UNITED STATES PATENT AND TRADEMARK OFFICE
`
`APPLICATION
`NUMBER
`62/035,305
`
`FILING or
`37l(c)DATE
`08/08/2014
`
`GRPART
`UNIT
`
`FIL FEE REC'D
`260
`
`79897
`Turk IP Law, LLC
`2885 Sanford Ave. S.W. #23998
`Grandville, Ml 49418
`
`Ul\TfED STATES DEPA RTME'IT OF COMMERCE
`United States Patent and Trademark Office
`Adiliess. COMMISSIO'JER FOR PATENTS
`PO Box 1450
`Alexandria, Virgmia 22313-1450
`\VVi\V.USpto.gov
`
`ATTY.DOCKET.NO
`IMPJ-0501/5088. 0362USP1
`CONFIRMATION NO. 6681
`FILING RECEIPT
`
`TOT CLAIMS IND CLAIMS
`
`1111111111111111111111 ll]~!l]!~l!~l!~lil~!ll~jiU] 11111111111111111111111
`
`Date Mailed: 08/22/2014
`
`Receipt is acknowledged of this provisional patent application. It will not be examined for patentability and will
`become abandoned not later than twelve months after its filing date. Any correspondence concerning the application
`must include the following identification information: the U.S. APPLICATION NUMBER, FILING DATE, NAME OF
`APPLICANT, and TITLE OF INVENTION. Fees transmitted by check or draft are subject to collection. Please verify
`the accuracy of the data presented on this receipt. If an error is noted on this Filing Receipt, please submit
`a written request for a Filing Receipt Correction. Please provide a copy of this Filing Receipt with the
`changes noted thereon. If you received a "Notice to File Missing Parts" for this application, please submit
`any corrections to this Filing Receipt with your reply to the Notice. When the USPTO processes the reply
`to the Notice, the USPTO will generate another Filing Receipt incorporating the requested corrections
`
`lnventor(s)
`
`Applicant( s)
`
`John Hyde, Corvallis, OR;
`
`John Hyde, Corvallis, OR;
`Power of Attorney:
`Carl Turk--59675
`
`If Required, Foreign Filing License Granted: 08/21/2014
`The country code and number of your priority application, to be used for filing abroad under the Paris Convention,
`is US 62/035,305
`Projected Publication Date: None, application is not eligible for pre-grant publication
`Non-Publication Request: No
`Early Publication Request: No
`Title
`
`RFID TAG CLOCK FREQUENCY REDUCTION DURING TUNING
`
`Statement under 37 CFR 1.55 or 1.78 for AIA (First Inventor to File) Transition Applications: No
`
`PROTECTING YOUR INVENTION OUTSIDE THE UNITED STATES
`
`Since the rights granted by a U.S. patent extend only throughout the territory of the United States and have no
`effect in a foreign country, an inventor who wishes patent protection in another country must apply for a patent
`in a specific country or in regional patent offices. Applicants may wish to consider the filing of an international
`application under the Patent Cooperation Treaty (PCT). An international (PCT) application generally has the same
`page 1 of 3
`
`NXP EX 1007
`NXP v. Impinj
`Page 1
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`

`effect as a regular national patent application in each PCT-member country. The PCT process simplifies the filing
`of patent applications on the same invention in member countries, but does not result in a grant of "an international
`patent" and does not eliminate the need of applicants to file additional documents and fees in countries where patent
`protection is desired.
`
`Almost every country has its own patent law, and a person desiring a patent in a particular country must make an
`application for patent in that country in accordance with its particular laws. Since the laws of many countries differ
`in various respects from the patent law of the United States, applicants are advised to seek guidance from specific
`foreign countries to ensure that patent rights are not lost prematurely.
`
`Applicants also are advised that in the case of inventions made in the United States, the Director of the US PTO must
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`For information on preventing theft of your intellectual property (patents, trademarks and copyrights), you may wish
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`LICENSE FOR FOREIGN FILING UNDER
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`Title 35, United States Code, Section 184
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`Title 37, Code of Federal Regulations, 5.11 & 5.15
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`GRANTED
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`The applicant has been granted a license under 35 U.S.C. 184, if the phrase "IF REQUIRED, FOREIGN FILING
`LICENSE GRANTED" followed by a date appears on this form. Such licenses are issued in all applications where
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`as imposed by any Government contract or the provisions of existing laws relating to espionage and the national
`security or the export of technical data. Licensees should apprise themselves of current regulations especially with
`page 2 of 3
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`NXP EX 1007
`NXP v. Impinj
`Page 2
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`

