. “They” will grow up believing that these technologies are not only “normal” but quite useful, just like other high-tech technologies before them such as the Internet, PCs, magnetic-stripe cards etc.94 But you don’t have to be a new-born baby to adapt to technological change. Even grandmothers and grandfathers surf the web these days and send emails as a cheaper alternative to post or telephone (Tapscott 1998, pp. 52-54). And migrants struggling with a foreign language will even memorise key combinations to withdraw money even if they do not actually fully perceive the actions they are commanding throughout the process. Schiele et al. (2001, p. 44) believes that our personal habits are shaped by technological change and that over time new technologies that seem only appropriate for technophiles eventually find themselves being used by the average person. “[O]ver time our culture will adjust to incorporate the devices.” What is apparent regardless of how far electrophoresis is taken, is that the once irreconcilable gap between human and machine is closing.95 9.4.2. Have We Really Thought About the Consequences? The drivers for change and innovation are always important to understand. Realistically however, today, it is dollars that drives invention, not so much the

94

Consider Cynthia Tam, aged two, who is an avid computer user: “[i]t took a couple of days for her to understand the connection between the mouse in her hand and the cursor on the screen and then she was off… The biggest problem for Cynthia’s parents is how to get her to stop… for Cynthia, the computer is already a part of her environment… Cynthia’s generation will not think twice about buying things on the Internet, just like most people today don’t think twice when paying credit card, or using cash points for withdrawals and deposits” (Chan 2001, p. 38). 95 See also Wakefield (2001, part 1, p. 1). 334

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requirement for a technology. It is more a sense of technology-push by the manufacturers rather than technology-pull by the market. Recently we have witnessed the bandwidth boom and bust; telecommunications manufacturers trying to sell more product vastly overstating demand, only for service providers to see their investments come crumbling down before them. The ironic thing was that the customers using the telecommunications infrastructure were the very same shareholders who lost life-long savings in these stock crashes. Now, the question is who or what is it that drives new technologies such as chip implants? Is it high powered executives? Is it scientists with grand imaginations?96 Is it the citizens who are now potential shareholders and out to make a quick dollar?97 Is it circumstance? Is it dynamism in the innovation process? Is it partially a need to survive?98 Whatever it may be (probably a little bit of all), Bill Joy the chief technologist of Sun Microsystems, feels a sense of unease about such predictions made by Ray Kurzweil in The Age of Spiritual Machines.99 Not only because Kurzweil has proven technically competent in the past but because of his ultimate vision for humanity- “a near immortality by becoming one with robotic technology” (Joy 2000, p. 1).100 Joy was severely criticised for being narrow-sighted, even a fundamentalist of sorts, after publishing his paper in Wired, but all he did was dare to ask the questions- ‘do we know what we are doing? Has anyone really carefully thought about this?’ 96

“[M]ost science-fiction feeds on science-fact” (Connor & Butler 1998). Ellul (1964, pp. 52-60) explained that in prehistoric times invention was a necessity, a movement to ensure humans could survive the elements. By the beginning of the Industrial Revolution, he noticed an obvious shift in the reason for invention: from necessity to that of the special interest of the state. In the nineteenth century again the reason for invention changed to that of the special interest of the bourgeoisie who could see the profits. By the 1900s, the masses (i.e. society) had also gone over to the side of technique, to share in a portion of the profits. 98 Consider the following excerpt and why these large companies are involved in drug delivery implant devices. Is it because they are simply evolving a current technology to do something completely different? “The potential of various devices for genetics research and drug discovery caught the eye of established high-tech firms like Motorola, Hitachi, Corning, and Agilent Technologies. In often novel ways, each of these firms is adapting existing tools- semiconductors, inkjet printers, flat panel displaysthe manufacture of microarrays...” (Moore 2001, p. 54). 99 Guarded positions such as those expressed by Rummler, must not be left on the margins of the dialogue which is increasingly conducted on the mass level, “[t]he critics of bioelectronics and bio computing foresee numerous potential negative social consequences from the technology. One is that the human race will divide along the lines of biological haves and have-nots. People with enough money will be able to augment their personal attributes as they see fit… as well as utilise cloning, organ replacement, etc. to stave off death for as long as they wish, while the majority of humanity will continue to suffer from plague, hunger, ‘bad genes’, and infirmity. It’s hard not to see the biological ‘haves’ advocating separation and/or extinction inevitably for their unmodified peers” (Rummler 2001, p. 2). 97

335

Evolving Trends and Patterns We are being propelled into this new century with no plan, no control, no brakes. Have we already gone too far down the path to alter course? I don’t believe so, but we aren’t trying yet, and the last chance to assert control- the fail-safe point- is rapidly approaching” (Joy 2000, p. 14).

