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`Old'90083w
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`PROVISIONAL APPLICATION COVER SHEET
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`This is a request for filing a PROVISIONAL APPLICATION under 37 CFR 1.53(c).
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`DOCKET NUMBER: W0537-701000
`Express Mail Label No. EV 307786275 US
`Date of De-osit: June 9. 2006
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`INVENTOR(S)IAPPLICANT(S)
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`Given Name (first and middle [if any])
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`Family Name or Surname
`.
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`Residence (City and either State or
`Foreign Country)
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`[ ] Additional inventors are being named on the separately numbered sheet attached hereto.
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`TITLE OF THE INVENTION (500 characters max)
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`UNIVERSAL SECURE REGISTRY
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`CORRESPONDENCE ADDRESS
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`LCD
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`“EN
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`.
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`I
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`CUSTOMER NUMBER: 37462
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`~
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`ENCLOSED APPLICATION PARTS (check all that apply)
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`[X] Specification Number of Pages 61
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`'[X] Drawing(s) Number of Sheets 24
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`[X] Application Data Sheet. See 37 CFR 1.76
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`[X] Return receipt postcard
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`[
`
`]Other (specify)
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`The invention was made by an agency of the United States Government or under a contract with an agency of the
`United States Government.
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`[X] No
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`[
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`]Yes, the name of the US. Government Agency and the Government Contract Number are:
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`METHOD OF PAYMENT (check all that apply)
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`[X] A check is encIosed to cover the Provisional Filing Fees, including the Application Size Fee (if applicable).
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`[
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`] The Commissioner is hereby authorized to charge the filing fee and the application size fee (if applicable) or credit
`overpayment to Deposit Account 50/2762. A dupIicate of this sheet is enclosed.
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`[X] Small Entity Status is claimed.
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`PROVISIONAL FILING FEE AMOUNT
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`$ 100.00
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`
`
`. June 9, 2006
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`Date
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`= :
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`ectfully submitted.
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`‘.__.4 .
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`- si, RegNo. 37,765
`. No.2617-395-7000
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`..
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`Send to: Commissioner for Patents, P.O. : .'~ 1450, Alexandria, VA 22313-1450
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`Page 1 of 1
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`Apple 1122
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`- 1 -Express Mail Label No.1 EV 307786275 US
`Date of Deposit: June 9, 2006
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`UNIVERSAL SECURE REGISTRY
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`1.
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`Field of Invention
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`BACKGROUND OF INVENTION
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`This invention generally relates to a method and apparatus for securely storing
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`and disseminating information regarding individuals and, more particularly, to a
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`computer system for authenticating identity or verifying the identity of individuals
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`and other entities seeking access to certain privileges and for selectively granting
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`privileges and providing other services in response to such
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`identifications/verifications.
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`2.
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`Discussion of Related Art
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`Control of access to secure systems presents a problem related to the
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`identification of a person. An individual may be provided access to the secure system
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`afier their identity is authorized. Generally, access control to secure computer
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`networks is presently provided by an authentication scheme implemented, at least
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`partly, in sofiware located on a device being employed to access the secure computer
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`network and on a server within the secure computer network. For example, if a
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`corporation chooses to provide access control for their computer network, they may
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`purchase authentication sofiware that includes server-side software installed on a
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`server in their computer system and corresponding client-side sofiware that is
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`installed on the devices that are used by employees to access the system. The devices
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`may include desktop computers, laptop computers, and handheld computers (e.g.,
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`PDAs and the like).
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`In practice, the preceding approach has a number of disadvantages including
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`both the difficulty and cost of maintaining the authentication system and the difficulty
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`and cost of maintaining the security of the authentication system. More specifically,
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`the sofiware resides in the corporation’s computers where it may be subject to
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`tampering/unauthorized use by company employees. That is, the information
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`technology team that manages the authentication system has access to the private keys
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`associated with each of the authorized users. As a result, these individuals have an
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`opportunity to compromise the security of the system. Further, any modification
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`and/or upgrade to the authentication system software is likely to require an update to
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`at least the server-side sofiware and may also require an update of the software
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`located on each user/client device. In addition, where the company’s computer
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`systems are geographically distributed, software upgrades/updates may be required on
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`a plurality of geographically distributed servers.
