Abstract:
The present invention relates to a method and apparatus for controlling the distribution of age controlled merchandise or services based upon inputting personal information data encoded on an identification document, such as a driver&#39;s license, to determine whether the transaction is legal.

Description:
This is a continuation-in-part of 08/926,284, filed Sep. 5, 1997, now U.S. Pat. No. 6,148,091. 
    
    
     BACKGROUND OF THE INVENTION 
     1. Field of the Invention 
     The present invention relates to a method and apparatus for controlling the sale of age-controlled merchandise. More particularly, it relates to accessing personalized identification information and encoded age data stored in at least one machine readable medium on an individual&#39;s identification document, such as a driver&#39;s license or other official document, to determine whether an individual is of legal age. 
     2. Description of the Prior Art 
     There are various forms of identification that are commonly accepted by businesses and government agencies as proof of age. The most convenient forms of identification are government issued documents such as a driver&#39;s license, passport, social security card, voter&#39;s registration card, and immigration card. Another example of an identification document is a smart card, which contains a memory provided by an embedded integrated circuit. These documents provide statistical information regarding the authorized bearer of the identification document in at least one machine readable medium such as a barcode or magnetic stripe. Many identifying documents have more than one machine readable medium for storing identifying information. For example, a driver&#39;s license typically includes a photograph, printed textual information and visible encoded information, such as a barcode. In some cases a magnetic stripe provides a higher level of security and additional information regarding the bearer. For example, the information stored in the magnetic stripe of a driver&#39;s license may include identifying information about the authorized bearer, such as eye color, hair color, height, weight, epidermal topographical patterns, etc. Examples of epidermal topography include digital data of bearer&#39;s fingerprint, knuckle print, palm print, etc. The identifying information may include eye patterns indicative of the iris or retina of the identification document bearer. The barcode and magnetic stripe may also include data related to ascertaining the age of the bearer. Alternatively, the above information may be stored in the memory of an embedded integrated circuit on a smart card. 
     The importance of the driver&#39;s license is emphasized by the fact that traffic accidents caused by underaged drivers obtaining alcohol using false driver&#39;s licenses is a major contributor to fatalities, injuries and property damage. In addition, there is a need to reduce the number of youths beginning to smoke to reduce health risks. Establishments wishing to avoid the sale of tobacco or alcohol may check the photograph and date of birth printed on driver&#39;s licenses. However, many youths have easy access to counterfeit driver&#39;s licenses. Accordingly, there is a need to confirm the correct age of a customer wishing to purchase alcohol, tobacco and other age-controlled merchandise by reading encoded data on at least one machine readable medium. 
     Legal liability is a major concern of merchants of age controlled products or services. Most jurisdiction have stiff penalties including heavy fines and imprisonment for selling alcohol and tobacco to minors. Despite all of the precautions taken by a merchant, there still exists the possibility that these precautions may be circumvented. For example, an underage individual may have access to high quality forged identification documents. Accordingly, it is desirable to be able to immediately verify that the merchant followed reasonable precautions in dispensing an age controlled product or service. 
     Additionally, a merchant&#39;s own employees may bypass some of the precautions. The employees may dispense an age controlled product or service to a friend without checking their friend&#39;s identification document. Accordingly, it is desirable to be able to readily identify the employee who dispenses the product or service. 
     There are a number of methods and apparatuses for verifying data authenticity. For example, U.S. Pat. No. 3,636,318 discloses a verifiable identification document having a randomized unique pattern of normally invisible but mechanically detectable material (e.g. finely divided ferromagnetic material) in a zone overlapping any visible indicia. A mechanical reader scans the document to verify its authenticity. The identity of the bearer along with the unique pattern is stored in memory. When a document is later read by a mechanical reader, the bearer&#39;s name and the pattern are compared with the name and unique associated pattern stored in memory to confirm the document&#39;s authenticity. 
     U.S. Pat. No. 3,702,392 discloses a method and apparatus for verifying the identity of a bearer of an identification document having a plural digit identifying number as an associated security code. The authenticity of the identification document is verified by: 1) accepting a code entered by the bearer, 2) generating the security code associated with certain digits of the identifying number on the identification document, and 3) comparing the security code to the entering code to verify that the codes are the same. 
