Application Serial No. 08/158,018, filed November 24, 1993, which was a continuation of 07/762,919 filed September 19,

1991, now abandoned.

Field of the Invention The present invention relates generally to locks, and more particularly to an electronic lock which is remotely operated either optically or by radio transmission and which is sized, arranged and configured to be utilized with a conventional door hardware lock mechanism. BACKGROUND OF THE INVENTION

Since the advent of modern semiconductor circuits, most notably the microprocessor, efforts have been made to design an electronic door lock which provides a secure, "pick-proof" lock that incorporates the advantages offered by a microprocessor. Several such attempts at designing electronic locks are described in U.S. patents 4,573,046; 4,964,023 and 4,031,434. Each of the structures described in the foregoing patents suffers from a common drawback; they cannot be directly utilized within the structures of existing conventional doorlatch locks. Such prior art electronic lock structures generally require new locking hardware to be installed and additional holes to be bored

through the door and into the door jamb itself. For example, U.S. patent 4,573,046, issued to Pinnow, generally discloses an electronic transmitter/receiver locking system wherein the transmitter is preferably located in a watch worn on the user's wrist. The reference does not describe, in other than a conceptual manner, that apparatus which is responsive to a signal receiver located in the door, that would physically actuate the lock mechanism. However, the reference clearly suggests modifying the conventional doorlatch lock hardware so as to implement the locking function. Besides the lack of compatibility with existing door locks, such prior art electronic lock designs suffer other shortcomings.

U.S. patent 4,964,023, issued to Nishizawa et al. generally discloses an illuminated key wherein the emitted light can be modulated to perform an additional keying function. Presumably, frequency shift keying modulation (i.e., FSK modulation) is utilized, which is easy to duplicate, thereby significantly reducing the security provided by such locking mechanism. Duplication of the FSK modulation "key" may be accomplished, for example, by using a "universal" TV/VCR remote control which has a "learning" function. Duplication can be achieved by simply placing the original "key" in proximity with the "universal" controller and transmitting the key' s optical information directly into the controller's sensor.

U.S. patent 4,031,434, issued to Perron et al. generally discloses an inductively coupled electronic lock that uses a binary coded signal. The key transmits an FSK signal encoded with a preprogrammed code by magnetic induction to a lock unit. The lock unit processes the signal from the key and activates a motor that moves a deadbolt. The power source for both the key and the lock unit is contained in the key. This type of locking device is extremely sensitive to noise and requires fairly close

operative proximity between the "transmitter" and the "receiver. "

U.S. patents 4,770,012 issued to Johansson et al . , and 4,802,353 issued to Corder et al. disclose relatively complicated combination type electronic door locks that are partially powered by built-in batteries. The exterior handles of these locks are used to receive user generated entrance codes in a manner similar to mechanical combination locks and use relatively primitive programming schemes. Such lock structures do not use the conventional style doorlatch lock structure but are switched between locked and unlocked states by means of an internal electromagnetic solenoid which retracts an internal pin that allows rotation of the exterior handle and opening of the door. The 4,802,353 lock also provides for a mechanical key override for the electronic lock structure and can be used with an infrared communication link to activate a remotely located deadbolt lock, of the type described in U.S. patent 4,854,143. In each of the locks described in these patents, the energy for actually moving the lock latch relative to the door strike plate is provided by the user.

The concept of using an electromagnetic locking device such as disclosed in the above three patents has a number of drawbacks. First, such devices require substantial electrical power since the solenoid electromagnets must remain energized in order to keep the locks in their unlocked states. Accordingly, battery replacement is frequent. For example, patent 4,770,012 discloses that the lock battery lasts through roughly 9,000 locking operations, which at a normal door usage rate of 30 operations a day, would be less than a year. Patent 4,802,353 discloses that the battery lasts 180 days under the same conditions. Second, such electromagnetic devices are also extremely slow. The deadbolt electromagnet

disclosed in patent 4,854,143 requires 8 seconds and 4 seconds respectively to switch to the unlocked and locked states. The door electromagnet disclosed in patent 4,802,353 requires four seconds to switch to the unlocked state. Third, the electromagnetic devices which are selected for this application are designed to operate at low currents and cannot resist strong forces along their axes of motion. This means that they cannot be loaded by stiff springs and can be easily tampered with by the application of moderate external magnetic fields. Fourth, in addition to the length of time taken to operate the solenoid, additional time (at least 8 seconds) is required to enter a correct combination code, making the total elapsed time to open a door on the order of 16 seconds. This is much longer than the time required to open a door with a conventional key-operated lock mechanism.

Further disadvantages of the above described electronic combination lock systems are that the entrance code may be visibly detected by others, disabled persons (e.g., blind people) cannot typically use such locks, and those with mechanical overrides features can generally be picked. Also compared to conventional door lock configurations, the above-described combination locks generally require new manufacturing and tooling procedures (as compared to those required for conventional doorlatch locks) and must be partly constructed from nonferrous materials in the vicinity of the electromagnetic device, which limits production options.

What is notably lacking in electronic lock structures heretofore known in the prior art is a simple, "pick-proof" low power lock configuration that is compatible with the internal mechanical locking mechanisms of universally used conventional key-operated doorlatch locks. Such an electronic door lock design would be compatibly usable with, and could readily be designed by lock manufacturers

into, existing doorlatch lock structures with a minimum of engineering or production tooling effort or cost. Virtually all existing conventional mechanical lock structures use the rotational motion of a mechanical key about the axis of the key acceptor cylinder to move a locking member. The rotational motion of the key is either directly used to rotate a locking member or is immediately translated into linear motion of a locking member which moves generally along the axis of the key acceptor cylinder. Such simplicity and effectiveness of the conventional mechanical doorlatch locks has not been heretofore duplicated by the complicated, high power consuming or ineffective prior art electronic lock structures. The present invention addresses the shortcomings of prior art electronic locking structures by using sophisticated low power electronic components to directly replace the mechanical key and key accepting lock cylinder portions of conventional mechanical doorlatch locks while retaining the internal mechanics of such locks for performing the actual door locking functions . Such electronic lock hardware which is designed for compatibility with existing conventional doorlatch locks allows manufacturers' investments in current door lock manufacturing facilities to be retained and takes advantage of state-of-the-art microprocessor-based electronics to control plural lock functions including sophisticated entrance codes, record keeping of authorized entrances, etc. SUMMARY OF THE INVENTION