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`There is also a need, especially in this post September 11 environment, for
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`secure and valid identification of an individual before allowing the individual access
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`to highly secure areas. For example, an FBI agent or an air marshal may need to
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`identify themselves to airport security or a gate agent, without compromising security.
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`Typically such identification may comprise the air marshal or FBI agent showing
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`identification indicia to appropriate personnel. However, there are inherent flaws in
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`this process that allow for security to be compromised, including falsification of
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`identification information or the airport security or personnel not recognizing the
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`situation. Of course this process could be automated, for example, by equipping
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`airport personnel or security with access to a database and requiring the FBI agent or
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`air marshal to appropriately identify themselves to the database, for example, by again
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`providing identification which airport personnel can then enter into the database to
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`verify the identity of the person seeking access to a secure area. However, this
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`process also has the inherent flaws in it as described above. In addition, there may be
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`times when airport security or personnel may not be able to communication with the
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`database to check the identity of the person seeking access, for example, when they
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`are not near a computer terminal with access to a database or are carrying a hand-held
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`device that does not have an appropriate wireless signal to access the database. In
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`addition, there is a need to ensure that if such a hand—held device ends up the wrong
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`hands, that security is not compromised.
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`Systems capable of effectively performing all or some of these functions do
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`not currently exist.
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`SUMMARY OF INVENTION
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`There is thus a need for an identification system that will enable a person to be
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`accurately identified (“identification” sometimes being used hereinafier to mean either
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`identified or verified) and/or authenticated without compromising security, to gain
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`access to secure systems and/or areas. Likewise, there is a need for an identification
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`system that will enable a person to be identified universally without requiring the
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`person to carry multiple forms of identification.
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`Accordingly, this invention relates, in one embodiment, to an information
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`system that may be used as a universal identification system and/or used to selectively
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`provide information about a person to authorized users. Transactions to and from a
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`secure database may take place using a public key/private key security system to
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`enable users of the system and the system itself to encrypt transaction information
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`during the transactions. Additionally, the private key/public key security system may
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`be used to allow users to validate their identity. For example, in one embodiment, a
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`smart card such as the Secure IDTM card from RSI Security, Inc. may be provided
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`with the user’s private key and the USR system’s public key to enable the card to
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`encrypt messages being sent to the USR system and to decrypt messages from the
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`USR system 10.
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`The system or database of the invention may be used to identify the person in
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`many situations, and thus may take the place of multiple conventional forms of
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`identification. Additionally, the system may enable the user’s identity to be
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`confirmed or verified without providing any identifying information about the person
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`to the entity requiring identification. This can be advantageous where the person
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`suspects that providing identifying information may subject the identifying
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`information to usurpation.
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`Access to the system may be by smart card, such as a Secure IDTM card, or any
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`other secure access device. The technology enabling the user to present their identity
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`information may be physically embodied as a separate identification device such as a
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`smart ID card, or may be incorporated into another electronic device, such as a cell
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`phone, pager, wrist watch, computer, personal digital assistant such as a Palm PilotTM,
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`key fob, or other commonly available electronic device. The identity of the user
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`possessing the identifying device may be verified at the point of use via any
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`combination of a memorized PIN number or code, biometric identification such as a
`fingerprint, voice print, signature, iris or facial scan, or DNA analysis, or any other
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`method of identifying the person possessing the device. If desired, the identifying
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`device may also be provided with a picture of the person authorized to use the device
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`to enhance security.
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`According to one embodiment of the invention, a method of controlling access
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`to a plurality of secure computer networks using a secure registry system located
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`remotely from the secure computer networks is disclosed. The secure registry system
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`includes a database containing selected data of a plurality of users each authorized to
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`access at least one of the plurality of secure computer networks. The method
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`comprises acts of receiving authentication information from an entity at a secure
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`computer network, communicating the authentication information to the secure
`registry system, and validating the authentication information at the secure registry
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`system. The method also includes receiving from the secure registry system an
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`indication of whether the entity is authorized to access the secure computer network,
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`granting the entity access to the secure computer network when the authentication
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`information of the entity corresponds to one of the plurality of users, and denying the
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`entity access to the secure computer network when the authentication information of
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`the user does not correspond to one of the plurality of users.