It seems today that anyone who holds a position questioning whether or not something is ‘progress’ is put into one of two categories: a neo-Luddite or just technologically ignorant.101 But it is each individual’s duty to ask the questions regardless, because they and generations after them will have to live with the answers.102 One need only look at the Atomic Bomb103 and the Chernobyl disaster for what is possible, if not inevitable once a technology is set on its ultimate trajectory.104 To some degree the versatility of auto-ID makes its trajectory susceptible to changes in the broader IT&T sectoral innovation system (SIS).

100 For a summary of the main themes in The Age of Spiritual Machines, see ‘The coming merging of mind and machine’ published in Scientific American, at http://www.sciam.com/specialissues/0999bionic/0999kurzweil.html (2001). 101 Much deliberation has gone into the question of what constitutes technical progress. Westrum (1991, p. 160) stated that “[t]echnical progress occurs when better devices replace less adequate ones, and such replacement takes place through innovation… However, it does not follow that innovation is always progress, that it is a transition to something better… It all depends… on what [you] wish to call progress.” There are some researchers who understand technical progress within a social context (Zerzan & Carnes 1988; Mills 1997). Others like Mumford (1961) question the ‘progress’ of certain developments like cybernetics and artificial insemination on the human race. And there are those researchers like Innis who believe that a given innovation cannot be judged as progressive or regressive. That such a question is meaningless to begin with because they view “…[t]echnological change as an almost necessary historical and ecological development” instead (Kuhns 1971, p. 11). See also Allaby (1996, ch. 4), ‘The denial of progress’, where he writes: “The ‘p’ word is out of fashion… Indeed, the word itself has largely fallen into disuse… It is meaningless” (p. 43). Mills (1997) would tend to disagree with Allaby. In this book Norberg-Hodge is quoted (p. 5): “[i]t’s vital that we also understand the economic paradigm, which, together with technological innovation, constitutes what we call development in the South and progress in the North. What’s so frightening is that most people have a completely passive view of progress. There is a sense that you can’t stop progress. It’s seen as an evolutionary force… People interpret the changes that have been wrought by technology as part of cycles of change that are life.” See also, Mumford (1934, pp. 182-185) ‘The doctrine of progress’; Ellul (1964, pp. 190-193); and Russell (1995, ch. 7). 102 “The essential question facing critics of technology is to determine the point at which this human trait of invention goes astray and does harm” (Mills ed. 1997, p. 142). Nelkin (1997, pp. 25-26) asks the question “why no resistance?” Pool (1997, p. 279) questions: “[i]s it time to rethink our approach to technology?” His response is that “[e]ngineers should pay more attention to the larger world in which their devices will function, and they should consciously take the world into account in their designs” (pp. 279f). 103 See the section “Building the Bomb” in the “History and Momentum” chapter in Pool (1997, pp. 3140). Pool’s notion of “momentum” is very much linked to that of evolutionary change. 104 See Pool (1997, pp. 279-281). Among other technological disasters Pool mentions: Three Mile Island, Bhopal, the Challenger, Exxon Valdez, and the “downing of a commercial airliner by a missile from the U.S.S. Vincennes”. It seems that the frequency of such disasters is increasing rapidly as a plethora of recent examples could be added to this list. See also Mumford’s (1963) Technics and Civilisation. In fact one does not only have to look to high-tech for the possibilities; one need only consider what was possible with manual IDs in World War Two and then ponder what is possible with auto-ID technology placed in the wrong hands. No one can deny the possibility.