The present invention provides a simple, relatively inexpensive and yet reliable apparatus and method for actuating a locking mechanism for use in a door and the like. The apparatus is designed and preferably sized and configured to take advantage of existing conventional

doorlatch lock hardware. For example, in one embodiment of the invention the mechanical "locking" portion of the apparatus and an optical or radio frequency sensor is preferably constructed so as to be installable within the exterior handle of a conventional door handle, while the interior handle is equipped with a battery and an electronic control device. With the exception of the key acceptor cylinder and modification of the door handle knobs, all of the remaining components of previously known conventional doorlatch locks, including the latch, mechanical locking elements located within the bore of the door and the strike plate can be utilized in the same manner as heretofore known in the art . In another embodiment of the invention, the mechanical locking apparatus, the battery and the control electronics are all located within the interior handle portions or within the escutcheon or rose portion of the door hardware assembly and only the antenna or sensor portions of the apparatus are located in the outer handle portion of the assembly. In general, the locking apparatus of the invention comprises a remote hand held controller (HHC) which includes a miniature optical transmitter or radio frequency transmitter/receiver; an electronic door lock (EDL) which includes an optical sensor or radio frequency transmitter/receiver placed internal to that area to be secured by the EDL; a processor control circuit connected to the sensor, and an electromechanical device for actuating the mechanical locking elements of the EDL. The apparatus may also include an optional keypad which is a remotely located stationary device that will communicate with the EDL in manner similar to the HHC. The apparatus of the present invention may further include an electronic programmer (EDLP) for the EDL, HHC and keypad which is used to input desired entrance codes and to control other functions of the HHC, keypad and the EDL. Preferably,

communication between the HHC or keypad and EDL (and between the EDLP and the HHC, keypad or EDL) is two-way, however, single way communication between the HHC or keypad and EDL is possible, as described below. Generally, upon operator initiation, the transmitter in the HHC or keypad generates a signal which is received by the sensor or receiver in the EDL. The signal is processed by the processor, which compares the signal with predetermined stored signals to determine whether the received signal constitutes a valid lock actuating sequence. In the event that the sequence is determined to be valid, the processor actuates an electromechanical device (such as a DC motor or the like) to activate the conventional locking rod of a doorlatch lock. The user then is able to turn the door handle in a normal manner. As those skilled in the art can appreciate, the user supplies the majority of the energy to open the door. As a result, the electromechanical device need only generate enough torque to move the locking rod or turn bar (as those terms are understood in the art) a fraction of a revolution and can be sized small enough to reside within the handle portion of the door hardware. In the event that the received signal sequence is determined to be an invalid signal, the processor resets to receive a second signal and the process is repeated. After a predetermined number of invalid signals are received, the system disables itself for a predetermined time period in order to discourage a concerted attempt to methodically try each possible code combination (e.g., through use of a computer) . The present invention also preferably provides for high-security two-way communication between the EDL and HHC or keypad, a limited-access procedure based on "master" and "submaster" key concepts, and implementation by means of a miniature electromechanical device which requires minimal electrical power.

Another feature of the present invention is that the lock cannot be "picked" because there is no mechanical lock cylinder and because an encryption scheme and a spread spectrum communication (SSC) technique are used. As a consequence of the advantages and features of the present invention, an electronic lock apparatus constructed according to the principles of this invention can be readily implemented in virtually any conventional mechanical door hardware lock currently available on the market with minimal modifications of production procedures. Therefore, according to one aspect of the invention, there is provided an electronic lock apparatus for a door, comprising: (a) a strike plate; (b) a latch cooperatively engageable with said strike plate and movable along a latching axis between engaged and disengaged positions;

(c) mechanical locking means, operatively connected with said latch, for selectively preventing movement of said latch between said engaged and disengaged positions, said locking means requiring a primary motive force acting coincidentally along or about a locking axis, said locking axis being substantially perpendicular to said latching axis; (d) at least two oppositely disposed knobs, said knobs being arranged and configured to rotate about said locking axis, for actuating said latch between said engaged and disengaged positions, wherein a user provides the force to actuate said latch; (e) knob connecting means, substantially disposed between said knobs, through the door, for connecting said knobs to said latch; (f) electromechanical means, operatively connected to said mechanical locking means, for providing the primary motive force to said locking means; and (g) electronic control means, responsive to an encoded received over the air signal, for selectively energizing said electromechanical means, wherein said electromechanical means provides force only along or about the locking axis, wherein said

electromechanical means and electronic control means are located entirely within said knobs and said knob connecting means, thereby sealing and protecting said electromechanical means and electronic control means from being accessed by an unauthorized user.

According to another aspect of the invention, there is provided an apparatus as recited above, wherein said encoded received signal includes a first set of encoded signals and a second set of encoded signals, wherein both of said first and second sets of encoded signals must be determined to be valid by said electronic control means prior to energizing said electromechanical means.

A further aspect of the invention provides for an electronic lock system, comprising: (a) key means for generating a signal; (b) receiver means for receiving said signals,- (c) a lock mechanism, said lock mechanism being engaged and disengaged by longitudinal movement of a locking member between an engaged position and a disengaged position, said engaged and disengaged positions being defined at predetermined longitudinal positions along the longitudinal axis of said locking member; (d) processor means, cooperatively connected to said receiver means, for comparing said received signal with a stored reference signal, for generating an actuation signal if said received signal is determined to be equivalent to said reference signal, and for receiving a deactivate signal to terminate said actuation signal; (e) primary mover means, operatively connected to said processor means and including a shaft cooperatively rotatably connected to said locking member, for longitudinally moving said locking member along said axis in response to said actuation signal, whereby only the ^■ longitudinal movement of said locking member is utilized to lock and unlock said lock mechanism; and (f) lock mechanism detection means, operatively connected to said primary mover means, for providing said deactivate signal to said

processor means when said lock mechanism has been longitudinally moved to said engaged or disengaged positions, wherein said processor means receives confirmation that said lock mechanism has actually longitudinally moved between said engaged or disengaged positions .