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`Another embodiment of the invention comprises a method of controlling
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`access to a secure computer network using a secure registry system. The secure
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`registry system includes a database containing selected data of a plurality of users
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`authorized to access the secure computer network and selected data identifying the
`secure computer network. The method comprises receiving an access request
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`including authentication information and a computer network ID from an entity,
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`determining whether the authentication information is valid for any of the plurality of
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`users, accessing data when the authentication information of the entity is valid for one
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`of the plurality of users to determine whether the entity is authorized to access the
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`computer network identified by the computer network ID, and allowing the entity to
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`access the secure computer network when the authentication information of the entity
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`is valid for one of the plurality of users authorized to access the computer network
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`identified by the computer network ID.
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`Another embodiment of the invention comprises a method of authenticating an
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`identity of a first entity. The method comprises the acts of wirelessly transmitting
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`from a first device, first encrypted authentication information of the first entity,
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`receiving with a second device the wirelessly transmitted first encrypted
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`authentication information, decrypting with the second device, the first wirelessly
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`encrypted authentication information to provide the first authentication information of
`the first entity to the second device; and authenticating the identity of the first entity
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`based upon the first authentication information; and acting based on the assessed
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`identity of the first entity.
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`Another embodiment of the invention comprises a system for authenticating
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`an identity of a first entity, comprising a first wireless device comprising a first
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`wireless transmitter and receiver configured to transmit a first wireless signal
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`including first encrypted authentication information, a first processor configured to
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`compare stored biometric data with detected biometric data of the first entity and
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`configured to enable or disable use of the first device based on a result of the
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`comparison, and configured to encrypt first authentication information with a first
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`private key of the first entity into the first encrypted authentication information, a first
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`biometric detector for detecting biometric data of the first entity, and a first memory
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`for storing biometric data of the first entity, a private key of the first entity authorized
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`to use the first device, and the first authentication information.
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`'
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`According to some embodiments, the system further comprises a second
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`wireless device comprising a second wireless transmitter and receiver configured to
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`receive the first wireless signal and to process the first wireless signal, a second
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`processor configured to compare detected biometric data of a second entity with
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`stored biometric data and configured to enable or disable use of the second device
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`based upon a result of the comparison, and configured to decrypt the first
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`authentication information received in the first wireless signal, a' biometric detector
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`for detecting biometric data of a second entity, and a second memory storing
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`biometric data of the second entity and a plurality of public keys of a plurality of first
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`entities.
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`BRIEF DESCRIPTION OF DRAWINGS
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`This invention is pointed out with particularity in the appended claims. The
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`above and further advantages of this invention may be better understood by referring
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`to the following description when taken in conjunction with the accompanying
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`drawings. The accompanying drawings are not intended to be drawn to scale. In the
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`drawings, each identical or nearly identical component that is illustrated in various
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`figures is represented by a like numeral. For purposes of clarity, not every component
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`may be labeled in every thawing. In the drawings:
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`FIG. 1 is a functional block diagram of a computer system configured to
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`implement the universal secure registry (“USR”), including a USR database,
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`according to one embodiment of the invention;
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`FIG. 2 is a functional block diagram of a first embodiment of a networked
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`environment including the computer system of FIG. 1;
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`FIG. 3 is a functional block diagram of an entry of a database forming the
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`USR database of FIG. 1;
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`FIG. 4 is a functional block diagram of a second embodiment of a networked
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`environment including the computer system of FIG. 1;
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`FIG. 5 is a flow chart illustrating steps in a process of inputting data into the
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`USR database;
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`I
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`FIG. 6 is a flow chart illustrating steps in a process of retrieving data from the
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`USR database;
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`.
