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Theses and Dissertations 1. Thesis and Dissertation Collection, all items

1994-03

Automatic identification technology (AIT): the development of functional capability and card application matrices

Bower, Leslie A.

Monterey, California. Naval Postgraduate School

http://ndl.handle.net/10945/28008

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DUDLEY KNOX LIBRARY

NAVAL POSTGRADUATE SCHOOL MONTER CY Ga 83943-5101

REPORT DOCUMENTATION PAGE

Public reporting burden for this collection of information is estimated to average 1 hour per response, including the time reviewing instructions, searching existing data sources gathering and maintaining the data needed, and completing and reviewing the collection of information. Send comments regarding this burden estimate or any other aspect of this collection of information, including suggestions for reducing this burden to Washington Headquarters Services, Directorate for Information Operations and Reports, 1215 Jefferson Davis Highway, Suite 1204, Arlington, VA 22202-4302, and to the Office of Management and Budget, Paperwork Reduction Project (0704-0188), Washington, DC 20503,

1. AGENCY USE ONLY (Leave Blank) 2. REPORT DATE 3. REPORT TYPE AND DATES COVERED September 1994 Master’s Thesis

\ FUNDING NUMBERS

4. TITLE AND SUBTITLE

AUTOMATIC IDENTIFICATION TECHNOLOGY (AIT): THE DEVELOPMENT OF FUNCTIONAL CAPABILITY AND CARD APPLICATION MATRICES (U)

6. AUTHOR(S)

Bower, Leslie Anne, LT, USNR

7. PERFORMING ORGANIZATION NAME(S) AND ADDRESS(ES) 8. PERFORMING ORGANIZATION Naval Postgraduate School REPORT NUMBER

Monterey, CA 93943-5000

ro. SPONSORING/ MONITORING AGENCY NAME(S) AND ADDRESS(ES) ~ 110, SPONSORING/ MONITORING AGENCY REPORT NUMBER

11.SUPPLEMENTARY NOTES . es The views expressed in this thesis are those of the author and do not reflect the official policy or position

of the Department of Defense or the United States Government.

12a. DISTRIBUTION / AVAILABILITY STATEMENT ; : : 12b. DISTRIBUTION CODE Approved for public release; distribution 1s unlimited.

A

13. ABSTRACT (Maximum 200 words) . Automatic identification technology (AIT), also known as automated data collecuon (ADC) technology, has been tn use

in various industry and government applications. The present AIT resources are magnetic ink character recognition, optical character recognition, bar code, magnetic stripe, radio frequency, optical laser memory, integrated circuit (IC), biometric and voice data collection, and machine vision. Smart card, super smart card, and magnetic memory card technology (e.g., PCMCIA) are integrated circuit technology. Personnel selecting, acquiring, implementing and using these technologies should | possess a knowledge of the capabilities and applications of the AIT resources to obtain the best AIT system to meet their mission requirements.

In order to facilitate an understanding of the AIT resources and their applications, two matrices were developed. An AIT Functional Capability Matrix was developed to tdentify and assess the capabilities of the AIT resources. An AIT Card Application Matrix was developed to identify the automation of various applications with these technologies.

The matrices can assist system designers, system integrators, information systems management personnel, users, and consumers of AIT resources understand the functional capabilities and the applications of these technologies in a concise format. The matrices can be used for selection and acquisition of AIT systems and to track and address migration of Wie ATT systems throughout their life cycles.

. SUBJECT TERMS ; : . 15. NUMBER OF PAGES Automatic Identification Technology (AIT), Automatic Data Collection (ADC) Technology, Microcircuit Technology in Logistics Applications 16. PF OD (MITLA) mete ae

17. SECURITY CLASSIFICATION 18. SECURITY CLASSIFICATION SECURITY CLASSIFICATION 20. LIMITATION OF ABSTRACT OF REPORT OF THIS PAGE OF ABSTRACT

Unclassified Unclassified

Unclassified | UL NSN 7540-01-280-5500 Standard Form 298 (Rev. 2-89)

wate

Prescnbed by ANSI Std. 239-18

Approved for public release; distribution is unlimited

AUTOMATIC IDENTIFICATION TECHNOLOGY (AIT): THE DEVELOPMENT OF FUNCTIONAL CAPABILITY AND CARD APPLICATION MATRICES

by Leslie A. Bower Lieutenant, United States Naval Reserve B.S., The Pennsylvania State University, 1982