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10.1. Principal Conclusions The principal conclusions from the findings given in chapter nine are threefold. First, that an evolutionary process of development is present in the auto-ID technology system (TS). Incremental steps either by way of technological recombinations or mutations have lead to revolutionary changes in the auto-ID industry- both at the device level and at the application level. The evolutionary process in the auto-ID TS does not imply a ‘survival of the fittest’ approach,1 rather a model of coexistence where each particular auto-ID technique has a path which ultimately influences the success of the whole industry. The patterns of migration, integration and convergence can be considered either mutations or recombinations of existing auto-ID techniques for the creation of new auto-ID innovations. Second, that forecasting technological innovations is important in predicting future trends based on past and current events. Analysing the process of innovation between intervals of widespread diffusion of individual auto-ID technologies sheds light on the auto-ID trajectory. Third, that technology is autonomous by nature has been shown by the changes in uses of auto-ID; from non-living to living things, from government to commercial applications, and from external identification devices in the form of tags and badges to medical implants inserted under the skin. A paradigm shift has been presented- from the auto-ID trajectory to electrophoresis. 10.1.1. The Evolutionary Paradigm The evolutionary paradigm has shown us that “history matters”. Auto-ID techniques built their foundations on top of past manual ID techniques, the simplest being facial recognition using human memory. By the 19th century fingerprinting techniques were being discovered and by the mid 20th century auto-ID technologies were being prototyped. What has happened since that time has been cumulative technical change at an exhilarating speed. This rapid change, however, would not have been possible if the building blocks had not been cemented by first generation

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elementary breakthroughs. As more and more technological advancement occurred within the emerging auto-ID industry, and further support infrastructures, skills and tools were born simultaneously, the use of auto-ID became widespread. Progress fuelled success and success fuelled progress. While the market in the mid 1960s was not ready for auto-ID, decade after decade thereafter, techniques permeated a diverse range of applications. A domino effect of new auto-ID innovations took place, revolutionising the way people worked and lived. The conditions for entry were increasingly ‘right’ as ancillary technologies, like networks, storage devices and database software proliferated. The auto-ID explosion was energised by up-and-coming niche technology providers who had a clear vision for their innovations. Bar codes in retail, for instance, were driven by stakeholders who could see the potential impact the technology would make and the immediate path ahead. Understanding the sequence of events that shaped auto-ID was a major contribution of this thesis. Better understanding “what happened” means that efforts can be concentrated in the right places in the future.2 10.1.2. Forecasting Technological Innovation One of the downsides to exploratory predictive studies is that some researchers attempt to outdo one another with radical futuristic scenarios. This is not to discount that some of these scenarios will not happen ‘eventually’, however they neglect to use the evidence that is set before them to follow the path or direction of a particular technology, or set of technologies. This thesis puts forward the usefulness of using frameworks- like the systems of innovation (SI) based on evolutionary theory- to synthesise data from multiple disciplines to characterise and predict the auto-ID trajectory. The market today is so complex, that relying solely on one perspective, albeit technological, could prove severely misleading. What is required is an interdependence of sources.3 It was also intentional that predictions were not numbered or tabulatedthey are present throughout the thesis (albeit in a subtle form) and more pronounced in chapter eight when the technological trajectory of auto-ID was explored. The narrative

1

“The general process of evolution of a species cannot be optimised. Optimality depends strictly upon problem specification, and the formulation of interactive problems is dependent on the environment” (Goldin & Keil 2001, p. 810). 2 See Rosenberg (1994, p. 23) who described the importance of historical analysis in understanding technologies. He pointed out that this type of analysis is not only relevant to historians but to economists and other fields of study. 3 See Drangeid (1991, pp. 157-179). 339