According to still another aspect of the present invention, there is provided an electronic lock apparatus, of with no mechanical key access for a door, comprising: (a) a strike plate; (b) a latch cooperatively engageable with said strike plate and movable along a latching axis between engaged and disengaged positions; (c) mechanical locking means, operatively connected with said latch, for selectively preventing movement of said latch between said engaged and disengaged positions, said locking means requiring a primary motive force acting coincidentally along or about a locking axis, said locking axis being substantially perpendicular to said latching axis; (d) at least two oppositely disposed knobs, said knobs being arranged and configured to rotate about said locking axis, for actuating said latch between said engaged and disengaged positions, wherein a user provides the force to actuate said latch; (e) knob connecting means, substantially disposed between said knobs and through the door, for connecting said knobs to said latch; (f) at least one rose or escutcheon member cooperatively mounted by said knob connecting means adjacent at least one of said knobs; (g) electromechanical means, operatively connected to said mechanical locking means, for providing the primary motive force to said locking means; and (h) electronic control means, responsive to an encoded received over the air signal, for selectively energizing said electromechanical means, wherein said electromechanical means provides force only along or about the locking axis, and wherein said electromechanical means and electronic control means are

located entirely within said knobs, said rose or escutcheon member and said knob connecting means, thereby sealing and protecting said electromechanical means and electronic control means from being accessed by an unauthorized user. These and other advantages and features which characterize the present invention are pointed out with particularity in the claims annexed hereto and forming a further part hereof. However, for a better understanding of the invention, its advantages and objects attained by its use, reference should be made to the Drawing which forms a further part hereof and to the accompanying descriptive matter, in which there is described a preferred embodiment of the present invention.

BRIEF DESCRIPTION OF THE DRAWING Referring to the Drawing wherein like parts are ^■ referenced by like numerals throughout the several views:

Fig. 1 is a view of a conventionally styled doorlatch illustrated as installed in a door, which incorporates an electronic lock constructed according to the principles of the present invention;

Fig. 2 is a perspective exploded view of a first embodiment of the electronic doorlatch lock of Fig. 1; Fig. 3 is an enlarged cross sectional view of the switching contacts and coupling (with the DC motor 21 and gearhead 22 shown in phantom) of the doorlatch lock of Fig. 2 taken through line 3-3 of Fig. 4;

Fig. 3A is an enlarged cross-sectional view of the switching contacts and coupling (with the rotation thereof shown in phantom) taken through line 3A-3A of Fig. 3. Fig. 4 is a cross-sectional view of the exterior door handle portion of the doorlatch lock of Fig. 1, generally taken along line 4-4 of Fig. 1;

Fig. 5 is an enlarged exploded perspective view illustrating the mechanical locking mechanism portion of the doorlatch lock of Fig. 2;

Fig. 6 is a functional block diagram representation of the hand held controller portion (HHC) of the doorlatch lock of Fig. 2;

Fig. 7 is a functional block diagram representation of the electronic door lock (EDL) portion of the doorlatch lock of Fig. 2;

Fig. 8 is a functional block diagram representation of the electronic programmer portion (EDLP) of the doorlatch lock of Fig. 2; Fig. 9 is a diagrammatic illustration of the entrance coding scheme of a group of EDLs of Fig. 7;

Fig. 10 is an illustration of a preferred communication timing diagram utilized by an HHC and an EDL of Figs. 6 and 7; Fig. 11 is a functional block diagram of block 409 and 509 of Figs. 6 and 7;

Fig. 12 is a logic block diagram illustrating computer program operation of block 505 of Fig. 7;

Fig. 13 is a logic block diagram illustrating computer program operation of block 605 of Fig. 8;

Fig. 14 is a cross-sectional view of an interior door handle portion of an alternate embodiment of the door hardware of Fig. 1;

Fig. 15 is a partial perspective exploded view illustrating the mechanical locking mechanism portion of the door hardware of Fig. 14;

Fig. 16 is an enlarged partial perspective exploded view of the locking portions of the door hardware or Figs. 14 and 15; Fig. 17 is an enlarged perspective assembly view of a portion of the door hardware lock components of Fig. 16, illustrating the movable locking components positioned in a locked mode; and

Fig. 18 is an enlarged perspective assembly view of the door hardware lock components of Fig. 16, illustrating

the movable locking components positioned in an unlocked mode.

Detailed Description The principles of the invention apply particularly well to utilization in a lock of. the type used to secure a door in its closed position. A preferred application for this invention is in the adaptation of conventional mechanical (i.e., physical key-operated) doorlatch locks to electronic, keyless locks. Such preferred application, however, is typical of only one of the innumerable types of applications in which the principles of the present invention may be employed. For example, the principles of this invention also apply to deadbolt locks, window locks, file cabinet locks and the like. A preferred embodiment of the electrically related portion of the invention includes electronic door lock circuitry which is configured, as hereinafter described in more detail, for mounting within the hollow recess portions of the door handles, under the rose or escutcheon plate members and within other internal operative portions of a door hardware structure. For ease of description, this circuitry will hereinafter be referred to simply as the "EDL." The EDL generally includes an optical sensor or radio frequency transmitter/receiver having an antenna generally mounted in the externally facing doorknob, a microprocessor controller connected to receive signals from the sensor or to communicate with an rf interface network, and an electromechanical device (such as a DC stepper motor) operatively controlled by the microprocessor controller and connected to physically actuate the door hardware locking rod. Also included in the electronically related portion of the invention is a high-efficiency battery for powering the EDL circuitry.

The EDL circuitry communicates with a remote hand held controller (i.e., a handheld remote key) and with an

optional remote stationary keypad using a low-power two-way optical or radio frequency transmitter/receiver. For ease of description, this hand held controller will hereafter be referred to as an "HHC". Thus, the need for a dedicated physical key is eliminated, and as will become apparent upon review of the disclosure herein, lock security is substantially improved. As noted above, the present invention is preferably installed/implemented within existing lock hardware (or constructed to resemble/match existing lock hardware) so that modification of existing lock hardware dimensions is unnecessary. As a result, implementation of products in accordance with the invention requires minimal modification of current procedures for the production and installation of door locks. The invention also optionally includes an electronic programmer (hereinafter simply referred to as an "EDLP") for programming the HHC, keypad and EDL for desired entrance codes and to control other functions of the HHC, keypad and EDL. Referring now to the figures, there is generally shown at 20 in Fig. 1 a door hardware lock apparatus as operatively mounted in a door 19. The door hardware 20 as will be referred to herein is constructed in a "conventional" configuration well known in the art, having interior and exterior handles 25 and 30 respectively which are cooperatively connected through linkage means within the door 19 to operatively move and lock a latch member 31. The latch member 31 engages a strike plate 33 (best seen in Fig. 2) in an associated door frame (not shown) to secure or release the door 19 for pivotal motion within the door frame in a manner well known in the art. Although several embodiments thereof will be herein described, the internal linkage means of the doorlatch 20 that connects the handles 25 and 30 may be of varied configurations as will be appreciated by those skilled in the art. Since the details

of construction and operation of such varied configurations of conventional doorlatch mechanisms are not relevant to an understanding of the principles of this invention, they will not be detailed herein except to provide a general overview thereof and to the extent that an understanding of the mechanical locking portions thereof may be necessary. Such door hardware structures are commonly found in numerous patents, the marketplace, and on most doors and can be directly examined if more detailed information thereon is desired.