Submitted in partial fulfillment of the requirements for the degree of

MASTER OF SCIENCE INFORMATION TECHNOLOGY MANAGEMENT from the

NAVAL POSTGRADUATE SCHOOL September 1994

OUDLEY KNOX LIBRARY NAVAL POSTGRADUATE SCHOOL MONTEREY CA 93943-5101

ABSTRACT

Automatic identification technology (AIT), also known as automated data collection (ADC) technology, has been in use in various industry and government applications. The present AIT resources are magnetic ink character recognition, optical character recognition, bar code, magnetic stripe, radio frequency, optical laser memory, integrated circuit (IC), biometric and voice data collection, and machine vision. Smart card, super smart card, and magnetic memory card technology (e.g., PCMCIA) are integrated circuit technology. Personnel selecting, acquiring, implementing and using these technologies should possess a knowledge of the capabilities and applications of the AIT resources to obtain the best AIT system to meet their mission requirements.

In order to facilitate an understanding of the AIT resources and their applications, two matrices were developed. An AIT Functional Capability Matrix was developed to identify and assess the capabilities of the AIT resources. An AIT Card Application Matrix was developed to identify the automation of various applications with these technologies.

The matrices can assist system designers, system integrators, information system management personnel, users, and consumers of AIT resources understand the functional capabilities and the applications of these technologies in a concise format. The matrices can be used for selection and acquisition of AIT systems and to track and address migration of

the AIT systems throughout their life cycles.

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I.

TABLE OF CONTENTS

CSTD OIO CTU CG RI | A. BV ACIGIROOINIB) l Jey CORE GUUS ee ee 2 Co SROPE A ND ME GY oniinese. sce ceeesecccccccccccnssscccesecssensssesceeensnsss 5 D. GORGANIZAT TO Ne ieee STS oonk,................0200ecoesccccccersesscecesessesccess 4 AUTOMATIC IDENTIFICATION TECHNOLOGY (AIT) ..... cece cees 5 A. DEFINITION OF CARD TECHNOLOGY FOR AIT APPLICATIONS .5 B. AR CODE TE Gi he a re cee... kee e ce cccc ec ececennreece cee 8 l. @ieiewerecr 8

2. PNG 13

3. S Eien ola eaeacereennceuee neers. ..-..........--.. eee a eee 14

4. NISOSS. cc csccocccocec eee 14

C. MAGNETIC > TRAP Ota re Gy... eer eaten. sse ee ceeseceeeceeeees LS Ine Oren ASICS, “eee eee 15

ip PE IDIONOIC EN OTOS, cose 20 conec05- on get hone Coe e eee nee Oe ee 18

3 TIIETA 0 BSsoseccosooencoccoacdaeh BUSI SSES EEE ce 19

4. IS AS Sarat), 00-0 0... eee ss.--.....-.--2.-----0-02 I

D. RADIO FREQUENCY IDENTIFICATION (REF/ID) TECHNOLOGY ..20 IE Crease bolt 10 © Se cad) css snccaceessssersossereececeeee 20

2, Pac aaa iae ee ES... SHY. HEME... =... enenreee ee en ees 26

ey SIEPEDIE ED BE, cago: ono noe SORE Ee Oc 28

4. Ys ell eat MME VINES 5, , nn SURI cco Se PMMEMO SUCRE SUNG cece esceec ences 29

IB, OP CE IID) TOSS UNO) GY GP GRRE en een 30 ie CHIC IGG IGG. sere... Sapam immmetementenes.....00.-52-00-000000sc0ceeceneseeee. 30

he PNDIOUNC ATO TUS, GAM 2 cso BBG oc 050000000 OEE ee 23

a: Sten gil: yn eee ee 30

4. WA EMLITIOSS | URIIIERY cosocossond OSU Cae Enbe Unter 34

Ie. PGR Eien CUlmIe) CARD TECHNOLOGY ..............c0cccccees 34 I ocr (Cereal Ge 1g) SY, acc occ oe 34

a. “LCI CIS COM oo nO 35)

b. EXT IDL C@MUOIDS o.oo co ccoc bck e coc sce ee 39

oF TERETE eno sonst Scone 42

d. ARS GS ee eco)... noe setacssseccdenescceceeeees 43

é: Contact Versus Contactless Smart Card Technologies .....44

2 Soe. Sierine Gene! Wee ic Co ee 45

ay Cs) es (nee IR Sees o" a 45

a. 1 TGUTECET TSEC RR oboe 46

b. ASS MERTON es oc eee >)

of MS recess -.. sss <tc. seccs cece scssccceceesensncerntie 29

d VS INT) SSS aa 3.30 eee 54

Ii.