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`FIG. 7 is a flow chart illustrating a first protocol for purchasing goods from a
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`merchant via the USR database without transmitting credit card information to the
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`merchant;
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`FIG. 8 is a flow chart illustrating a second protocol for purchasing goods from
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`a merchant via the USR database without transmitting credit card information to the
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`merchant;
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`FIG. 9 is a flow chart illustrating a protocol for purchasing goods from a
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`merchant via the USR database by validating the user’s check;
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`FIG. 10 is a flow chart illustrating a protocol for purchasing goods from an on-
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`line merchant via the USR database without transmitting credit card information to
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`the on-line merchant, and enabling the on-line merchant to ship the goods to a virtual
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`address;
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`FIG. 11 is a flow chart illustrating a protocol for shipping goods to a virtual
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`address via the USR database;
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`FIG. 12 is a flow chart illustrating a protocol for telephoning a virtual phone
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`number via the USR database;
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`FIG. 13 is a flow chart illustrating a protocol for identifying a person via the
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`USR database;
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`FIG. 14 is a flow chart illustrating a protocol for identifying a person to a
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`policeman via the USR database;
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`FIG. 15 is a flow chart illustrating a protocol for providing information to an
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`authorized recipient of the information via the USR database;
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`FIG. 16 is a flow chart illustrating a protocol for providing application
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`information to an authorized recipient of the information via the USR database;
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`FIG. 17 is a functional block diagram of an embodiment configured to use
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`information in the USR system to activate or keep active property secured through the
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`USR system; and
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`_
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`FIG. 18A is a functional block diagram of an embodiment configured to use
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`the USR system to control access to a secure computer network;
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`FIG. 18B is a functional block diagram of another embodiment configured to
`use the USR system to control access to a secure computer networic;
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`FIG. 19 is a flow diagram of a process for controlling access to a secure
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`computer network with the USR system in accordance with an embodiment of the
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`invention;
`FIG. 20 is a flow diagram of a process for controlling access to a secure
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`computer network with the USR system in accordance with another embodiment of
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`the invention;
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`FIG. 21 illustrates an embodiment of a system for validating the identity of an
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`individual;
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`FIGS. 22A and 223 illustrate one embodiment of a process for validating the
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`identity of an individual;
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`FIG. 23 illustrates one embodiment of various fields included within a first
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`wireless signal and a second wireless signal as transmitted by the system of FIG. 21;
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`FIG. 24 illustrates one embodiment of a process for verifying or authenticating
`the identity of a first user of a first wireless transmission device;
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`FIG. 25 illustrates another embodiment of a process for authenticating the
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`identity of a first user of a wireless transmission device;
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`FIG. 26 illustrates still another embodiment of a process for authenticating the
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`identity of a first user of a wireless transmission device; and
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`FIG. 27 illustrates one embodiment of a data structure that can be used by any
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`wireless device of the system of FIG. 21.
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`DETAILED DESCRIPTION
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`This invention is not limited in its application to the details of construction and
`the arrangement of components set forth in the following description or illustrated in
`the drawings. The invention is capable of other embodiments and of being practiced
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`or of being carried out in various ways. Also, the phraseology and terminology used
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`herein is for the purpose of description and should not be regarded as limiting. The
`’9 6‘
`9’ 3‘
`3’
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`containing ,
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`involving”, and
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`use of “including,
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`comprising,” or “having,
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`variations thereof herein, is meant to encompass the items listed thereafier and
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`equivalents thereof as well as additional items.
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`In one embodiment, an information system is formed as a computer program
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`running on a computer or group of computers configured to provide a universal secure
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`registry (U SR) system. The computer, in this instance, may be configured to run
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`autonomously (without the intervention of a human operator), or may require
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`intervention or approval for all, a selected subset, or particular classes of transactions.
`The invention is not limited to the disclosed embodiments, and may take on many
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`different forms depending on the particular requirements of the information system,
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`the type of information being exchanged, and the type of computer equipment
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`employed. An information system according to this invention, may optionally, but
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`need not necessarily, perform functions additional to those described herein, and the
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`invention is not limited to a computer system performing solely the described
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`functions.
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`In the embodiment shown in FIG. 1, a computer system 10 for implementing a
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`USR system according to the invention includes at least one main unit 12 connected
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`to a wide area network, such as the Internet, via a communications port 14. The main
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`unit 12 may include one or more processors (CPU 16) running USR sofiware 18
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`configured to implement the USR system fimctionality discussed in greater detail
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`below. The CPU 16 may be connected to a memory system including one or more
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`memory devices, such as a random access memory system RAM 20, a read only
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`memory system ROM 22, and one or more databases 24. In the illustrated
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`embodiment, the database 24 contains a universal secure registry database. The
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`invention is not limited to this particular manner of storing the USR database. Rather,
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`the USR database may be included in any aspect of the memory system, such as in
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`RAM 20, ROM 22 or disc, and may also be separately stored on one or more
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`dedicated data servers.
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`The computer system may be a general purpose computer system which is
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`programmable using a computer programming language, such as C, CH, Java, or
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`other language, such as a scripting language or even assembly language. The
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`computer system may also be specially programmed, special purpose hardware, an
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`application specific integrated circuit (ASIC) or a hybrid system including both
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`special purpose components and programmed general purpose components.