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`respect to certain countries, of other agencies, particularly the Office of Defense Trade Controls, Department of
`State (with respect to Arms, Munitions and Implements of War (22 CFR 121-128)); the Bureau of Industry and
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`
`Select USA
`
`The United States represents the largest, most dynamic marketplace in the world and is an unparalleled location for
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`+ 1-202-482-6800.
`
`page 3 of 3
`
`NXP EX 1007
`NXP v. Impinj
`Page 3
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`

`

`Doc Code: TR.PROV
`Document Description: Provisional Cover Sheet (SB16)
`
`PTO/SB/16 (11-08)
`Approved for use through 05/3112015. 0MB 0651-0032
`U.S. Patent and Trademark Office: U.S. DEPARTMENT OF COMMERCE
`Under the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless it displays a valid 0MB control number
`Provisional Application for Patent Cover Sheet
`This is a request for filing a PROVISIONAL APPLICATION FOR PATENT under 37 CFR 1.53(c)
`
`lnventor(s)
`
`Inventor 1
`
`Given Name
`
`Middle Name
`
`Family Name
`
`City
`
`State
`
`John
`
`Hyde
`
`Corvallis
`
`OR
`
`Remove
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`us
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`All Inventors Must Be Listed -Additional Inventor Information blocks may be
`generated within this form by selecting the Add button.
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`I Add
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`I
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`Title of Invention
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`RFID TAG CLOCK FREQUENCY REDUCTION DURING TUNING
`
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`IMPJ-0501/5088.0362USP1
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`Customer Number
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`79897
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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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`(!) No.
`0 Yes, the invention was made by an agency of the United States Government. The U.S. Government agency name is:
`0 Yes, the invention was under a contract with an agency of the United States Government. The name of the U.S.
`Government agency and Government contract number are:
`
`EFS - Web 1.0.1
`
`NXP EX 1007
`NXP v. Impinj
`Page 4
`
`

`

`Doc Code: TR.PROV
`Document Description: Provisional Cover Sheet (SB16)
`
`PTO/SB/16 (11-08)
`Approved for use through 05/3112015. 0MB 0651-0032
`U.S. Patent and Trademark Office: U.S. DEPARTMENT OF COMMERCE
`Under the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless it displays a valid 0MB control number
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`Entity Status
`Applicant asserts small entity status under 37 CFR 1.27 or applicant certifies micro entity status under 37 CFR 1.29
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`0 Applicant asserts small entity status under 37 CFR 1.27
`0 Applicant certifies micro entity status under 37 CFR 1.29. Applicant must attach form PTO/SB/15A or B or equivalent.
`~ No
`Warning
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`Petitioner/applicant is cautioned to avoid submitting personal information in documents filed in a patent application that may
`contribute to identity theft. Personal information such as social security numbers, bank account numbers, or credit card
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`Signature
`
`Please see 37 CFR 1.4(d) for the form of the signature.
`
`Signature
`
`/Carl K. Turk/
`
`Date (YYYY-MM-DD)
`
`2014-08-08
`
`First Name
`
`Carl
`
`Last Name
`
`Turk
`
`Registration Number
`(If appropriate}
`
`59675
`
`This collection of information is required by 37 CFR 1.51. The information is required to obtain or retain a benefit by the public which is to
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`form can only be used when in conjunction with EFS-Web. If this form is mailed to the USPTO, it may cause delays in handling
`the provisional application.
`
`EFS - Web 1.0.1
`
`NXP EX 1007
`NXP v. Impinj
`Page 5
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`