G. MAGNETIC INK AND OPTICAL CHARACTER RECOGNITION TECH NOB OGY ooonicccccccsccsccceseceos0n0ntt tet rs soe aes 54 IL. Characteristics of MICR ......... ee aeanaannen ope ee 55 ue Characteristics of OCR .......... ce 55 oF Strength and Weakness ............::ss::aaenanee essed... ...... 200 56 H. ENHANCING TECHNOLOGIES ...... 23... 5) IL. Biometric and Voice Data Technology ...............ccccsseesescecececeseoens 57 a. Characteristics ........... eee 57 b. Applications. .............:5:32.5aeeeee eee 60 ©. Strength .,.............s+.110: 4) esse e250, 60 d. WeakneSs ............c0+0++.000008ttite anne, .0. 79 6] a Machine Vision Technology .." 3c ee.........: en 61 a. Characteristics .........::c2)ses eel aaanaemeneen ease <nc....000s een 61 oy Applications ..........::.:-22cc-2eeee eee ce see 62 or Strength) .............c.es0ec1009-01 ee 62 d. WeEakneSS .icc.s..ccassc)ccseess-eeeee nee. 2 62 I. HYBRID CARD TECHNOLOGY (3 63 ih SUMMARY csce..escccccvessesesseseesoceee cece deee ete nana teens se 63 AIT CARD APPLICATIONS. ................ccss0s0.552) oe eee ee 65 A. ACCESS CONTROL AND SECURITY". OD B. CAMPUS CARD (STUDENT, FACULTY, SUPPORT PERSONNEL) 66 & DOCUMENT STORAGE CARD) Fi eetisss 004.0000 67 Be ELECTRONIC CERTIPICATION SYSTEM We ..........2::c0c-- 0: 67 ee ELECTRONIC TICKET COLLECTION (ETC) (SPECIAL EVENTS) .68 le. EMPLOYEE CARD (TIME, ATTENDANCE)”........................... ee 68 G. FINANCIAL cocceccseiccccccecesvesnet tee e ees eees On tee eee ene tt tet 69 Il. Accounting Systems ......:.....eennnnet ene a 69 2 Automatic Teller Machine (A PIV ..........222....... 70 5) Credit Collection/Authonization Card )0..).......2.0)....--.1. 71 4 Electronic Benefits Transfer (EBT) ...2..............00.::........02 nn qi): a. Single and Multiple EBT Programs <""".................2 7 b. Supplemental Sectmnity fictome (SSDP) ....................0.enee [oO C. Unemployment Insurance Program. ...................+eee 72 By Prepaid Cash/Debit/Stored Value Card ....................-...-eeeen 13 H. HEALTH SERVICES .....2.2.....:2e 74 Ik Health Services:Card (.ccccssssommeriecs--<0<stce sso eee 74 a Insurance Card’ omg). dads. exes os eee os ee 75 a Pharmacy Card Applications [2iiessee.....20222-....... 76 I LIBRARY CARD SYSTEM ee 76 IL LOGISTICS. ...........0::505-38005 eam yt Te coe see aee 76 IL Inventory/Material Coimtmelieeee::...... cess... 77 a Fuel Control 5iccccjeceeienescemneiten -0ss goer 78

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IV.