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style allowed for analysis throughout. None of the predictions venture beyond 2050 and most focus between the years 2005 and 2015. Individual auto-ID techniques and their applications were considered separately at first, then as a single technology system, bringing together evidence that would indicate the direction of auto-ID in the short-term future. Among the factors explored in each case (in order of their prominence in that particular case) included: social, cultural, organisational, institutional, economic, regulatory, legal, political and technical dimensions. What was apparent was the time lag between auto-ID technical breakthroughs and developments, in for instance global standards, laws and user acceptance. Ethical considerations it was shown, were also consistently marginalised by technology and service providers until after auto-ID diffusion- an almost “let’s wait and see what happens” approach. Regardless, the technology is set to become even more ingrained in our day-to-day practices, especially for critical-response applications. New auto-ID innovations are most likely to be variations or combinations of existing auto-ID technologies, although there will be particular leaps in the use of multiapplication smart cards, the accuracy of biometric techniques (especially multimodal biometrics) and RF/ID transponders for human application. This thesis has attempted to present the forces at play that will continue to set the course of the auto-ID technology system. 10.1.3. Technology is Autonomous That it is possible to map the future course of a technology does not negate that a given technology could be used for another subsequent purpose to what it was originally intended.4 Once a device is released, there is no turning back. As Rummler (2001, p. 3) put it: “the genie simply will not go back into the bottle”. The technology possesses intrinsic controls that can be set off with the right commercial conditions. What we assume is that we are in control, when in actual fact the technology has an inherent trajectory. No one ever predicted for instance, that auto-ID technologies would be inserted under the skin at the time that bar code was invented or when magnetic-stripe cards made their debut. However, today we have this phenomenon occurring- perhaps not at a rapid rate of adoption but at one that has made people take note of developments. There is now a company who has hired staff to tour the United Stated in mobile vans, to directly market the advantages of RF/ID transponder implants for

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emergency services. Consumers who choose to be implanted can do so at centralised clinics across the country. In brief, it is technology that to a large extent shapes society; drives changes to the way we live, to laws, to our attitudes, and our beliefs.5 While we have the opportunity to consider where the auto-ID trajectory is leading society, it is our responsibility to think about the possibilities. For instance, what if civil unrest through continual terrorist threats/attacks or outbreaks of fatal viruses causes governments worldwide to introduce RF/ID implants for security and safety reasons. Would society be ready for such a change? And what types of mechanisms are in place to decide whether this should or should not happen? 10.2. Major Implications 10.2.1. Reinterpreting the Meaning of Progress Progress has often been synonymous with change over time, in a historical context. However, certain types of “progress” are not necessarily advancements. In fact, depending on the perspective taken, some technological progress could actually be considered to have caused social regress. A cochlear implant that gives a deaf person the ability to hear can be viewed as progress without much debate, whereas the proposed ‘Soul Catcher’ chip implant which will supposedly grant “eternal life” to an individual is surrounded by many unknowns. Consider the motivations for inventing in primitive times. The discovery of rubbing two sticks together to produce fire for warmth and cooking, that of the circular wheel to help move heavy objects, and of sharp stone implements to cut things, were all motivated by a practical need to survive. In contrast, today we seek monetary remuneration for inventing. A lot of money is spent on legal advice and getting an idea patented and this usually happens only when the inventor believes that they will somehow recoup their costs by the resulting royalties. Which leads to another fundamental point, most inventors today are part of corporations whose main goal is profit maximisation. Companies measure their “progress” by comparing revenue results and whether these have increased year-to-year. They are driven more by a need to make money to continue viable operations, than by a need to ensure that their 4

See Westrum (1991, p. 238). See Fielder (1997, p. 120) who discusses Langdon Winner’s Autonomous Technology. See also Kline (1996, p. 2). Berry (1996, p. 4) believes that social behaviour is partially dictated by incremental technological innovations. 5

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product or service offerings are adding real value to human lives. Competition is so fierce in most high-tech areas, and the pace of change so rapid, that economic and commercial discourse takes precedence over moral and ethical reflection.6 For instance, an auto-ID manufacturer might ask “should this particular auto-ID technology be used in this new application area?” The response would most likely be linked to whether the new innovation would equate to more sales, a better company share price, and subsequently greater investor interest. The reality is that whether the technology will negatively impact individual privacy (or other similar issues) invariably remains somebody else’s problem throughout the value chain. 10.2.2. Managing Technological Innovation The ability to manage technological innovation assumes that the right social institutions are in place to deal with developments.7 More often than not however, there is a great divide between technology and society’s ability to cope with that technology. The consumer’s attempt at resisting change initially coincides with the technology life cycle incubation stage. Eventually, however, widespread adoption is achieved as the technology begins to shape society bit-by-bit, and consumers and service providers succumb to a variety of pressures. It seems that individuals in society are too preoccupied with the ever-increasing pace of life8 to have the necessary time required to contemplate the far-reaching extensions of technological change, thus leaving the decision making to a small group of people. This results in a type of herd behaviour being exemplified. Mass consent in MDCs to adopt whatever is being flagged as the latest high-tech gadget looks to have overtaken individual reasoning. Consumers subject themselves to the impacts of these gadgets simply by choosing to adopt them, one after the next. It is almost as if adoption of “new” technology, such as luggables and wearables, is a requirement for a fulfilled existence because our capacity to remain contented with what we have is lacking. In the case of auto-ID however, there is an