     U.S. Pat. No. 4,689,477 discloses a document having a verifiable composition substance and informational content. The document has a unique-counterfeit characteristic which may be machine sensed. The document is unique by reason of the opacity pattern of the document. The print and photograph alter the opacity or translucency of the document in certain specific areas. In addition, character uniqueness data is encrypted on a magnetic stripe of the identification document in that when the identification document is read, the identification document reader recognizes the document as genuine. Statistical information, such as a birth date which may be used to verify that the document is genuine, is also encrypted on the document. However, this document does not treat the question of whether the person presenting the identification document is the assigned holder. 
     U.S. Pat. No. 5,284,364 discloses a document security system characterized by a data substrate having a personalized polarization-altering overlay sealed to a base print and encoded with additional information readable under the influence of a polarizing viewer. Tampering with the identification document will create optical errors which become evident when the tampered document is viewed through the polarizing viewer. 
     U.S. Pat. No. 5,337,361 discloses a document on which encoded information is overlaid on a graphic image. The precise content of the encoded information is not important. The advantage of the coded information overlaying the photograph is that such an arrangement would make it extremely difficult to change the information on the photograph without detection. 
     U.S. Pat. No. 5,214,699 seeks to provide a fake-proof identification document decoding system for reading data from an EPROM memory chip, which is located on the identification document. An identification document reader accesses the memory to obtain the unique personal identification information. Although this document suggests the use of such a chip with a driver&#39;s license, they typically do not include memory chips due to cost constraints. 
     Notwithstanding the above prior art efforts, there remains a need for an inexpensive device that overcomes the problems associated with the prior art. 
     SUMMARY OF THE INVENTION 
     The present invention provides a device for reading encoded information stored in at least one machine readable medium on an identification document. The device uses the encoded age data to calculate the age of the bearer. The device also stores the encoded information for later retrieval. 
    
    
     DESCRIPTION OF THE DRAWINGS 
     FIG. 1 is a block diagram of a typical identification document, such as a driver&#39;s license; 
     FIG. 2 is a block diagram of a typical rear face of a FIG. 1 identification document; 
     FIG. 3 is a block diagram of one embodiment of the present invention; 
     FIGS. 4 and 5 are flow charts illustrating the method steps of an embodiment of the present invention; 
     FIG. 6 is a flow chart of record creation and storage; 
     FIG. 7 is a block diagram of components used in record creation, storage and retrieval; 
     FIG. 8 is a flow chart of the scrolling function. 
    
    
     DESCRIPTION OF THE PREFERRED EMBODIMENTS 
     The preferred embodiments are described with reference to drawing figures wherein the numerals represent like elements throughout. 
     FIG. 1 shows a front face of an identification document  10  having a photograph  12  and a visible machine readable code  14 . The identification document  10  can be anything, printed, written, encoded, etc., which is relied upon to record data or provide identification. Preferably, it is an official document or government issued document. Any machine readable media storing identifying information may be placed on the identification document  10 . The identification document  10  preferably contains human readable personal identification information such as the identification document number, bearer&#39;s name, address, eye color, and height. The same personal identification information may be encoded in the machine readable form. Age data such as date of birth, identification document issue date and identification document expiration date is preferably included data in the machine readable form. 
     FIG. 2 shows the rear face of the identification document  10  which includes a magnetic stripe  16 . The personal identification information from the front is also preferably encoded on the magnetic stripe  16 . In addition, age data such as date of birth, identification document issue date, age at issue date and identification document expiration date is preferably encoded on the magnetic stripe  16 . A personal characteristic, such as an epidermal topographical pattern, iris pattern or retina pattern, may also be encoded on the magnetic stripe  16 . 