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`In a general purpose computer system, the processor is typically a
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`commercially available microprocessor, such as Pentium series processor available
`from Intel, or other similar commercially available device. Such a microprocessor
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`executes a program called an operating system, such as UNIX, Linux, Windows NT,
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`Windows 95, 98, or 2000, or any other commercially available operating system,
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`which controls the execution of other computer programs and provides scheduling,
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`debugging, input/output control, accounting, compilation, storage assignment, data
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`management, memory management, communication control and related services, and
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`many other functions. The processor and operating system defines a computer
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`platform for which application programs in high-level programming languages are
`written.
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`The database 24 may be any kind of database, including a relational database,
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`object-oriented database, unstructured database, or other database. Example relational
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`databases include Oracle 81 from Oracle Corporation of Redwood City, California;
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`Informix Dynamic Server from Informix Software, Inc. of Menlo Park, California;
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`DB2 from International Business Machines of Armonk, New York; and Access from
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`Microsofi Corporation of Redmond, Washington. An example object-oriented
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`database is ObjectStore fi'om Object Design of Burlington, Massachusetts. An
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`example of an unstructured database is Notes from the Lotus Corporation, of
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`Cambridge, Massachusetts. A database also may be constructed using a flat file
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`system, for example by using files with character-delimited fields, such as in early
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`versions of dBASE, now known as Visual dBASE from Inprise Corp. of Scotts
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`Valley, California, formerly Borland International Corp.
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`The main unit 12 may optionally include or be connected to an user interface
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`26 containing, for example, one or more input and output devices to enable an
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`operator to interface with the USR system 10. Illustrative input devices include a
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`keyboard, keypad, track ball, mouse, pen and tablet, communication device, and data
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`input devices such as voice and other audio and video capture devices. Illustrative
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`output devices include cathode ray tube (CRT) displays, liquid crystal displays (LCD)
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`and other video output devices, printers, communication devices such as modems,
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`storage devices such as a disk or tape, and audio or video output devices. Optionally,
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`the user interface 26 may be omitted, in which case the operator may communicate
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`with the USR system 10 in a networked fashion via the communication port 14. It
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`should be understood that the invention is not limited to any particular manner of
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`interfacing an operator with the USR system.
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`It also should be understood that the invention is not limited to a particular
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`computer platform, particular processor, or particular high-level programming
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`language. Additionally, the computer system may be a multiprocessor computer
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`system or may include multiple computers connected over a computer network. It
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`further should be understood that each module or step shown in the accompanying
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`figures and the substeps or subparts shown in the remaining figures may correspond
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`to separate modules of a computer program, or may be separate computer programs.
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`Such modules may be operable on separate computers. The data produced by these
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`components may be stored in a memory system or transmitted between computer
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`systems.
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`Such a system may be implemented in software, hardware, or firmware, or any
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`combination thereof. The various elements of the information system disclosed
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`herein, either individually or in combination, may be implemented as a computer
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`program product, such as USR software 18, tangibly embodied in a machine-readable
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`storage device for execution by the computer processor 16. Various steps of the
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`process may be performed by the computer processor 16 executing the program 18
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`tangibly embodied on a computer-readable medium to perform fimctions by operating
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`on input and generating output. Computer programming languages suitable for
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`implementing such a system include procedural programming languages, object-
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`oriented programming languages, and combinations of the two.
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`As shown in FIG. 2, the computer system 10 may be connected to a plurality
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`of interface centers 27 over a wide area network 28. The wide area network 28 may
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`be formed from a plurality of dedicated connections between the interface centers 27
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`and the computer system 10, or may take place, in whole or in part, over a public
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`network such as the Internet. Communication between the interface centers 27 and
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`the computer system 10 may take place according to any protocol, such as TCP/IP,
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`fip, OFX, or XML, and may include any desired level of interaction between the
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`interface centers 27 and the computer system 10. To enhance security, especially
`where communication takes place over a publicly accessible network such as the
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`Internet, communications facilitating or relating to transmission of data from/to the
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`USR database 24 or the computer system 10 may be encrypted using an encryption
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`algorithm, such as PGP, DES, or other conventional symmetric or asymmetric
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`encryption algorithm.