6 “What does Ethics actually mean? The Oxford English Dictionary defines the word ‘Ethics’ as ‘the science of morals; moral principles or ‘code’ and ‘ethical’ as ‘conforming to a recognised standards’. ‘Moral’ is that concerned with the distinction between right and wrong” (Brennan 1996, p. 1/1). See also X. Wu et al. (2001). “[E]thics has a positive side which describes the human values which help to specify what one should do… what is the ultimate goal of human life or of society and, thus, what are the priorities for the work to be done within the particular activity or profession” (Brown 1998, p. 301). 7 For a discussion on managing technological innovation see Twiss (1974) and Lundstedt and Colgazier (1982). 8 See Hewitt (1993).

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inherent tyrannical quality about devices like smart cards and biometrics; consumers do not choose to have them, such as in the case of computers and mobile phones, they are imposed on them by service providers. Among the most authoritarian service providers is the government, who has the ability to issue national ID cards (and other similar mandates) to its citizens. As more and more national and international auto-ID schemes begin to emerge, the need for adequate social institutions for helping society deal with these changes becomes an immediate concern. We cannot rely on a few publicised debates on current affairs television programs to address the fundamental questions. Yet going with the flow seems more effortless than constructive thinking; the masses generally feeling powerless to these changes, or even worse, indifferent. 10.2.3. Who is in Control? The dynamic nature of the process of innovation indicates that interaction between many different stakeholders leads to the development of a given product or service. It is therefore difficult to single out one particular stakeholder as the primary force for an innovation going from invention to diffusion. Feedback between different stakeholders is a continual process. In the case of auto-ID, it can be argued that the manufacturer of the device is the main instigator, yet this denies the importance of other individual stakeholders like the government, service providers, and infrastructure providers, from being considered as equally key instruments in the creative process. It is possible that the question “who is in control?” only answers the question partially; we should also consider “what is in control?” Is it stakeholders? Is it the technology itself? It is both working together. Humans need to be aware of this when they are considering such future possibilities as creating “spiritual machines” and rejecting in essence part of what it means to be human. Some scientists may believe that doing away with the flesh will grant the individual ultimate freedom- achieving a type of resurrection on Earth.9 But what needs to be foremost in the minds of these visionaries, and the rest of us, is who or what will be in control of this grand scheme? Who or what will be given the responsibility to run this complex network of online brains?10 A human? A clone? A robot? All of these are subject to failure are they not, leading to the potential extinction of the new genus.

9

See Moravec’s idea of doing away with the sarcous (i.e. the body) altogether (Dery 1996, p. 300). See also Fixmer (1998, p. 3).

10

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10.2.4.

Back to the Future

When considering the possibilities of human evolution it is important to ponder on history. In 1946, the public launch of the ENIAC in the United States stimulated people’s imagination with some very fantastical thoughts. However, Kevin Warwick’s Cyborg 1.0 project did not receive the same attention. One could observe that society found this breakthrough somewhat lacklustre in comparison. Perhaps what people will find captivating is that next giant leap forward, the potential ability to download the human consciousness or more precisely the means to live “forever” through some technological course. Exhibit 10.1 below illustrates this expectant new age. Pictures of the ENIAC are shown on the left panel, and on the right an artistic piece titled “Amnesia” by Rankuchand (1994). It is almost as if humans are attempting to “enter into” the ENIAC on the left panel, and in “Amnesia” humans have successfully entered their own creation. Of course the title “Amnesia” leads one to think about whether this is really a step forward, or just revisiting a place from whence it all started and whether in actual fact this can be considered progress. One could imagine panels and panels of “Amnesia” side-by-side, stacked one on top of the other, i.e. members of a society occupying manifold times more space than the ENIAC and redefining what is meant by such terms as “technological society” and “global village”. Please see print copy for Exhibit 10.1

Exhibit 10.1

The Human Evolution

10.3. Research Scope 10.3.1. Links to Earlier Findings The strongest links between this thesis and earlier findings are in the field of innovation. Lindley’s (1997), Smart Card Innovation, laid the platform for further study 344