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`Privacy Act Statement
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`The information on this form will be treated confidentially to the extent allowed under the Freedom of Information
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`
`NXP EX 1007
`NXP v. Impinj
`Page 6
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`

`

`ATTORNEY DOCKET Nn LMPJ:OSOJ.Pl/5088 0362USPI
`
`UNITED ST ATES OF _,,.'\J\,1ERICA
`
`PROVISIONAL APPLICATION FOR PATENT
`
`FOR INVENTION OF
`
`RFID TAG CLOCK FREQUENCY REDUCTION DURING TUNING
`
`Inventor:
`
`John Hyde
`
`IDF-9690
`
`NXP EX 1007
`NXP v. Impinj
`Page 7
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`

`

`RFID TAG OPERATING FREQUENCY REDUCTION DURING TUNING
`
`BACKGROUND
`
`[0001] Radio-Frequency Identification (RFID) systems typically include RFID
`
`readers, also know11 as RFID reader/writers or RFID interrogators, and RFID tags.
`
`RFID systems can be used in many ways for locating and identifying objects to which
`
`the tags are attached. RFID systems are useful in product-related and service-related
`
`industries for tracking objects being processed, inventoried, or handled. In such cases,
`
`an RFID tag is usually attached to an individual item, or to its package.
`
`{0002] ln principle, RFID techmques entail using an RFID reader to interrogate one
`
`or more RFID tags. The reader transmitting a Ra<liu Fn.::lqmmcy (RF) wave performs
`
`the interrogation. The RP wave is typically electromagnetic, at least in the far field.
`
`The RF wave can also be predominantly electric or magnetic in the near field. The RF
`
`wave may encode one or more commands that instmct the tags to perform one or
`
`more actions.
`
`[0003] A tag that senses the interrogating RF wave may respond by transmitting back
`
`another RF wave. The tag either generates the transmitted back RF wave originally, or
`
`hy reflecting back a portion of the interrogating RF "\-Vave in a process knmx,.11 as
`
`backscatter, Backscatter may take place in a number of ways.
`
`10004] The reflected-back RF wave may encode data stored in the tag, such as a
`
`number. The response is demodulated and decoded by the reader, which thereby
`
`identifies, cm.mts, or otbenvise interacts with the associated item. The decoded data
`
`can denote a serial number, a price, a date, a time, a destination, an encrypted
`
`message, an electronic signature, other attribute(s), any combination of attlibutes, and
`
`so on. Accordingly, when a reader receives tag data it can learn about the item that
`
`hosts the tag and/or about the tag itself:
`
`[0005] An RFID tag typically includes an antenna section, a radio section, a power(cid:173)
`
`management section, and frequently a logical section, a memo1y, or both. ln some
`
`RFID tags the power-management section included an energy storage device such as a
`
`battery. RFID tags with an energy storage device are knovn1 as battery-assisted, semi(cid:173)
`
`active, or acrixe tags. Other RFU) tags can be powered solely by the RF signal they
`
`receive. Such RFlD tags do not include an energy storage device and are called
`
`[DPJ690
`
`2
`
`NXP EX 1007
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`Page 8
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`