3; PAG Dility (epee COMI cs esnscesentteneensonceeeseasesseseens 78

IK Pee A CU RENGIB eee PIOING oooik............sesescesccrsseeseetesscrssceenereeees cc ip MARKETING OPERATIONS (TRADE SHOW, CONVENTION) ....... We, M. PERSONAL IDENTIFICATION AND MANAGEMENT ......0.0000000.. 80 N. RESOURCE MA NAGBie re... ec. ceeceseerececercessenseessesensters 80 ie FOLCSUlYy, Somme 20-5 ---.oc-cccsecnscecnceccs cesses ccesecsusedsacsevennes 8] ys LICENSE cc 2 ec... eeensecsccecsceseceseracseccsananacaeeee 8] 3p Military Doemetemaement PI@Srain ......................cceccsccesessescnsees: 81 O. RePAtL APPLICA Oe hse ae PA TeeyALUED CUSTOMER) ............ 82 P. SE Se I ccc cesetee ecceeeessesesssssesrerenee 82 Ihe Asriculture, Oise s mali OMOtd SYSTEM .......................ccseceeeneeeeees 83 2. Educational Service; Praumima Job Placement .....................0c.ccc06 83 3 Pay lelepnoment@aemeccmiclepiione Cad) ....................ccccceeecceee 84. 4. Parcel) Trachamemamelmaesmontice Operations ..,................ccessseesens 85 2). Weletoral iomeaubrelas (Cancl cole 85 Q. PIN I mt enn occ c ccc ecckececececesececesconsccnesecacecscecceess 86 ie Driver Licensing/Vehicle Registration/Vehicle Identification .....86 jg Electronic Toll Collection (ETC) (Road, Bridge, Bus, Train) ......87 Sy VON SENICI, JP SOCOSS Ye 88 RR. CINSIEIS VIRGIN IT 2. PLC OTe 89 l. ilove einen Meise 150) 0 CaUe CNS ieee scggas 0 acco eee eee eee 89 2 PSOne Se Ce MOM CANTONS 27 ...........,0-cernsnsoensccsccrsoscosrsrossereees 89 35 Soci Welee one OD) 90 5: SUMMARY ....c7e. Semeer........c0e2. soo 3000000. REE a EE 90 DEVELOPMENT AND APPLICATION OF AIT CARD TECHNOLOGY MA- (1 TCIESS* -concecc5odce S200: SoeGHRDdES ee Oe Eee eee ee ee m1 A. AIT CARD TECHNOLOGY FUNCTIONAL CAPABILITY MATRIX 91] IE Development of the AIT Functional Capability Matrix ...............92 2. Application of the AIT Functional Capability Matrix ........ 94 oy AIT Functional Capability Matrix Application Summary ............ 96 B. Peg RO RITA, VIR reece cacdes.ss-ccsesececscacccceccrcccecesaseecavecccacecssscssesess ae, le Development of the AIT Card Application Matrix ................ ee 29 ) Application of the AIT Card Application Matrix ....................... 100 5, Pa @area Application Matmtx SUMITMMATY ................0.ccccceossccorsnsees 103 . Ne en TT ean ose. ssnsesetccscccccescccsescesees 104 PID SES TEIN OS 31) OI OS ee 105 A. DoE UNC COIN oo ee 105 B. Je Les Ame GL RY i ib Gia 106 © Lo SUAS JUSTE C211) 6 107 D. Ey Uline leg | ROTOR Yad Bs (OBIS 7. 107 Ihe cater MUMS TALC AUIGM ...... cece... .5c02.0500s00cececceccececeescce 109

a PaSSWOFC ............2000108s0teeMMnGs co cesess+e<eeecteea ann 109

b Personal Identification Numben( PIN) ..0................0 110

C IOMCITICS®..,..............2- 0 se lass .s000-cc eae 110

d Challenge”and Respons@ Saeeewens..-.............. an 11]

Z Giyptographic Authentication 2 iemiees.s................0e We

a. One-Way Encryption ... eee .c. sss... 2.2 iz

b. Symmetric Key Authenticationmer..........................eaae Is

C Asymmetc Key Authenti¢atigmes.........................a 114

d. KeErbDerOS. ...............2s20¢se+000755e sec. «a 116

or Cryptographic Authentication Summary ................c00008 116

5). Zero-Kmowledge Authentication, ..2eee-............:-..... 117

ES HOLOGRAPHIC SEALS 02:.......:2..020cce00se eee een oo sees 5--- 379 ee 118 ie SECURITY SYSLEM SELECTION 3 118 G: SUMMARY .....25RRRE. vc.5.5.+ 00500300 c ieee seen 120 VI. AITSYSTEM SELECTION AND ACQUISITION METHODOLOGY .......... 2 Ih A. ACQUISITION POMICY VISION .........- 2 ee 121 B. ACQUISITION METHODOBOGY .......:...., PRRs tescccesse-veess:0000-:- P25 if Definition Phase ....:::......2.:., ete eee son ean eee 125

Pas Requirements Piase ............10:-.00re eee, 2 125

By Planning Phase .sses:...........2ccag0 eee eee one te <. Seneca ee

a. Identify AIT System to Meet Current Mission Need(s) .128 b. Identify AIT System to Meet Future Mission Need(s) ...128