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in auto-ID in general. The investigator stated that one of the major limitations in her analysis was the restriction to smart card technology and not other information technologies (Lindley 1997, p. 228). The gap was bridged in this thesis by exploring numerous auto-ID and peripheral technologies. In addition, one of Lindley’s major discoveries was that smart card innovation is an evolutionary process which is aligned to the findings in this thesis (Lindley 1997, pp. 212-218). Nelson and Winter (1982, p. 16) also support this finding for technology in general, as does Sharp (1985, p. 271) who uses high-tech case studies to determine that “the process of change is evolutionary”. In Sahal (1981), Dosi (1982) and von Hippel (1988) the fundamental theoretical linkages on selection environment, patterns of innovation and technological trajectory can be made. Furthermore the use of the systems of innovation (SI) framework has associated this research to numerous technology studies conducted in Europe by the Department of Technology and Social Change at the University of Linköping. Among the most relevant projects to highlight is McKelvey et al.’s (1998) work on the high tech industry of mobile telecommunications. This project especially was precedence for using SI to analyse complex technologies within the same industry.11 The article by Swartz (1999) on auto-ID technologies, especially his findings on convergence and coexistence frameworks also coincide with the findings of this research. This thesis offers a more detailed analysis testing Swartz’s ideas using an appropriate theoretical framework and methodology. It can be said that the findings complement those of Arthur (1989) and David (1992) who state that the idea that the market just moves from one technology to a superior one is wrong in general.12 Finally this thesis acts to link the technological trajectory of auto-ID with that of predictive studies in science. Among these are the many works of Cochrane (1999), Kurzweil (1999), Warwick (2000), and numerous others that have been mentioned throughout the main body of the thesis. It is the first time that the connection between chip implants and auto-ID devices has been explored in such an explicit manner.

11

Some of the findings of the Innovation Systems and European Integration (ISE) studies of which McKelvey’s work belonged to are quite similar to the findings on auto-ID in this thesis. See Edquist et al. (1998) “Findings and Conclusions of ISE Case Studies”. 12 See also Cohendet and Llerena (1997, p. 233). 345

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10.3.2. To Whom Do These Findings Apply? The findings of this study are relevant to all auto-ID stakeholders but with an emphasis on auto-ID technology providers (i.e. manufacturers) and auto-ID end users (i.e. consumers). Service providers would also appreciate knowing more about the breadth of the auto-ID selection environment and real cases they could investigate further. For the auto-ID manufacturer, perhaps the most important result was gaining a clearer picture of the auto-ID innovation process. Additionally, challenging to technology providers of single auto-ID techniques would have been the notion of the auto-ID TS and model of coexistence of auto-ID devices put forward. End-users would have gained a better overall view of auto-ID; in some instances myths would have been dispelled, and in other instances, developments and future trajectories might have been cause for apprehension. Service providers too, who generally provide the bridge between the technology providers and end-users could have identified new auto-ID market opportunities to enter into and a better understanding of the obstacles required to overcome to guarantee successful application deployment. Among individual groups of people who are likely to benefit from various aspects of the investigation include: engineers, educators, civil libertarians, employees/ employers, investors, politicians, lawyers, legislators, regulators, forecasters, sociologists, psychologists, theologians, ethicists, philosophers, futurists, science fiction writers. The list may look a little too diverse but such was the result of the multidisciplinary approach taken. 10.3.3. Limitations The reader should take note of several limitations inherent in this research. First and foremost, the number of auto-ID devices and applications studied were numerous, and in some instances depth was sacrificed in place of breadth. It was seen as a higher priority to investigate a broad range of devices and applications so that trends and patterns could be identified to achieve literal replication as outlined in the case study methodology. Second, the study was purely qualitative and relied greatly on secondary evidence as opposed to primary evidence. The extensive sourcing and referencing of a variety of media, attempted to alleviate the problem of investigator bias by offering a holistic perspective. Third, the systems of innovation (SI) framework, is not yet an established “theory”. One should note that there are a plethora of innovation theories in existence but I deemed this to be the most thorough, proven and well-defined. The 346