     FIG. 3 shows a system for reading identification document  10  having a barcode  14 , magnetic stripe  12  or both. The system of FIG. 3 includes an identification document reader  20  connected to a processing unit  30 , such as an eight-bit processor. A keypad  40  (having keys, such as an up  96 , down  98 , scroll  100  and clear keys  102 ) is also connected to the processing unit  30 . The processing unit  30  accesses a memory  50 , which is preferably an EPROM, and a memory  55 , which is preferably 64 k of Random Access Memory (RAM). The processing unit  30  outputs signals to a display  60 , a speaker  70  and a printer  80 . The display  60  has visual displays such as Light Emitting Diodes (LEDs)  62 ,  64 ,  66  and a display screen  68 . A personal computer could be substituted for processing unit  30 , keypad  40 , memories  50  and  55 , speaker  70  and display  60 . A personal physical characteristic scanner  90  may also be connected to processing unit  30 . An example of a personal characteristic scanner is an epidermal topographical scanner, which generates epidermal topographical patterns. A retina or iris scanner are other examples of personal physical characteristic scanners. 
     The processing unit  30  determines whether the bearer can purchase or rent age-controlled merchandise or gain access to an age-controlled activity based upon the bearer&#39;s age. The presented identification information, age data, current date, current time, and whether the bearer was authorized to purchase or rent age-controlled merchandise or gain access to age-controlled services is stored in memory  55 . That stored information may be accessed for printing of a report by printer  80  for scrolled through on a display  68 . 
     The legal ages for purchasing age-controlled merchandise or gaining access to age-controlled services is preferably set in the system at the factory. However, a supervisor can input a PIN number through keypad  40  to change the legal age required to purchase age-controlled merchandise or gain access to age-controlled services. In addition, the current time and date, printer set up functions and transferring data from the memory  55  to a host computer can be set by entering a PIN number via the keypad  40 . 
     The preferred system preferably also includes a time and attendance function. For example, an operator is required to enter a code via keypad  40  before beginning a shift and to enter a code to indicate the end of a shift. This time and attendance information can be used for payroll, comparisons with cash receipts in an attempt to ascertain whether an operator is selling age-controlled merchandise without verifying the age of the purchaser. 
     The display  60  preferably includes a yellow  62 , a red  64 , and a green  66  LED. Other colors or additional lighting devices may be used. The display  60  also preferably includes a display screen  68 . The light emitting devices indicate the results of computations performed by the processing unit  30  and the screen  68  may confirm them or provide instructions to the operator. 
     The method for utilizing the system is generally shown in the flow diagrams of FIGS. 4 and 5. After the system is started by the operator (S 1 ), the system is automatically initialized (S 2 ). An identification document  10  is inserted into or otherwise positioned to be scanned by identification document reader  20  (S 3 ). 
     The identification document reader  20  reads at least one of the machine readable medium such as the visible machine readable code  14  or the data encoded on the magnetic stripe  16  of identification document  10  and transmits the data to processing unit  30 (S 4 ). The processing unit  30  maintains the current date and time and reads the current date and time from a register or memory (S 5 ). By comparing the expiration date to the current date, the processing unit  30  verifies whether the identification document  10  has expired. The processing unit  30  receives the age data from identification document reader  20  and calculates the age of the bearer of the identification document  10  using the current date and age data (S 6 ). Alternately, if the encoded data does not include age data, the identification document number or the expiration date, the operator will be prompted by screen  68  to input the missing data. The missing data, such as the date of birth shown, on the identification document  10 , is input by an operator using keypad  40 . Since some official identification documents  10  are issued without encoded age data, the keypad input allows for age verification using those documents. 
     The age of the bearer of the identification document  10  may be calculated in a variety of ways using the age data and the current date. For example, the date of birth read from the identification document  10  maybe subtracted from the current date. If the age data included the bearer&#39;s exact age on the date the bearer&#39;s identification document issued  10 , the identification document  10  issued date could be used with the day of birth, month of birth and current date to ascertain the bearer&#39;s age. If the age data included the bearer&#39;s exact age on the date the bearer&#39;s identification document  10  expired, the identification document  10  expiration date could be used with the day of birth, month of birth and current date to ascertain the bearer&#39;s age. The above examples are intended to be instructive rather than restrictive because there are many different ways to encode age data and ascertain the actual age of the bearer therefrom. 
