The Auto-ID Trajectory - Contents Page

 

Table of Contents

Certification                                                                                                                ii

Dedication                                                                                                                  iii

List of Tables, Diagrams and Exhibits                                                                        xi

Acronyms and Abbreviations                                                                                     xiii

Abstract                                                                                                                      xxi

Acknowledgments                                                                                                      xxii

List of Publications, Conferences and Seminars                                                        xxiii

 

 

1.         Introduction                                                                                                   1

1.1.       Automatic Identification                                                                    1

1.1.1.   Auto-ID Technologies                                                            1

1.1.2.   Auto-ID Applications                                                             2

1.1.3.   The Significance of Auto-ID                                                  2

1.1.4.   Auto-ID Innovation                                                                2

1.2.       Previous Research                                                                               3

1.2.1.   Current Knowledge                                                                4

1.2.2.   The Emergence of the Auto-ID Paradigm                              5

1.2.3.   The Gap in the Literature                                                        6

1.2.4.   The Auto-ID Trajectory                                                          7

1.3.       Purpose                                                                                               7

1.3.1.   Aims and Objectives                                                               8

1.4.       Conceptual Framework and Methodology                                         9

1.4.1.   Systems of Innovation                                                                        9

1.4.2.   Case Studies                                                                           10

1.4.3.   Underlying Assumptions                                                        10

1.4.4.   Outline                                                                                                11

 

 

2.         Literature Review                                                                                         13

2.1.       Fundamental Definitions in the Innovation Process                           15

2.1.1.   Invention, Innovation and Diffusion                                      15

2.1.1.1.    Invention: Mutation, Recombination, Hybrid        15

2.1.1.2.    Innovation: Radical versus Incremental                 16

2.1.2.   The Innovation Process: Product versus Process                    17

2.2.       Setting the Stage- Karl Marx on Technology                                     18

2.3.       Neoclassical Economic Theory (1870 - 1960)                                    19

2.3.1.   Joseph Alois Schumpeter                                                        19

2.4.       Evolutionary Economic Theory (1980 - 1990)                                   20

2.4.1.   Typical Research Style                                                            22

2.4.2.   Fundamental Concepts                                                           23

2.4.2.1.    Technological Trajectories                                      24

2.4.2.2.    Selection Environment and Other Terms                25

2.5.       The Emergence of the Systems of Innovation Approach (1990 - )    26

2.5.1.   The Value of the SI Approach                                                27

2.5.2.   Typical Research Style                                                            29

2.5.2.1.    SI Empirical Studies at the SIS or TS Level          31

2.6.       Auto-ID Technology Studies                                                             32

2.6.1.   Bar Code                                                                                 33

2.6.2.   Magnetic-stripe Card                                                              33

2.6.3.   Smart Card                                                                              34

2.6.4.   Biometrics                                                                               37

2.6.5.   RF/ID Tags and Transponders                                                38

2.6.6.   Auto-ID and Other Technologies                                           39

2.6.7.   Landmark Studies on Auto-ID and Innovation Studies        40

2.7.       Forecasting                                                                                          41

2.7.1.   From “Electronic Banks” to “Digital Money”                        44

2.8.       Conclusion                                                                                          47

 

 

3.         Research Design                                                                                            50

            3.1       Research Paradigm                                                                             50

3.1.1.   Qualitative Strategy                                                                50

3.2        Research Design                                                                                 50

             3.2.1.   The Architecture                                                                     50

             3.2.2.   The Narrative Approach                                                         52

3.2.2.1.    Audience                                                                 53

3.2.2.2.    Encoding                                                                 53

3.2.2.3.    Quoting                                                                   54

3.3       Methodology                                                                                      54

3.3.1.   Multiple Embedded Case Study                                            55

3.3.2.   Literal Replication                                                                  58

3.3.3.   Case Study Protocol                                                               61

3.3.4.   External Validity                                                                    62

3.4.      Data Collection                                                                                   63

            3.4.1.   Systems of Innovation Bounds                                              63

3.4.2.   Construct Validity                                                                  66

3.4.3.   Multiple Sources of Evidence                                                 67

3.4.3.1.    Documentation                                                       67

3.4.3.2.    Archival Records                                                    69

3.4.3.3.    e-Research                                                               70