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important aspect of SI is that it is based on evolutionary theory. As much as possible the rich terms of evolutionary theory were used to describe, explain and explore the auto-ID innovation issues; and the SI framework was used to set the boundaries of research. Fourth, the researcher felt that the multidisciplinary approach used to gather evidence needed to be broad in order to satisfy the call for studies that are not purely technical in nature. Fifth, some may see the link between the auto-ID trajectory and what I have termed electrophoresis to be overdone. I felt compelled to discuss the electrophorus at length, in light of recent developments and to stay true to the predictive element of the investigation. I also believe from the literature reviewed, that many salient questions remain unanswered surrounding the direction of microchip implants. 10.4. Recommendations 10.4.1. Further Research There are a number of avenues for undertaking further research. First, a quantitative study focusing on auto-ID technology providers by device and geographical target market would complement the qualitative case studies in chapters five to seven. The sheer number of firms documented in this thesis is a good starting point for this type of endeavour. Such a study could provide further evidence to support the notion of an auto-ID technology system. Second, since the term innovation encapsulates diffusion, a market sizing for each auto-ID device by industry segment could be derived worldwide, including a five year forecast. This could show the market share between technologies, and support the argument of coexistence rather than the ultimate obsolescence of individual auto-ID devices. Third, a micro study on the dynamics between auto-ID stakeholders in a geographic location cluster, using a questionnaire or interview methodology could identify the flows of interaction between individual stakeholders more clearly than has been represented in this thesis. Fourth, a further exploration into the study of potential human-centric RF/ID implant applications could complement a subsequent deeper investigation into the ethical and moral questions of this type of technology.13 Fifth, the notion of electrophoresis could be considered in more detail by providing relevant predictive scenarios that could eventuate, if humans

13 A university research project under my supervision is currently being conducted on this topic by Amelia Masters (University of Wollongong). See Masters (2003).

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were ever to embrace such a technology in the future. Again the multidisciplinary nature of the research and the exhaustive referencing, allows researchers from different disciplines to expand on many different aspects, using this work as a basis to further investigation. 10.4.2. Actions Based on the outcomes of the research, I am putting forward a number of recommendations for immediate action by the relevant entities. It is of particular importance that the holistic perspective be applied to the auto-ID innovation process so that stakeholders are aware of the potential impacts of new technologies before they become widespread. It is especially important that people from the social sciences are not marginalised from the dialogue just because the object of development is a hightech complex technology. Ethical considerations are important to maintain some sense of balance when considering what should and should not be given entrance into the mainstream. Public policy issues should also be taken more seriously and advocates branded at times as luddites given a fairer opportunity to voice their arguments. In addition laws need to be brought into line with the latest technological developments. At this stage there is a significant discursive lag between auto-ID innovations and adequate laws to cover these innovations in practice. The legal profession needs to address these matters instead of basing their rulings on outdated judgements. Above all increased user participation is required at the earliest possible stage in the auto-ID development process. Education about technologies should happen before widespread introduction, not after the technology has settled on its course. There is also an increasing need to investigate the health risks associated with wireless wearable or implantable devices, the safety of which has always been surrounded by controversy. It is my considered belief that the issues covered in this study are both timely and relevant and that each group of auto-ID stakeholders will take notice of those aspects which specifically concern them. 10.5. Conclusion The idea of the human electrophorus is one that no longer exists in the realm of the impossible. This being the case, the requirement for inclusive dialogue is now, not after widespread diffusion. There are many lessons to be learnt from history, especially

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from such radical developments as the atomic bomb and the resulting arms race. Bill Joy (2000, p. 11), chief technologist of Sun Microsystems, has raised serious fears about continuing unfettered research into “spiritual machines”. He quotes the following example as evidence. As the physicist Freeman Dyson later said, “The reason that it was dropped [the atomic bomb] was just that nobody had the courage or the foresight to say no…” It’s important to realise how shocked the physicists were in the aftermath of the bombing of Hiroshima, on August 6, 1945. They describe a series of waves of emotion: first, a sense of fulfilment that the bomb worked, then the horror at all the people that had been killed, and then a convincing feeling that on no account should another bomb be dropped. Yet of course another bomb was dropped, on Nagasaki, only three days after bombing of Hiroshima (Joy 2000, p. 11).14