`

`passive tags. Of course, even passive tags typically indude tempora1y energy- and
`
`data/f1ag-storage elements such as capacitors or inductors.
`
`BRIEF SUIY[MARY
`
`[0006] This sm:m:nary is provided to introduce a selection of concepts in a simplified
`
`form that are further described below in the Detailed Description. This summruy is
`
`not intended to identify key features or essential features of the da:imed subject
`
`matter, nor is it intended as an aid in determining the scope ofthe claimed subject
`
`matter.
`
`[0007] Embodiments are directed to an RFID IC operating at a relatively low clock
`
`frnquency while :impedance matching to an antenna is being tuned to increase the
`
`amount of power that the IC can extract from an incident RF wave, A tuning circuit
`
`tunes the impedance matching by adjusting a variable impedance coupling tfa.~ IC and
`
`the antenna. The lC may power-up with a low clock frequency or reduce its current
`
`clock frequency to a lower clock frequency prior to tuning or during the tuning
`
`process, and may increase its dock freqm.mcy upon completion of tuning or dming the
`
`tuning process.
`
`[0008] These and other features and advantages will be apparent from a reading of the
`
`following detailed description and a review of the associated drm.vings, It is to be
`
`understood that both the foregoing general description and the following detailed
`
`description are explanatory only and are not restrictive of aspects as claimed.
`
`BRIEF DESCRIPTION OF THE DRAWINGS
`
`[0009] The following Detailed Description proceeds with reference to the
`
`accompanying drawings, in which:
`
`[0010] FIG. t is a block diagram of components of an RFID system.
`
`f 0011] FIG. 2 is a diagram showing components of a passive RFID tag, such as a tag
`that can be used in the system of FIG. 1.
`
`f0012j FIG. 3 is a conceptual diagram for explaining a half-duplex mode of
`
`communication between the components of the RFID system of FIG. 1.
`
`IDF-9690
`
`3
`
`NXP EX 1007
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`Page 9
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`[0013] FIG. 4 is a block diagram showing a detail of an RFID tag, such as the one
`
`shown in FIG. 2.
`
`[0014] FIG. 5A and SB illustrate signal paths during tag-to-reader and reader-to-tag
`communications 1n the block di%>1'IDTI of FIG. 4.
`
`!0015] FIG. 6 depicts an RFID t.ag front-end equivalent circuit including a tuning
`
`circuit
`
`[0016j FIG. 7 is a fiowchart depicting a process for operating a tag ]Cat a low ciock
`
`frequency while performing an RFID tag tuning process.
`
`DETAILED DESCRIPTION
`
`[0017] fo the follmiving detailed description, references are made to the
`
`accompanying drawings that form a part hereof, and in which are shown by way of
`
`mustration specific embodiments or examples. These embodiments or examples may
`
`be combined, other aspects may be utilized, and structural changes may be made
`
`without departing from the spirit or scope ofthe present disclosure. The foHowing
`
`detailed description is therefore not to be taken in a limiting sense, and the scope of
`
`the present invention is defined by the appended claims and their equivalents.
`
`[0018] As used herein, "mernory" is one of ROM, RAM, SRA.M, DRAM, NVM,
`
`EEPROM, FLASH, Fuse, MRAJ\1, FRA.M, and other similar information-storage
`technologies .as wiH be known to tllose skilled in the art. Some portions of rnemory
`
`may be writeable and some not "Command" refers to a reader request for one or
`
`more tags to perfom1 one or more actions. "Protocol" refers to an industry standard
`
`for communications between a reader and a tag (and vice versa), such as the Class-1
`
`Generation-2 UHF RFID Protocol for Communications at 860 MHz - 960 MHz by
`
`EPCglobaL Inc. ("Gen2 Specification''), versions 1.2.0 and 2.0.0 of which are hereby
`
`incorporated by reference.
`
`[0019] FIG. 1 is a diagram of the components of a t,n1ical RFID system 100,
`
`incorporating embodiments. An RFID reader 110 transmits an interrogating RF signal
`
`112. RFID tag 120 in the vicinity ofR.FID reader 110 senses interrogating RF signal
`
`112 and generate signal 126 in response. RFID rnader 110 senses and interprets signal
`
`126. The signals 112 and 126 may include RF waves and/or non-propagating RF
`
`signals (e.g., reactive near-field signals)
`
`JDF-9690
`
`4
`
`NXP EX 1007
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`[0020J Read.er 110 and tag 120 communicate via signals 112 and 126. When
`
`communicating, each encodes, modulates, and transmits data to tht~ other, and each
`
`receives, demodulates, and decodes data from the other. The data can be modulated
`
`onto, and demodulated from, RF waveforms. The RF waveforms are typically :in a
`
`suitable range of frequencies, such as those near 900 MHz, 13.56 lv[Hz, and so on.
`
`[0021j The communication between reader and tag uses symbols, also called RFil)
`
`symbols. A symbol can be a delimiter, a calibration value, and so on. Symbols can be
`implemented for exchanging binary data, such as "O" and "l", if that is desired. When
`
`symbols are processed hy reader I l O and tag 120 they can be treated as values,
`
`numbers, and so on,
`
`[0022] Tag 120 can be a passive tag, or an active or battery-assisted tag (i.e., a tag
`
`having its own power source). w·hen tag 120 is a passive tag, it is powered from