An example of the linkage mechanism of a first embodiment of a conventional door hardware locking apparatus which has been modified to incorporate the principles of this invention is illustrated in Fig. 2. For convenience in describing the present invention, the remote HHC circuitry and the EDL components which reside in the door hardware 20 will collectively be referred to as the "electronic lock". Referring to Fig. 2, an electronics module 500 containing those electrical components of the EDL (functionally illustrated in Fig. 7) is sized and configured for mounting in the first embodiment within the inside handle 25 of the door hardware 20. As is illustrated in the Figures, handles 25 and 30 are standard hollow knobs which allow the EDL electronics 500, motor 21, etc. to be located entirely within the knobs, within the associated internal hollow portions of the door hardware, and under the inside rose or escutcheon plate members. An alternate placement of the electronics module 500 under the rose 53 portion of the door hardware, is illustrated at 500' in Fig. 2. The interior handle portion of the door hardware 20 includes a mounting bracket 50 that is fixedly secured from movement relative to the door 19 through a bore in the door 19 to a corresponding mounting bracket 30a for the external handle portion. A hollow cylindrical shaft 26 is rotatably mounted to the bracket 50 for

rotation under spring tension from spring 52 about axis 18. When the door hardware 20 is mounted to the door 19 the shaft 26 extends through the cover plate 53. The inner door handle 25 is detachably secured in a manner well known in the art, to the shaft 26 such that the shaft can be rotated against bias of the spring 52 by turning movement of the handle 25 about the axis 18.

In the first embodiment, the electronics module 500 containing the electrical circuitry, interconnections, circuit boards, etc., to configure the EDL functions of Fig. 7 is appropriately packaged between inner and outer cylindrical mounting tubes 27a and 27b respectively. The inner mounting tube 27a is sized to coaxially overlie and to be frictionally or otherwise secured to the shaft 26, as illustrated in Fig. 2. A high efficiency cylindrical battery pack 28 is sized for mounting within the cylindrical shaft 26 and has an appropriate voltage for energizing the electric components of the EDL. The battery terminals are appropriately connected (not illustrated) to operatively power all electrical components of the EDL that are housed within the doorlatch 20. In the preferred embodiment, the end cap 54 of handle 25 is detachable to provide access to the battery 28 and electronic module 500 circuits housed within the handle 25. Preferably, the end cap 54 also contains a centrally located switch, generally illustrated at 29a, and one or two light emitting diode indicators 29b and/or a visual liquid crystal display (appropriately connected to the electronic module 500) for permitting manual lock activation from the inside handle 25 side of the door 19. The indicators 29b provide a visual indication of the locked status of the electronic lock at any point in time and can be used to provide user information during the "program mode" of the apparatus. Alternatively, the lock status indicator may be mechanical so as to conserve battery life and be activated by the DC

motor from one state to another as those skilled in the art will appreciate.

That portion of the doorlatch lock that faces the "outside" of the door is illustrated in Figs. 2 and 4. Referring thereto, the stationary outer mounting bracket 30a has a hollow cylindrical shaft 30b mounted for rotation therein about the axis 18 in manner similar to that of bracket 50 and shaft 26. When mounted to the door 19, the shaft 30b extends through an external cover plate 70. The outer door handle 30 is secured to the shaft 30b, such that shaft 30b rotates with movement of the handle 30 and such that the handle 30 cannot be detached from the shaft 30b from the outside of the door when the door is closed, all as is well known in the art. The shaft 30b is connected to an outer retainer housing member 30c that rotates with the shaft 30b. An inner housing retainer member 30d is operatively connected for rotation with the inner housing retainer member 30c. The mechanical locking members of the door hardware assembly are housed between the housing retainer plate members 30c and 30d as will be described in more detail hereinafter. An extension 3Of of the inner housing retainer member 30d longitudinally extends along the axis 18 toward the inner handle assembly and forms a coupling rod between the shafts 26 and 30b and their respective handles 25 and 30. The shaft 26 terminates at its inner end at a retaining plate (not illustrated) but located for rotation adjacent the inner surface of the mounting bracket 50. The retaining plate has an axially aligned aperture formed therethrough which slidably matingly engages the coupling rod 3Of when the door hardware 20 is mounted to the door 19 such that the shafts 26 and 30b rotatably move together about the axis 18 as constrained by the coupling rod 30f . The coupling rod 30f also passes through a keyed aperture in the latch actuating assembly generally designated at 36. The latch actuating

assembly 36 operates in a manner well known in the art to longitudinally move the latch member 31 relative to the mounting plate 32 against a spring bias tending to keep the latch 31 in an extended position, in response to rotational movement of the coupling rod 3Of within the keyed aperture of the latch actuating assembly 36.

Referring to Fig. 2, a DC motor assembly generally designated at 21 is mounted within the cylindrical shaft 30b. The motor assembly includes a motor mounting housing 21a which secures the assembly to the shaft 30b, a DC motor 21, a gear reducer 22, a switch contactor plate 57, an electrical leaf contact 58 (best seen in Fig. 3) forming a sliding contact with the switch contactor plate 57, and a coupling member 24. The coupling member 24 is secured to the shaft 59 of the motor 2l/gearhead 22 by means of a set screw 60 such that the leaf spring contact 58 that is secured to the coupling member 24 is positioned at a desired rotational angle relative to the switch contactor plate 57. The contactor plate 57 has a pair of angularly spaced contacts 57' that are selectively engaged by the leaf spring contact 58 as the motor shaft turns the coupling 24. The contacts 57' and the leaf spring contact 58 combine to form a single pole switch for energizing the DC motor 21. The outer case of the motor is connected to ground potential. That surface of the coupling 24 that faces away from the DC motor 21 defines a slot which matingly secures one end of a locking rod 23. Locking rod 23 axially extends from the coupling 24 through a cam 223 located in the locking mechanism chamber defined by the retaining plates 30c and 30d. The electrical energization of the motor 21 from the battery 28 is performed in a well known manner using wires (illustrated diagrammatically in Fig. 7) .

Referring to Fig. 5, the shaft member 30b extends through a keyed annular shoulder of the outer housing 30a.