The question the above extract raises is will humans have the foresight to say “no” or “stop” to new innovations that could potentially be a means to a socially destructive scenario. Or will they continue to make the same mistakes? Implants that may prolong life expectancy by hundreds if not thousands of years might sound ideal but they could well create unforeseen devastation in the form of technological viruses, plagues, a different level of crime and violence. The debate is far too complex to enter into here, it is rather a pressing research topic for another work, but if this thesis has aided to highlight its importance, it has satisfied one of its objectives. Humans may have walked on the moon, and many have dreamed about colonising other planets but an attempt to “live forever” through the use of technology seems oblivious to the facts: that the Sun has a finite lifetime, that the Earth could be wiped out by an asteroid gone astray, or a full-blown nuclear war could break out between the major powers. These are not fatalistic considerations, just simple probability based on scientific fact. To many scientists of the positivist tradition solely anchored to an empirical world view, the notion of whether something is “right” or “wrong” is redundant and in a way irrelevant. To these individuals a moral stance has little or nothing to do with technological advancement but more with an ideological position. A group of these scientists are driven by an attitude of “let’s see how far we can go”, not “is what we are doing the best thing for humanity”; and certainly not with the thought of “what are the long-term implications of what we are doing here”. The belief is that “science” should

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not be stopped because it will always make things better. The reality is that it will continue to grow the divide between the “haves” and “have-nots” even wider?15 Surely there are more immediate issues at hand than downloading our minds onto hardware. I am not referring here to the medical implant breakthroughs that are helping to save lives but to human extensions. Why not ask the question of whether or not we have directed our resources to solving the greater scientific issues facing the world such as sustainable yield for energy resources, rising water temperatures and ozone layer depletion, soil salinity and fresh water shortages? This is not seeking to be idealistic; these are real and compelling issues. What I am trying to describe here is the importance of social responsibility, not just for engineers or professionals working on complex problems that possess the knowledge16 but to all humans. “[F]ailure to challenge the ‘technological imperative’ can pose serious social and moral implications, and that good technical argument, as defined by the values of effectiveness and efficiency, can be accessory to moral abominations, such as those of Hitler’s Germany” (Flynn & Ross 2001, p. 208). This is not to say that we are against technological development but wary that not all developments will make things better rather than worse. To an extent it is narrowsighted to be like the Jacobs family who call the debate surrounding chip implants “hullabaloo”. The family see implants as a “gift” and think it is inconceivable that the technology could be used to “do anything but good” (Associated Press 2002a, p. 2). Perhaps Mr Jacobs has not done enough historical research to consider the possibilities. Cohen and Grace (1994, p. 12) investigated the claims that engineers should not pay attention to social responsibility, concluding finally that social responsibility indeed should be seen as integral to the performance of an engineer and that he or she should not only avoid doing harm but seek opportunities to do good.17 It seems we are facing

14

Ellul (1964, p. 99) quotes from a lecture given by Soustelle on the atomic bomb: “[s]ince it was possible, it was necessary”. 15 To the “haves” and “have nots”, O’Reilly (1999, pp. 973f) adds the “can-nots”. 16 “It has been said that what distinguishes professionals is their possession of “dangerous knowledge.” A physician has the means to cure you or kill you. An engineer can design software that is reliable and promotes your safety, or that is critically flawed and precipitates disaster. To repeat an earlier theme, knowledge is power, and the specialised knowledge possessed by professionals gives them power over our lives. Society is rightly concerned, then, that this power is used properly” (Frankel 1988, p. 199). 17 There are “…five circumstances in which the engineer might choose not to hold the health, safety, and welfare of the public paramount: 1) if the engineer believes that the requirement is internally inconsistent, 350

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an ethical dilemma as a human race, even though the answers to the pressing questions and issues appear seemingly straightforward. What has lead to this analytical displacement? Perhaps it is a preoccupation with short-term “band-aid” solutions rather than taking the longer-term perspective. Whatever it may be, we all need to actively and responsibly consider what these next steps should be, since generations to come will be living with the monumental and irreversible consequences of our decisions.

2) if the engineer’s religious convictions prevent adherence to the requirement, 3) if the engineer believes that the public does not know what is best for it, 4) if the engineer is forced to do otherwise, and 5) if the engineer believes that damage to the environment outweighs short term public interest” (Vesilind 2001, p. 162). 351

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