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`In one embodiment, the USR system 10 or USR database 24 may be able to
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`authenticate its identity to a user or other entity accessing the system by providing an
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`~ appropriate code which may be displayed on the user’s smart card, for example a
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`SecurIDTM card or its equivalent, or other code generator, for example a single use
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`code generator, being employed by the user. A comparison by the user or the code
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`generator between the provided number and an expected number can validate, to the
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`user (or other entity) or the code generator, that communication is with the database
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`and not an imposter.
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`The database 24 shown in FIG. 1 has a USR database containing entries
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`related to persons 1-n. The data in the USR database may also be segregated, as
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`shown in FIG. 4, according to data type to enable individual computer modules to
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`handle discrete applications on discrete data types. Segregating the data, as illustrated
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`in FIG. 4, may make access to the database more robust by enabling portions of the
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`data in the USR database 24 to be accessible even when it is necessary to perform
`maintenance on a portion of the database. However, storing the data in the USR
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`database 24 according to the scheme illustrated in FIG. 1 may make it easier for a user
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`of the database to make changes to multiple types of data simultaneously or in a
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`single session. There are advantages and disadvantages to each data structure, and the
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`invention is not limited to a particular manner of organizing the data within the
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`database 24, data structures other than the two shown also being possible.
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`As shown in FIG. 3, each entry 30 in the database 24 may contain multiple
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`types of information. For example, in the embodiment shown in FIG. 3, the entry
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`contains validation information 32, access information 34, publicly available
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`information 36, address information 38, credit card and other financial information
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`40, medical information 42, job application information 44, and tax information 46.
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`The invention is not limited to a USR containing entries with all of this information or
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`only this particular information, as any information on a person or other entity such as
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`a company, institution, etc. may be stored in USR database 24.
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`If the database information is split between multiple databases, each database
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`will typically include at least the validation and access information to enable the USR
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`software to correlate a validation attempt with a verified validation, and to enable the
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`USR software to determine access privileges to the requested data. Alternatively,
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`databases may be linked to permit information not in a main USR database to be
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`retrieved, with validation/identification for all databases accessed being done at the
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`USR system.
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`In FIG. 3, the validation information is information about the user of the
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`database to whom the data pertains and is to be used by the USR software 18 to
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`validate that the person attempting to access the information is the person to whom
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`the data pertains or is otherwise authorized to receive it. The validation information
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`may be any type of information that will reliably authenticate the identity of the
`individual.
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`In one embodiment, the user of the database will carry a SecurIDTM card
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`available from RSA Security, formerly Security Dynamics Technologies, Inc., of
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`Cambridge, MA. Use of this card enables secure access to the USR database without
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`requiring the user to transmit any personal information. Specifically, to access the
`USR database, the card retrieves a secret user code and/or time varying value from
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`memory and obtains from the user a secret personal identification code. The card
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`mathematically combines these three numbers using a predetermined algorithm to
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`generate a one-time nonpredictable code which is transmitted to the computer system
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`10. The computer system, specifically USR sofiware 18, utilizes the received one-
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`time nonpredictable code to determine if the user is authorized access to the USR
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`database and grants access to the USR database if the user is determined to be
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`authorized. The verification information 32 in the database entry in the embodiment
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`of the invention illustrated in FIG. 3 contains information to enable the USR software
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`18 to validate the user using such a card in this manner.
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`Alternative types of identification cards or tokens may likewise be used. For
`example, other smart cards may be used which generate non-predictable single use
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`codes, which may or may not be time varying, or other access code generators may be
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`used. An algorithm generating such non-predictable codes may also be programmed
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`onto a processor on a smart card or other computing device, such as a cell phone,
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`pager, ID badge, wrist watch, computer, personal digital assistant, key fob, or other
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`commonly available electronic device. For convenience, the term “electronic ID
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`device” will be used generically to refer to any type of electronic device that may be
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`used to obtain access to the USR database.
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`Likewise, various types of biometric information may be stored in the
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`verification area of the database entry to enable the identity of the user possessing the
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`identifying device to be verified at the point of use. Examples of the type of biometric
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`information that may be used in this situation includes a personal identification
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`number (PIN), fingerprint, voice print, signature, iris or facial scan, or DNA analysis.
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`If desired, the verifying section of the database may contain a picture to be transmitted
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`back to the person seeking to validate the device to ensure the person using the device
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`is the correct person. Optionally, the identifying device itself may also be provided
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`with a picture of the person authorized to use the card to provide a facial confirmation
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`of the person’s right to use the card.
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`In FIG. 3, the Access informatio