The shaft 30b has a pair of longitudinally extending slots 224 that align with a pair of keyed slots 222 in the shoulder 225. The cam 223 has a pair of cam surfaces that cooperatively address the aligned slots and move a pair of steel balls 221 into and out of the aligned slots as the cam 223 is rotated by the locking rod 23, as will be described in more detail hereinafter.

The outer handle 30 preferably has an aperture formed therethrough, sized and configured to admit a sensor or antenna 510 which receives radio frequency or optical signals from the HHC. It will be appreciated that sensor or antenna functions can also be implemented in the inside handle portions of the lock apparatus. Sensor 510 is operatively connected to the electronics module 500 and appropriately connected within the outer handle 30 so as to receive the signals entering the handle aperture. Sensor 510 is either an optical (e.g., infrared (IR) ) or radio frequency (RF) sensor or antenna, best illustrated in Fig. 2. As those skilled in the art will recognize, when the locking mechanism is in the unlocked state, the lock is actuated by rotation of internal and external handles 25, 30, whereby rotation of either handle turns shafts 26 and 30b, respectively, which retracts the doorlatch 31 to a position within plate 32. This action releases the doorlatch 31 from the strike plate 33 thereby allowing the door 19 to be opened.

As noted above, locking mechanisms are generally well known in the art and so will not be described in additional detail herein. Those wishing a more thorough background on such devices may refer to U.S. Patent Nos. 2,669,474; 4,672,829 or 5,004,278. In the first preferred embodiment, a lock mechanism manufactured by Master Lock of Milwaukee, Wisconsin, having a designation Model No. 131 is utilized. Briefly, the lock is physically switched from the unlocked

to the locked state by the two steel balls 221 when they are positioned by cam 223 to ride within the annular channel 222 as shown in Fig. 5. When the balls 221 are positioned in channel 222, they are positioned through slots 224 of the sleeve 30b to prevent rotational motion of sleeve 30b. When the balls are moved out of the channel 222 by cam 223, the lock is switched from a locked to an unlocked state. Cam 223 is operatively rotated by the locking rod 23. The lock is switched from the locked to the unlocked state and vice-versa whenever the locking rod 23 and the cam 223 are rotated approximately a quarter of a turn in either the clockwise or counterclockwise directions by the motor. A pair of limit switches are preferably used to sense the quarter turn limits of rotational motion and to de-energize the motor to conserve power when the full quarter turn rotation has been achieved. In the locked state the sleeve 30b is prevented from rotating relative to the outer housing 30a. The handle 30 is thereby prevented from turning, keeping the doorlatch 31 from retracting. Most lock mechanisms have an axis of rotation which is defined as the axis around which torque is applied to cause the latch to open the door (i.e., motion about the axis of the key acceptor cylinder) . The mechanism which blocks the rotation in the preferred lockset rides on a cam which turns about the axis, while others very typically utilize other blocking means based on rotation about or along the axis . Those skilled in the art will therefore appreciate that mechanical motion provided by a physical key in conventional mechanical doorlatch locks also acts about the lock axis. The DC motor of the preferred embodiment is configured to act about the same lock axis as that of the key accept or cylinder that it replaces . The shaft of the motor does not introduce any movement which is not about the lock axis. Further, actuation of the DC motor assembly 21 (i.e., the electromechanical device which rotates the

locking rod 23) requires very little torque or energy to lock or unlock the door via this method. It should be understood that other locking mechanisms (e.g., the lock manufactured by Master Lock Company of Milwaukee, Wisconsin having the designation S.O. 3211X3 ADJ.B.S.) uses a motion along the lock axis. An embodiment of the invention that utilizes such a longitudinal locking motion along the lock axis will be hereinafter described with respect to a second embodiment of the invention. Those skilled in the art will appreciate that the electromechanical device might provide this motion along the axis rather than about the axis. The lock axis of the preferred embodiment is illustrated by the line denoted by 18 in Fig. 2.

Next, in order to better understand the EDL and HHC and the method of signaling therebetween, a discussion of the electrical components will be deferred pending a general discussion of the operation of the electronic lock.

General Operation Referring next to Figs. 2, 6 and 7 a functional block diagram of the circuitry 400 of a preferred handheld

(preferably battery operated) controller. (HHC 400) which is capable of a two-way communication with the lock without mechanical contact is illustrated. The two-way communication is preferably accomplished using either infrared (IR) light or radio waves (RF) . Alternatively, another means of inexpensive one-way optical communication may be accomplished with pattern recognition (e.g., "barcode" technology) and will be further discussed below. The HHC 400 contains a circuit which transmits on command (by pressing either a "lock" or an "unlock" button on the

HHC, as depicted at 402 and 403 respectively) a programmable entrance code to the sensor 510 preferably located within the external handle 30. Those skilled in the art will recognize that the circuit may be a proprietary integrated circuit (IC) or may be implemented

using discrete components as will be described herein. As noted above, the standard key cylinder of a current typical door lock is replaced in the EDL by the sensor 510 and an electromechanical device 21 which reside within the exterior handle 30. An electronic package 500 resides within the interior handle 25.

The microprocessor 505 of the EDL 500 (shown in Fig. 7) communicates with the HHC 400 via sensor 510. The entrance code is verified and if it matches a pre- programmed code which resides in a local nonvolatile memory, then electromechanical device 21 is actuated to switch the EDL to an unlocked (or locked) state. In the preferred embodiment the electromechanical device 21 is a miniature DC motor with a 256:1 gear reducer 22. The electromechanical device rotates the locking rod 23 approximately 1/4 turn either clockwise or counterclockwise to switch the lock to a locked or an unlocked state, respectively. In the preferred embodiment, the switching operation is accomplished within less than one second, although those skilled in the art will immediately appreciate that the gearing, motor shaft speed, voltage applied to the motor, and lock type will all affect the time in which the locking operation occurs . The gear reducer 22 is cooperatively connected to a non conductive disk 57 with a single pole switch having two end contacts 57' thereon (best seen in Figs. 1, 3 and 3A) . Disk 57 interacts with leaf spring contact 58 to stop the motor 21 when the EDL is switched to either a locked or an unlocked state. When either one of the limit switches is engaged a signal is transmitted back to the HHC to verify that the EDL is either locked or unlocked. The HHC contains a bi- color LED (412) which is lit briefly upon receipt of the confirmation signal from the EDL (e.g., green when unlocked, and red when locked) to provide sensory feedback to the user. Those skilled in the art will immediately