Cs Configuration Management <.:.....--.......-.222-.<.- (29

d. Communication with Expert Personnel ...........,..:.-.eaam 130

4. Evaluation Phase .....)..cnt@ ee 130

5. Design Phase «.......:..52:..aiiiie.s-ss0teesateeee er 131

6. Test the Systetiige..:.....:200- Sees) ee. Ves

sla lmmplement, the Sry ster esse ee... ..2 ss 3

8. Review System Operation and Risk Management .....................- ies

Zh, Maintain the System: Life Cycle Management (LCM) ............... 133

e SUMMARY sates WE ssc ee. 134

VII. CONCLUSIONS AND TOPICS FOR FURURE RESEAKCH 135 A. CONCLUSIONS 2222.22... NBS

Ih. AIT Functional Capability Matrix Conclusions ................eee 136

c. AIT Card Application Matrix Conclusions ............... EE. . sy

B. TOPICS FOR FUTURE RESEARCH 2 eee 138 APPENDIX A: STRENGTHS AND WEAKNESSES OF AIT RESOURCES .............. 14] APPENDIX B: FUNCTIONAL CAPABILITY CRITERIA DEFINITIONS ............... 145 APPENDIX C: AIT FUNCTIONAL CAPABILITY MATRIX INFORMATION ....... 149 APPENDIX D: AIT CARD APPLICATION MATRIX INFORMATION .................4. 163° APPENDIX E: GLOSSARY OF TERMS =e eee 169

ACKNOWLEDGEMENT

I would like to thank the many people who contnbuted to my thesis. First of all, I would like to thank my two thesis co-advisors, Professor Carl R. Jones and Lecturer Roger Stemp for their continuous support and guidance, with special thanks to Roger Stemp for funding my attendances at two conferences and my thesis travel to meet with the various experts of AIT resources. I am grateful to the personnel at the Microcircuit Technology in Logistics Application (MITLA) Program Office at Wright-Patterson Air Force Base, Ohio, headed by Mark Reboulet, and the personnel at the LOGSA PSCC ALOGS Division at Tobyhanna Army Depot in Tobyhanna, Pennsylvania, headed by Stuart Crouse, for their support on my visits to demonstrate the various AIT equipment and provide any additional support in answering my questions regarding these resources. I especially want to thank Mark Reboulet and Joe Zagursky for their support in forwarding AIT reference material and standards information, and for their constructive suggestions in review of this thesis material. Iam grateful to Lieutenant Nancy Norton for her assistance with FrameMaker and scanning resources to include in my thesis.

And finally, I would like to thank the many personnel and their companies that provided various information for the thesis, to include: Mr. William Alsbrook, Vice- President, Information Spectrum, Incorporated; Mr. Roger C. Palmer, P. Eng., Vice President - Technology, Intermec Corporation; Mr. Robert Callen, Regional Manager, Canon, U.S.A., Incorporated; Mr. Robert Haddock, M-Power Corporation; Mr. Michael Noll, DISA - Information Technologies Resources, OASD(C3I); and Mr. John Moore,

Chairman - Federal Smart Card Users Group, Department of the Treasury.

cit

I. INTRODUCTION

A. BACKGROUND

Acquiring and managing goods and services has been around for several thousands of years. In the beginning, goods and services were managed and traded for goods and services. When humans finally got serious about trade and how to account for trading concerns, humans created metal ingots, which were assigned some value. Around 650 B.C. in Asia Minor, coins were developed and used in acquiring goods and services. In France, during the eighteenth century, paper money made its way into the trading environment. And the twentieth century was marked with the creation of the credit card by the United States during the 1950s to further facilitate goods and services transactions. [BELS93] In order to acquire and manage goods and services more effectively and efficiently, space and computer technologies, which spurred the “Information Age,” provided the means to automate manual manufacturing, management, and acquisition of data collection processes. Manual data collection processes, possessed with keying mistakes, missing data, inefficient information distribution and delays, affected the efficiency and effectiveness of organizational operations. These inefficiencies cost organizations many billions of dollars in lost sales, created unnecessary and wasteful business expenses [TUTT94], and further heightened the awareness of executive and management personnel that changes must occur for the organization to succeed. Automation of these processes seemed to be the optimal solution and the means and technologies were available to make these changes.

With the movement to automate various functions and applications, automated data collection (ADC) technology, also know as automatic identification technology (AIT), and systems were identified and developed to accurately and rapidly capture, collect, and store data. These technologies emerged in a variety of forms and media for various uses. All the AIT resources have the same purpose, to accurately and rapidly capture data, but the difference of these technologies is the method used to capture and process the data. The major AIT resources that have been applied in some form to automate data collection

applications