3.5.      Data Analysis                                                                                      71

             3.5.1.   The Data Management Process                                               71

             3.5.2.   Toward Naturalistic Generalisations                                       73

             3.5.3.   Content Analysis                                                                    73

3.5.3.1.    Coding                                                                    74

3.5.3.2.    Pictures as Content                                                 75

3.5.4.   Reliability                                                                                75

3.6.       Conclusion                                                                                          76

 

 

4.         Historical Background: From Manual to Auto-ID                                    77

4.1.       Manual Identification                                                                         77

4.1.1.   Identification Techniques Throughout the Ages                    77

4.1.2.   The Misuse of Manual ID                                                       78

4.2.       Advances in Record Keeping                                                             80

4.2.1.   The Census- Registering the Population                                 80

4.2.2.   The Notion of a Personal Document File                               81

4.3.       The Evolution of the Citizen ID Number                                           84

4.3.1.   Case: The U.S. Social Security Administration (SSA)           84

4.3.1.1.    The SSN Gathers Momentum                                 85

4.3.1.2.    The Computerisation of Records                            86

4.3.1.3.    Problems with Government Citizen Identifiers      87

4.4.       The Rise of Automatic Identification Techniques                              88

4.4.1.   The Commercialisation of Identification                                88

4.4.2.   Too Many IDs?                                                                       89

4.4.2.1.    Numbers Everywhere                                             90

4.5.       Conclusion                                                                                          91

 

 

5.         The Development of Auto-ID Technologies                                               92

5.1.       Bar Codes                                                                                           92

5.1.1.   Revolution at the Check-out Counter                                     92

5.1.2.   The Importance of Symbologies                                             94

5.1.3.   Bar Code Limitations                                                             97

5.2.       Magnetic-Stripe Cards                                                                        97

5.2.1.   The Virtual Banking Revolution (24x7)                                 98

5.2.2.   Encoding the Magnetic-strip                                                  100

5.2.3.   Magnetic-stripe Drawbacks                                                    102

5.3.       Smart Cards                                                                                        103

5.3.1.   The Evolution of the Chip-in-a-Card                                      103

5.3.2.   Memory and Microprocessor Cards                                        106

5.3.3.   Standards and Security                                                           108

5.4.       Biometrics                                                                                           110

5.4.1.   Leaving Your Mark                                                                110

5.4.2.   Biometric Diversity                                                                 112

5.4.2.1.    Fingerprint Recognition                                          114

5.4.2.2.    Hand Recognition                                                   115

5.4.2.3.    Face Recognition                                                    115

5.4.2.4.    Iris Recognition                                                      116

5.4.2.5.    Voice Recognition                                                  117

5.4.3.   Is There Room for Error?                                                        117

5.5.       RF/ID Tags and Transponders                                                            118

5.5.1.   Non-contact ID                                                                       118

5.5.2.   Active versus Passive Tags and Transponders                        120

5.5.2.1.    RF/ID Components Working Together                  121

5.6.       Evolution or Revolution?                                                                    122

5.6.       Conclusion                                                                                          125

 

 