     Once the bearer&#39;s age has been determined, the known legal age for purchasing or renting age-controlled merchandise or gaining access to age-controlled services is read from memory  50  (S 7 ). If the bearer&#39;s age is less than the required minimum legal age, the processing unit  30  outputs a signal to display  60  and speaker  70  (S 9 ). After the display  60  receives the signal, the light emitting device (yellow)  62  is lit, the screen  68  advises the operator of the system that no sale, rental or service is authorized and the speaker  70  emits a predetermined number of beeps. After a predetermined time period, the system returns to step S 3  (S 10 ). 
     If the bearer&#39;s age is greater than or equal to the minimum age for purchasing or renting age-controlled merchandise or gaining access to age-controlled services and the document  10  is not expired, the processing unit  30  outputs a signal to the display  60  or speaker  70  (S 11 ). After the display  60  receives the signal, the light emitting device  66  is lit. The screen  68  advises the operator that sale, rental or the service is authorized. The speaker  70  may emit a predetermined number of beeps to indicate the same condition. 
     Under suspicious circumstances, the screen  68  may prompt the operator to compare the photograph  12  or identification document  10  with the bearer before selling or renting controlled merchandise to the bearer or before permitting the bearer to access age-controlled services. If the operator inputs verification that the photograph  12  on the identification document  10  matches the appearance of the bearer (S 12 ), the sale is authorized. If not, the sale is rejected. After a predetermined period of time or functional operation, the system returns to step S 3  (S 13 ). 
     If the bearer&#39;s age is only greater than or equal to the minimum age for purchasing or renting only some of the age-controlled merchandise or gaining access to only some age-controlled services, the processing unit  30  outputs a signal to the display  60  or speaker  70 . After display  60  receives the signal, light emitting device  64  is lit, and the screen advises the operator as to the merchandise which can be sold or rented to the bearer. The screen may also advise the operator as to the age-controlled services which may be rendered to the bearer. This comparison is performed at step S 8  in the flow charts of FIGS. 4 and 5. 
     For increased security, the identifying document may include an encoded epidermal topographical pattern stored in a machine readable form. After the identification document is inserted or positioned (S 3 ), the stored epidermal topographical pattern is read from the machine readable medium (S 31 ). The identification document bearer places the corresponding epidermis on the personal physical characteristic scanner  90  (S 32 ) and a digital epidermal topographical pattern is generated (S 33 ). If the read epidermal topographical pattern matches the scanned epidermal topographical pattern, the age data may be read from the machine readable medium (S 34 ). If the read epidermal topographical pattern does not match the scanned epidermal topographical pattern, the display  60  provides a message indicating that the scanned epidermal topographical pattern did not match the read epidermal topographical pattern (S 35 ). If there is no match, the operator is alerted that the card or the bearer has provided unverified identification. Alternatively, an iris or retina scanner could be substituted for the epidermal topographical scanner. 
     FIG. 6 illustrates a method for storing records for use in record retrieval. The method of FIG. 6 will be explained in conjunction with FIG. 7 which depicts the components used for the creation, storage and retrieval of records. 
     To participate in an age restricted activity, an individual presents an identification document  10  to verify his/her eligibility to partake in the activity. The encoded information on the identification document  10  is read by identification document reader  20  (S 60 ). The read encoded information is sent to a processor  30 . The processor  30  organizes the encoded information into a new record (S 62 ). For a driver&#39;s license, this information includes the state issuing the driver&#39;s license, the license number, the date of birth and an expiration date. 
     Alternatively, the record may also contain the details of the verification process. These details include the time and date that the verification occurred, the calculated age of the individual and which activities the individual may partake, such as purchasing tobacco, alcohol or both. Based on a code inputted by an operator at the beginning and end of that operator&#39;s shift, the record may contain an identifier of the operator who conducted the verification. Operator inputted age data, such as by using keypad  40  when the document is not age encoded, may be included in the record. Additionally, if the operator inputs to keypad  40  a verification that the photograph  12  on the identification document  10  matches the appearance of the presenting individual, that input may also be included in the record. If the identification document  10  contains a stored physical characteristic, the record may contain the stored physical characteristic as well as a result of the comparison between the stored physical characteristic and a physical characteristic scanned by the physical characteristic scanner  90 . 