recognize that other sensory signals might also be incorporated, such as an audible confirmation signal. The mechanical actuation of the door lock (i.e., opening of the door from the outside using handle 30 or from the inside using handle 25). is provided by the user after the EDL is internally switched to the unlocked (or locked) state. Thus, the user provides the torque to bias the spring loaded rotating shaft 3Of to retract the doorlatch 31. Thus, since the DC motor 21 only needs to rotate the locking rod 23 and cam 223, a very small low torque motor may be utilized which need not rotate about a long arc. In the preferred embodiment, the shaft of the gear reducer 22 can be rotated about an arc of only 10° in order to successfully switch the EDL from the locked to the unlocked position (and vice-versa) . However, the amount of rotation is a matter of design choice and type of locking mechanism with which the EDL is utilized, as will be appreciated by those skilled in the art. The limit switch 57 located on the gear reducer 22 while being used to cut the power to the motor 21, is also used, after a brief delay, to turn off the power to the rest of the electronic package 500 of the EDL in order to conserve power. Those of skill in the art will also recognize that since a processor is utilized, it might be advantageous in certain instances to monitor the current drawn by DC motor 21 to determine when the rotation required to lock or unlock the locking mechanism has been completed (i.e., assuming that the shaft rotation will be stopped by the locking mechanism itself after a rotation through a certain arc, as in the preferred embodiment and other typical locks, thereby stalling the motor after which a larger current is drawn through the motor) , rather than by utilizing the preferred mechanical limit switch discussed herein.

As noted above, the interior handle 25 of the EDL is equipped with a central button 29a for manual switching of

the EDL from the locked to the unlocked state and vice- versa. The button 29a replaces the mechanical door switch on existing door hardware. Built-in LEDs or liquid crystal display means 29b are used to provide a visual indication of whether the door 19 is locked or unlocked. The display means 29b also can be used to provide a visual indication to the user that the door electronics "program mode" (as hereinafter described in more detail) has been activated (as for example by flashing LED signals) , and successful completion of the activity (e.g., flashing stops) . In the embodiment illustrated, the electronic package 500 and the battery 28 are inserted in the interior handle 25 of the EDL. Although not tested, preliminary calculations indicate that the battery 28, preferably lithium, of the EDL should provide enough energy to power the EDL for at least ten years. Preferably the battery 28 can be replaced only from the inside of the door 19 through the battery compartment plate 54 of inside handle 25. When the battery 28 loses approximately 90 percent of its capacity, a warning signal is preferably transmitted from the EDL to the HHC every time the EDL is activated, and preferably a buzzer is enabled inside the EDL. Therefore, every time the EDL is activated, the HHC produces a brief audible warning signal to the user when the EDL battery 28 is low. A different audible signal is generated when the battery (not shown) of the HHC itself is low. In case the EDL battery 28 is not replaced in time, optionally the exterior section of the EDL may be equipped with a proprietary miniature port (not shown) which may be used to power the EDL electronics. This port may be accessed by an authorized service personnel, and is preferably electronically protected from overvoltage or shorts (e.g., with a diode) . Alternatively, a photovoltaic cell (not shown) may be installed in the EDL which can charge the

EDL's battery 28 when the cell is illuminated with direct light.

The EDL microprocessor 505 is programmed to accept an emergency code in the event that the HHC is lost (the EDL preferably cannot be locked from, the outside without the HHC) . This code is preferably comprised of two segments. The first segment of the emergency code is a standard factory code which may also be programmed into emergency HHCs carried by authorized service personnel. The second segment is a personal emergency code which is either programmed into the EDL at the factory or optionally after installation by the owner. The emergency HHC is equipped with an alphanumeric keypad (or the optional keypad unit could be used) which can accept the personal segment of the emergency code from the owner. To add additional security, the personal segment of the emergency code can be arranged and configured to be changed after the door is unlocked by the authorized service personnel. If RF communication is utilized, the emergency code can be remotely transmitted from an authorized service center and/or a security service.

Entrance Coding Scheme Next, referring to Fig. 9, a discussion of the preferred coding scheme of the EDL will be presented. The EDL preferably can store 64 entrance codes. Each entrance code is comprised of 64 bits. Therefore, there is a possible 2 ⁶⁴ potential combinations (for reference, 2 ³² is approximately 4.3 billion) . The first code of the 64 entrance codes is the specific lock code ("SLC") . The remaining 63 entrance codes may be preferably used for

"master" and "submaster" HHCs (i.e., allowing a single HHC to access to any number of assigned EDLs) . An individual HHC only transmits one entrance code. However, any number of EDLs can have that code entered as one of its 64 entrance codes.

When the entrance code of an HHC is programmed to match the SLC, the HHC can only lock or unlock a specific EDL (assuming that SLC codes are not duplicated in other locks) . The HHC can operate in a "master" or "submaster" mode if it is programmed to transmit one of the other 63 codes (i.e., one of the codes programmed into an EDL as an entrance code) . The codes may be assigned a "priority level" such that a "priority 1" code can lock and unlock any EDL in a given area, while codes with priorities 2, 3, 4, etc. can lock or unlock a smaller number of EDLs. Figure 9 illustrates an example of this entrance code priority level scheme.

Thus, the present preferred system allows for 62 levels of "submasters" in addition to the main "master" code. Those skilled in the art will appreciate that different priority levels cannot have the same code to prevent HHCs with lower priority from locking or unlocking EDLs which are limited to higher priority HHCs. This priority method allows for a very effective enforcement of limited access to sensitive areas. Those skilled in the art will also appreciate that a given EDL and a number of matching HHCs can be programmed to have the same SLC by the manufacturer or by the owner with the use of an EDLP 600 (described below) . Communication Scheme

The communication between the HHC and the EDL is based on spread spectrum communication (SSC) . This technique allows for a frequency of a given carrier signal to change continuously with time according to a preset time-varying frequency program. Unlike standard frequency modulation (FM) in which the carrier frequency varies by a small percentage, the frequency variation of the carrier signal in SSC is virtually unlimited. Therefore the bandwidth of the SSC carrier can become extremely broad and allows for the transmission of vast amounts of lower frequency digital

information such as the various entrance codes of the present electronic lock system.

Referring next to Fig. 10, the amplitude of the transmitted carrier is illustrated as being keyed (i.e., switched on and off) by the digital information of the entrance codes. In order to receive the transmitted signal, however, the receiver must be able to tune to a synchronized duplicate of the transmitter's frequency program. The digital information is then obtained by standard demodulation techniques. The miniilum bandwidth necessary to transmit the desired information is called the information bandwidth.