6.         The Dynamics of the Auto-ID Innovation System                                     127

6.1.       Definition of Stakeholders                                                                 127

6.2.       Bar Code: The Auto-ID Pioneer Technology                                     129

6.2.1.   Committees, Subcommittees and Councils                            129

6.2.2.   Public Policy                                                                           132

6.2.3.   Spreading the Word                                                                133

6.2.4.   Clusters of Knowledge and a Growing Infrastructure           134

6.2.5.   Setting Standards                                                                   136

6.2.6.   Legal Aspects                                                                         138

6.3.       Magnetic-Stripe Card: the Consolidating Force                                 139

6.3.1.   Retail and Banking Associations Join Forces                         139

6.3.2.   From Exclusivity to Interoperability                                       140

6.3.3.   The ATM Economic Infrastructure                                        141

6.3.3.1.    The Global Inter-bank Network                             142

6.3.4.   Calculated Social Change                                                       143

6.3.5.   A Patchwork of Statutes                                                        146

6.3.6.   Incremental Innovations                                                         148

6.3.7.   Collaborative Research                                                           150

6.4.       Smart Card: the Next Generation                                                       151

6.4.1.   Social Specialisation of Labour                                              151

6.4.2.   Firm-to-Firm Collaboration                                                     153

6.4.3.   Geographic Clustering                                                            154

6.4.3.1.    Private Enterprise and University                           155

6.4.3.2.    Consortiums and Alliances                                     156

6.4.4.   Communicating Information                                                  157

6.4.5.   The Importance of ISO                                                           158

6.4.5.1.    Specifications                                                          159

6.4.6.   Legal, Regulatory and Policy Issues                                       160

6.5.      Biometrics: In Search of a Full-Proof Solution                                  163

6.5.1.   An Emerging Technology                                                       163

6.5.2.   From Proprietary to Open Standards                                      165

6.5.2.1.    BioAPI                                                                    166

6.5.3.   Consortiums and Associations                                                167

6.5.4.   Government and Industry Links with Academia                   168

6.5.5.   Legislation and New Technologies                                         169

6.5.6.   Privacy: Friend or Foe?                                                           172

6.5.7.   End-User Resistance                                                               174

6.6.       RF/ID Tags and Transponders: The New Arrival                               176

6.6.1.   A Time to Grow, a Time to Nurture                                       176

6.6.2.   Standardisation: Opposing Forces at Hand                            178

6.6.2.1.    From Industry-Specific to Global Standards         179

6.6.2.2.    Organisations Supporting Change                          180

6.6.3.   Abiding to Regulations                                                           181

6.6.3.1.    Frequency Ranges and Radio Regulations             181

6.6.3.2.    Application-specific Regulations                            182

6.6.4.   The Importance of Collaboration                                            183

6.6.4.1.    Collaboration within the Firm                                 183

6.6.4.2.    Private Enterprise and University Collaboration    184

6.6.5.   Patent Explosion                                                                     186

6.6.6.   Necessary Product Improvements                                          187

6.6.6.1.    Consumer Fears                                                      189

6.6.7.   Once Labelled Conspiracy Theories                                       190

6.7.       Conclusion                                                                                          192

 

 

7.         Ten Cases in the Selection and Application of Auto-ID                            193

7.1.       Bar code Product Innovation                                                             194

7.1.1.   Case 1: Retail                                                                          196

7.1.1.1.    RF/ID Complementary or Replacement?               197

7.1.2.   Case 2: Education                                                                   199

7.1.2.1.    Smart Card or Hybrid Card                                                201

7.2.      Magnetic-stripe Card Product Innovation                                          203

7.2.1.   Case 3: Financial Services                                                       205

7.2.1.1.    Are Magnetic-stripe Cards Outdated?                   206

            7.2.1.1.1.    Electronic Purse to Cashless Society       208

7.2.1.1.2.    Biometrics and Beyond                           210

7.2.2.   Case 4: Transportation                                                            211

7.2.2.1.    The Smart Choice for Contactless Ticketing          213

7.3.       Smart Cards Product Innovation                                                        218

7.3.1.   Case 5: Telecommunications                                                   219

7.3.1.1.    Smart versus “Dumb” Cards                                   222

7.3.2.   Case 6: Health Care                                                                224

7.3.2.1.    Privacy Concerns over Smart Card                         226

7.4.       Biometric Product Innovations                                                           227

7.4.1.   Case 7: Government Services                                                 231

7.4.1.1.    Towards Integrated Auto-ID Systems                   233

7.4.2.   Case 8: Entertainment                                                             237

7.4.2.1.    Card Technologies Welcome                                  238

7.5.       RF/ID Product Innovations                                                                239

7.5.1.   Case 9: Animal Tracking and Monitoring                               240

7.5.1.1.    Traditional Manual Identification for Animals       243

7.5.2.   Case 10: Human Security and Monitoring                             244

7.5.2.1.    The Importance of the ID Number                         250

7.6.       Conclusion                                                                                          252

 

 