     The new record created by the processor  30  is stored in a transaction buffer  92  contained in the random access memory  55 . The transaction buffer  92  holds multiple records  94   1 - 94   N , preferably on the order of one thousand records. A new record is stored as the top record  94   1  in the transaction buffer  92  (S 64 ). The previously stored records will be shifted down one position in the buffer  92 . Thus, when a new record is stored as the top record  94   1  in the buffer  92  (S 64 ), the record previously stored in that position  94   1  is moved down one position  94   2 . Due to the limited capacity of the buffer  92 , during shifting the record previously stored as the bottom position record  94   N  will be discarded or, alternatively, the new record is not stored and the display screen  68  displays “Memory Full”. At such time, additional records are not accepted and the contents of the buffer  92  must be cleared, such as by discarding or downloading to another storage media. After the new record has been added to the buffer  92 , the data within that record  94   1  is displayed on display screen  40  (S 66 ). 
     Record retrieval will be described in conjunction with FIG.  8 . To initiate record retrieval, the scroll key  100  is depressed (S 80 ). If record retrieval/scroll function is not activated (S 81 ), “FUNCTION NOT ENABLED” is displayed in display screen  68  (S 83 ). If there are no records stored in the buffer  92  (S 82 ), “CLOCK EMPTY” is displayed in display screen  68  (S 84 ), and record retrieval is terminated. The display screen  68  returns to the default screen of normal operations (S 97 ). If the buffer  92  contains records (S 82 ), a pointer will be set at the top record  94   1  (S 86 ). This record  94   1  will be displayed on the display screen  68  (S 88 ). To move the pointer down one position in the buffer  92  (S 93 ), the down key  98  is depressed on the keypad  40  (S 89 ). Conversely, to move the arrow up one position in the buffer  92  (S 91 ), the up key  96  is depressed (S 89 ). Ultimately, the selected record is displayed in the display screen  68  (S 88 ). By way of illustration, the pointer is initially set at the top record  94   1 . The down key  98  is depressed and one record down  94   2  in the buffer  92  is displayed. As a result, an operator can scroll through all of the records  94   1 - 94   N  by operating the up and down keys  96  and  98 . 
     If the pointer is at the top record  94   1  and the up  96  arrow key or at the bottom record  94   N  and the down  98  arrow key is depressed, the pointer remains at its previous position and the same record is displayed. To illustrate, the pointer is set at the bottom record  94   N . The down arrow  98  is depressed. The pointer remains at the bottom record  94   N  and the bottom record  94   N  is displayed. To exit the record retrieval mode, the clear key  102  is depressed (S 96 ) and the display screen  68  returns to the default prompt (S 97 ). 
     Preferably, if either the up  96 , down  98 , scroll  100  or clear keys  102  are depressed, the speaker  70  emits a sound and the green LED  66  illuminates. Additionally, if record retrieval mode is exited and normal operations resume, the speaker  70  also emits a sound and the green LED  66  illuminates. 
     The record retrieval mode provides for quick access to all of the stored records. By simply depressing the scroll key  100  followed by the up  96  and down  98  keys, any record  94   1 - 94   N  in the transaction buffer is readily retrieved. This quick access is desirable in many situations. For instance, an underage individual may use a high quality forged document to engage in an age controlled activity. When subsequently stopped by a law enforcement officer, that underage individual may present a second identification document indicating the individual&#39;s true age. In such a situation, quickly displaying the identification number of the presented identification document may resolve the situation and avoid a citation or the filing of charges against the establishment that engaged in an unauthorized transaction. 
     The record retrieval mode of this age verification device facilitates its use as a stand alone unit. The verification data from the most current back through a number of past verifications is retrievable without the need for a printer  80  or downloading to another media.