The advantage of using SSC versus other common methods of information transmission (e.g., AM or FM) can be quantified by the process gain (G _p ) which is the ratio between the overall carrier bandwidth and the information bandwidth. As those skilled in the art will recognize, a major advantage of- the SSC technique is that the signal-to- noise ratio of the communication system is improved by a factor which is equal to G _p . Because G _p for SSC is normally larger than G _p for other communication techniques, the signal to noise ratio of an SSC system is far superior to those systems. Additionally, SSC has better radio interference immunity compared to other transmission systems.

The time-varying programmed changes in the frequency of the carrier is commonly called frequency hopping, and is normally accomplished in an electronic circuit called a frequency synthesizer (discussed below) . For successful decoding of a set of given information, the transmitter and receiver must use the same time-synchronized frequency program. The protocol for such synchronization is quite complicated. However, the present invention utilizes a communication method which eliminates the need for a synchronization protocol. In the present system the

frequency program is transmitted to the receiver as part of the transmitted information. Thus, the receiver must be tuned to an initial default frequency of the SSC signal in order for the communication procedure to begin. The procedure for communication between the HHC and EDL can therefore be summarized as follows. Still referring to Fig. 10, first, when the HHC is activated, an initializing pulse is transmitted to the EDL which turns on its electronic package 500 (the EDL is normally "dormant" to conserve battery 28 power) . Then a second pulse (a control bit) is transmitted to the EDL to indicate whether the user wishes to lock or unlock the EDL. If the EDL is already at the desired state a confirmation signal may be transmitted by the EDL to the HHC, and an appropriate "locked" or "unlocked" LED 412 built into the HHC may flash or otherwise provide a sensory signal to the user.

The entrance code is preferably transmitted in segments of eight bits interrupted by eight bits for the next carrier frequency code, however, other numbers of bits might be used. For an eight bit segment, 256 discrete carrier frequencies (as for example between 15 kHz and 1 MHz for IR communication, or 902-928 MHz, 415 MHz or 1.2 GHz for RF communication) are used. Those skilled in the art will recognize that with a larger number of frequencies, the transmission looks more like noise and is more difficult to successfully decipher the code. Each of these carrier frequencies is identified by an eight bit code. During the interval in which the HHC communicates with the EDL, a new frequency code is selected by the HHC at random after the transmission of each eight bit segment of the entrance code. (Only the initial carrier frequency is fixed so that communication between the HHC and the EDL can be established) . The random code is selected by choosing an eight bit code and going to a look-up table stored in EPROM which correlates the eight bit code to a

frequency. This new frequency is then delivered to the frequency synthesizer 408 of the HHC. The HHC then transmits the eight bits of the entrance code and then eight bits which identify the next carrier frequency to the EDL. The carrier frequency of the HHC changes before the next eight bits of the entrance code and the next carrier frequency code are transmitted. The transmission is concluded when eight groups, each group being comprised of eight bits of the entrance code and eight bits of the next carrier frequency, are transmitted.

The EDL decodes the transmitted information using the coded carrier frequencies and converts it into a digital code. The EDL must have an identical look-up table correlating carrier frequencies with eight bit codes to that look-up table found in the HHC, or the information will not be properly decoded by the EDL. Thus, not only is the EDL protected by the 64 bit entrance code, but it is also protected by the random combination of carrier frequencies over which the entrance code may be transmitted.

Assuming complete reception of the codes, the code is then compared with the codes stored in the EDL' s nonvolatile memory, and if there is a match, the DC motor 21 is activated to switch the EDL to a locked (or unlocked) state. When the DC motor 21 stops and the limit switch 57 is engaged, a confirmation code may then be transmitted to the HHC if desired.

It will be appreciated by those skilled in the art that since any of the 256 carrier frequencies might be utilized at random, for successful communication between a given HHC and an EDL, it is necessary that all 256 carrier frequencies which might be utilized by the HHC must also be utilizable by the EDL, even though only a maximum of eight carrier frequencies are used each time the HHC is activated. Hence, the SSC transmission scheme can

drastically reduce the number of HHCs which can communicate with a given EDL because it is possible to produce groups of HHCs and EDLs that have different matching sets of carrier frequencies which are preset at the factory. Obviously, HHCs and EDLs from different groups cannot communicate because their programmed carrier frequencies do not match (except due to an extremely remote fortuitous occurrence) . Thus, in addition to the security provided by the entrance code itself, the number of HHCs which can actually establish communication with the EDL may be restricted by the manufacturer. Additional HHCs can be matched to a given EDL by specifying the EDL "type" (e.g., a serial number) . Users of large numbers of EDLs can arrange with the factory to have a specific group of 256 carrier frequencies assigned especially to them. Those skilled in the art will also appreciate that any number of frequencies might be utilized, and that the number of frequencies (as well as the eight bits used to correlate the frequencies) are a matter of design choice, with the cost and method of transmission being factors, among others .

An important advantage of SSC is that it virtually eliminates duplication or decoding of an HHC. In the event that an HHC does not match a given EDL, and additional codes are received by the EDL the electronic circuit is preferably disabled for three minutes after a predetermined number of unsuccessful attempts. The purpose of this procedure is to prevent unauthorized users from methodically scanning through all possible codes. When the microprocessor senses a malfunction in the hardware it may switch to an optional secondary electronic system (not shown) . The secondary system is preferably identical to the primary system. While this secondary system provides redundancy for important locking applications, its additional cost and size may not make it

practical for all embodiments of the present invention. The EDL may also transmit a warning to the HHC when a secondary system is in operation, resulting in an audio/visual warning for the user in the HHC. HHC 400 (and Keypad 1000) Electronics

Next presented will be a description of the HHC electronics module 400. Fig. 1 illustrates a device 900, which may be either an HHC device 400 or an EDLP 600. Fig. 1 also illustrates an optional keypad device 1000, which may be used in combination with the HHC. Keypad units and their general construction and functional capabilities are well-known in the art and will not be detailed herein. For the purposes of this description, the keypad device 1000 is generally a remotely located stationary device that communicates with the EDL 500 to lock and unlock the door lock hardware in the same manner as the HHC device 400, but which has the additional capability of selectively accepting a number of personal identification numbers "PINS." The keypad is generally configured for mounting outside near the door and has a plurality of numeric keys, generally indicated at 1001 (preferably 10) , plus lock and unlock buttons 1002 and 1003. The keypad also includes a plurality of LED visual indicators 1012 and an audible sensory communication device such as a horn (not illustrated) . A user will enter a PIN. If the keypad electronics finds the PIN acceptable, the unlock button of the pad will be enabled. The lock button will always be enabled. The electronics for processing PIN identifiers and for enabling a system in response thereto is well-known in the industry and will not be belabored herein. Each keypad, like the HHC devices, also has a unique serial number, and has the same general electronic circuitry as the HHC device (to be hereinafter described) for communicating with the EDL 500.