`
`signal 112.
`
`[0023] FIG. 2 is a diagram of an RFID tag 220, which may function as tag 120 of
`
`FIG. 1. Tag 220 is drawn as a passive tag, meaning it does not have its ov,m power
`
`source. Much of what is described in this document, however, applies also to active
`
`and battery-assisted tags.
`
`[0024] Tag 220 is typically (although not necessarily) formed on a substantially
`
`planar inlay 222, which can be made in many ways known in the art. Tag 220
`
`includes a circuit which may be implemented as ru1 lC 224. In some embodiments IC
`
`224 is implemented in complementary metal-oxide semiconductor (CMOS)
`
`technology. In other embodiments IC 224 may be implemented in other technologies
`
`such as bipolar junction transistor (BJT) technology, metal-semiconductor field-effect
`
`transistor (MESFET) technology, and others as will be well knmvn to those skilled in
`
`the art. IC 224 is arranged on inlay 222.
`
`[00251 Tag 220 also includes an ante1ma for exchanging wireless signals with its
`
`environment l11e antenna is often flat and attached to inlay 222. IC 224 is electrically
`
`coupled to the antenna via suitable IC contacts (not shown 1n FIG. 2). The tem1
`
`"electrically coupled" as used herein may mean a direct electrical connection, or it
`
`may mean a connection that includes one or more intervening circuit blocks,
`
`elements, or devices. The "electrical" part of the term "electrically coupled" as used
`
`in this document shall mean a coupling that is one or more of olnnic/galvanic,
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`capacitive, andior inductive. Similarly, the term "electrically isolated" as used herein
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`means that electrical coupling of one or more types (e.g., galvanic, capacitive, and/or
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`inductive) is not present, at least to the extent possible. For example, elements that are
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`electrically isolated from each other are galvanically isolated from each other,
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`capacitively isolated from each other, and/or inductively isolated from each other. Of
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`course, electrically isolated components will genernUy have some unavoidable stray
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`capacitive or inductive coupling between them, but the intent of the isolation is to
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`minimize this stray coupling to a negligible leYel when compared with an electrically
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`coupled path.
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`[00261 IC 224 is shovvn with a single antenna port, comprising two ]C contacts
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`electrically coupied to tvvo antenna segments 226 and 228 which are sho\vn here
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`forming a dipole. Many other embodiments are possible using any number of ports,
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`contacts, antennas, and/or antenna segments.
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`[0027] Diagram 250 depicts top and side views of tag 252, formed using a strap. Tag
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`252 differs from tag 220 in that it includes a substantially planar strap substrate 254
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`having strap contacts 256 and 258. IC 224 is mounted on strap substrate 254 such that
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`the IC contacts on IC 224 electrically couple to strap contacts 2.56 and 258 via
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`suitable connections (not shown). Strap substrate 254 is then placed on inlay 222 such
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`that strap contacts 256 and 258 electrically couple to antenna segments 226 and 228.
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`Strap substrate 254 may be affixed to inlay 222 via pressing, an interface layer, one or
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`more adhesives, or any other suitable means.
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`[0028] Diagram 260 depicts a side view of an alternative way to place strap substrate
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`254 onto inlay 222. Instead of strap substrate 254 's surface, including strap contacts
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`256/258, facing the surface of inlay 222, strap substrate 254 is placed with its strap
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`contacts 256/258 facing away from the surface of inlay 222. Strap contacts 256/258
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`can then be either capacitively coupled to antenna segi:nents 226/228 through strap
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`substrate 254, or conductively coupled using a through-via which may be formed hy
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`crimping strap contacts 256/258 to antenna segments 226/228. ln some embodiments
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`the positions of strap substrate 254 and inlay 222 may be :reversed, ,vi.th strap