8.         The Auto-ID Trajectory: Converging Disciplines                                      254

8.1.       The Rise of Wearable Computing                                                       255

8.1.1.   1G Wearables: Mobile Phones, PDAs and Pagers                  256

8.1.1.1.    Industrial Application                                             258

8.1.2.   2G Wearables: E-Wallets and Wristwatches                          260

8.1.2.1.    Medical Application                                               262

8.1.3.   3G Wearables: Smart Clothes and Accessories                      263

8.1.3.1.    Military Application                                                265

8.2.       The Paradigm Shift- From Wearable to Implantable Devices            266

8.2.1.   The Role of Auto-ID                                                              268

8.2.2.   The Impact of Mobility                                                           270

8.2.3.   Global Positioning System (GPS) Tracking                            272

8.2.4.    Towards a Unique Identifier for UPT                                                275

8.3.       Case Study: Auto-ID Adapted for Medical Implants                                    276

8.3.1.   Biochips for Diagnosis and Smart Pills for Drug Delivery     277

8.3.2.   Cochlear Implants- Helping the Deaf to Hear                        279

8.3.3.   Retina Implants- on a Mission to Help the Blind to See        280

8.3.4.   Tapping into the Heart and Brain                                           282

8.3.4.1.    Attempting to Overcome Paralysis                         283

8.3.4.2.    Granting a Voice to the Speech-impaired               284

8.4.       Onward the Quest for Immortality                                                     286

8.4.1.   Towards Electrophoresis                                                         288

8.4.1.1.    The Soul Catcher Chip                                            289

8.5.       The Evolutionary Paradigm                                                                291

8.6        Conclusion                                                                                          294

 

 

9.         Evolving Trends and Patterns                                                                     295

9.1.      Major Findings                                                                                    295

9.1.1.   The Auto-ID Industry as a Technology System (TS)             295

9.1.1.1.   Auto-ID Technologies Share Same Trajectory        296

9.1.2.   The Auto-ID Innovation Process                                            298

9.1.3.   The Auto-ID Selection Environment                                      300

9.1.4.   Auto-ID Device Migration, Integration and Convergence    302

9.1.4.1.    Migration from Magnetic-stripe to Smart Cards    303

9.1.4.2.    Migration from Bar Codes to RF/ID                      305

9.1.4.3.    Integration- the Rise of Multi-Technology Cards  306

9.1.4.4.    Converging Auto-ID Technologies                                    306

9.1.5.   Towards a Model of Coexistence                                           308

9.2.       Minor Findings                                                                                   310

9.2.1.    The Suitability of SI in Studying Clusters of Technologies   310

9.2.2.    The Requirement for Interaction Between Stakeholders       310

9.2.3.    Increasing Level of Invasiveness in Auto-ID Techniques      312

9.2.4.    The Wireless Communications Advantage                             313

9.2.5.    The Need to Forecast Auto-ID Innovation                            314

9.2.6.    Extensive Bibliography and Online Resources                       315

9.3.       Trends and Patterns Emerging from the Case Studies                       315

9.3.1.   Information Centralisation- Big Brother Plays “Eyes Spy”   316

9.3.1.1.    Preserving Privacy in a Technological Society       317

9.3.2.   Mandatory Proof of Identity                                                  318

9.3.2.1.    The Prospect of National ID Chip Implants           319

9.3.3.   Regulating an Unexplored Technology                                  321

9.3.4.   Social Consequences                                                               323

9.3.5.   The Potential for Health Risks                                                324

9.3.6.   Religious Advocates Object to the “Mark”                            325

9.3.7.   From the ENIAC to High-Tech Gadgetry                             328

9.3.7.1.    Shifting Cultural Values                                         328

9.3.8.   Ethics and a Growing Moral Dilemma                                   330

9.3.8.1.    Beyond Chip Implants                                            331

9.4.      The Evolution of the Electrophoresis Trajectory                                332

9.4.1.   Towards Ubiquitous Computing                                            332

9.4.1.1.    The Human as an Electrophorus                             334

9.4.2.   Have We Really Thought About the Consequences?             335

 

 

10.       Conclusion                                                                                                     338

10.1.    Principal Conclusions                                                                          338

10.1.1. The Evolutionary Paradigm                                                    338

10.1.2. Forecasting Technological Innovation                                    339

10.1.3. Technology is Autonomous                                                    340

10.2.    Major Implications                                                                              341

10.2.1. Reinterpreting the Meaning of Progress                                 341

10.2.2. Managing Technological Innovation                                      342

10.2.3. Who is in Control?                                                                  343

10.2.4. Back to the Future                                                                  344

10.3.    Research Scope                                                                                   345

10.3.1. Links to Earlier Findings                                                        345

10.3.2. To Whom Do These Findings Apply?                                    345

10.3.3. Limitations                                                                              345

10.4.    Recommendations                                                                              347

10.4.1. Further Research                                                                     347

10.4.2. Actions                                                                                    348

10.5      Conclusion                                                                                          349

 

 

Bibliography                                                                                                               352

Online Resources                                                                                                        428