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`substrate 254 mounted beneath strap substrate 222 and strap contacts 256/258
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`electrically coupled to antenna segments 226i228 through inlay 222. Of course, in yet
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`other embodiments strap contacts 256/258 may electrically couple to antenna
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`segments 226i228 through both inlay 222 and strap substrate 254.
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`[0029] In operation, the antenna receives a signal and communicates it to IC 224,
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`which both harvests power and responds if appropriate, based on the incoming signal
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`and the IC's internal state. If IC 224 uses backscatter modulation then it responds by
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`modulating the antenna's reflectance, ,1vhich generates response signal 126 from
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`signal 112 transmitted by the reader. Electrically coupling and uncoupling the IC
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`contacts ofJC 224 can modulate the antenna's reflectance, as can varying the
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`admittance of a shunt-connected circuit element which is coupled to the IC contacts.
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`Varying the impedance of a series-connected circuit element is another means of
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`modulating the antenna's reflectance.
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`[0030J In the embodiments of FIG. 2, antenna segments 226 and 228 are separate
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`from IC 224. In other embodiments the antenna segments may alternatively be formed
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`on IC 224. Tag antennas according to embodiments may be designed in any fom1 and
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`are not limited to dipoles. For example, the tag antenna may be a patch, a slot, a loop,
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`a coil, a horn, a spiral, a monopole, microstri_p, stripline, or any other suitable antenna.
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`[0031J The components of the RFID system of FIG. l may communicate with each
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`other in any number of modes. One such mode is called foH duplex. Another such
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`mode is called half-duplex, and is described below.
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`[0032] FIG. 3 is a conceptual diagram 300 for explaining half-duplex
`communications between the components of the RFID system of FIG" L. in this case
`with tag 120 implemented as passive tag 220 of FIG. 2. The explanation is made with
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`reforenc.e to a TIME axis, and also to a human metaphor of "talking" and "listening".
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`The actual technical implementations for ''talking" and "listening" are now described.
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`f0033J RFID reader 110 and RFID tag 120 talk and listen to each other by taking
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`turns. As seen on axis TIME, when reader 110 talks to tag 120 the communication
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`session is designated as "R ➔ r'" and when tag 120 talks to reader 11 O the
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`communication session is designated as "T ➔ R". Along the TIME axis, a sample
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`R ➔ T communication session occurs during a timt~ interval 312, and a following
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`sample T➔ R communication session occurs during a time interval 326. Of course
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`interval 312 is typically of a different duration than interval 326 - here the durations
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`are shown approximately equal only for purposes of illustration,
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`[0034] According to blocks 332 and 336, RFID reader 110 talks during interval 312,
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`and listens during interval 326. According to blocks 342 and 346, RFID tag 120
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`listens while reader 1 IO talks (during interval 312), and talks while reader 110 listens
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`(during interval 326).
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`[00.35] In terms of actual behavior, during interval 312 reader 110 talks to tag 120 as
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`follows. According to block 352, reader 110 transmits signal 112, which was first
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`described in FIG. 1. At the same time, according to block 362, tag 120 receives signal
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`112 and processes it to extract dat.a and so on. Meanwhile, ac