In the preferred embodiment, the HHC electronics module 400 and the EDL electronics module 500 are comprised of similar functional blocks/components. Accordingly, the description of similar components (i.e., MPU 405 and 505) will not be gone into at length below in connection with EDL electronics module 500.

Referring to Fig. 6, under normal conditions the HHC is dormant. This is accomplished by means of a Watchdog Timer 401. The HHC has two switches 402 and 403 which provide the "unlocked" and "locked" functions, respectively. When either of the two switches 402, 403 is pressed, the PIO (Parallel Input/Output) 404 will generate an interrupt request for the MPU (Micro Processor Unit) 405 which effectively turns the HHC hardware on. The HHC is turned off by the confirmation signal from the EDL when it is switched into a locked or an unlocked state. If no confirmation signal is received, then the Watchdog Timer 401 turns the electronics module 400 off. The carrier frequency program, and the EDLP access code reside in nonvolatile RAM (Random Access Memory) 406. The initializing pulse is transmitted by synthesizer 408 at a given default frequency (e.g., either 40 Khz for IR or 4 Mhz for RF) .

The MPU 405 is preferably a controller manufactured by Motorola having a designation of MC6805. However, any processor/controller which provides for input/output, can decode input signals, and fetch and store information from memory and is preferably capable of half-duplex communication might be utilized, as those skilled in the art will recognize.

The foregoing programming of the carrier is accomplished via the frequency synthesizer 408 which is controlled by MPU 405. The program which executes this control resides m ROM 407. This program produces the sequence of eight 16 bits words each consisting of 8 bits

of SLC and 8 bits of carrier frequency code (The carrier frequency changes before the next 8-bits of SLC is transmitted) . The output of the synthesizer 408 is then switched on and off sequentially according to the digital content of each 16 bit word. In. the preferred embodiment, the synthesizer 508 is actually the transmitter. The IR or RF sensor 410 (this device is either an IR source combined with an IR detector, or a wideband antenna) is normally in the receive mode but is switched by the receiver 409 to the transmit mode if the output of the frequency synthesizer 408 is nonzero. The transmission of this information is preceded by an initializing bit followed by a control bit which informs the EDL whether it is to be switched to a locked or an unlocked state. Communication between the HHC (keypad) and the EDL electronics can occur at any desired frequency range, but most often is limited by governmental agencies such as the FCC to limited band ranges. In the preferred embodiment, the nominal communication frequencies used are 1.2 GHz, 900 MHz and 415 MHz, depending upon the use application for the door locking hardware.

In the preferred embodiment, the sensor 410 is comprised of an IR detector (manufactured by General Electric having the designation L14F2) and an IR emitter (manufactured by General Electric having a designation LED56) . The frequency synthesizer 408 generates a frequency carrier that is proportional to a binary "word" that is provided to its input by MPU 405. In addition there is another input which can be used by MPU 405 to disable frequency synthesizer 408 output. In the preferred embodiment, the frequency synthesizer used is manufactured by Motorola having the model designation MC4046.

Receiver 409 (best seen in Fig. 11) , used to receive signals from the EDL 500, is connected to the sensor 410 and frequency synthesizer 408, and mixes the signals at mixer block 409a. The output of the mixer 409a is the

input frequency from the sensor 410 minus the frequency synthesizer 408 frequency. This output is provided to IF amplifier block 409b, which amplifies the signal for detector block 409c. Detector block 409c removes the high frequency (carrier) components. Those skilled in the art will recognize that by changing the frequency of synthesizer 408, the receiver can be tuned at different frequencies. The decoded signal is then provided to MPU 405. In the preferred embodiment, receiver 409 is manufactured by National Semiconductor having the model designation LM1872N.

The confirmation signal from the EDL is received by receiver 409. The MPU 405 recognizes whether the EDL is locked or unlocked and one of the LEDs 412 is turned on for 3 seconds. If an attempt is made to switch the EDL to a state to which it is already switched, the appropriate LED flashes for 3 seconds.

In the event that the EDL's MPU 505 senses a malfunction which prevents the EDL from completing a given function, a warning signal is transmitted to the HHC. This signal is recognized by the HHCs MPU 405 which toggles the LEDs 412 and enables an audible warning using buzzer 420. Failures of the HHC itself are signaled with a different (audible) signal using buzzer 420. For example, the HHC can be equipped with a second optional backup circuit and such a signal may be issued when the monitor 411 switches to the backup circuit when it senses a failure in the primary hardware of the HHC. Also, the HHC battery may be monitored by MPU 405, and when the battery voltage drops below 90% of its nominal value, buzzer 420 sounds when the HHC is activated.

In the preferred embodiment the electronic package of the HCC measures 12mm x 8mm. This package is preferably built around a proprietary integrated circuit and hence the power dissipation is kept to a minimum. The HHC is

preferably built in a small package which migh ^' t typically measure 2.5 cm x 1.5 cm x 0.5 cm.

The HHC and the keypad can be programmed with the EDLP 600. The communication between the HHC (keypad) and EDLP is established via IR or RF transmission using SSC. An initializing code advises MPU 405 that the entrance code is to be reprogrammed. The EDLP then sends an access code to the HHC which MPU 405 compares with the access code residing in RAM 406. If the code matches, the SLC and the access codes of the HHC can be programmed. Note that the programmer must have the same frequency program as the HHC for successful communication.

EDL Electronics 500 Next is a description of the EDL electronics module 500. As previously noted, the functional components are similar to those previously described with regard to the HHC and keypad, and will therefore be discussed only generally in terms of function in the EDL. Referring to Fig. 7, under normal conditions the EDL is dormant. When the initializing pulse transmitted by the HHC is sensed, the EDL is switched on and the receiver 509 is tuned to a default frequency of either 40Khz (IR) or 4 Mhz (RF) . The sensor 510 is either a combination of IR detector/source or a wide-band antenna. The signal received by the sensor is then fed to the receiver 509. This signal (best seen in

Fig. 10) is comprised of 1 bit (control bit) of information indicating whether the EDL is to switch to the locked or unlocked state, followed by eight 16 bit words each containing 8 bits of entrance code and 8 bits of carrier frequency code. The MPU 505 recognizes the control bit and determines the direction of rotation of the DC motor. The irst 8 bits of each 16 bit word are used to construct the entrance code while the last 8 bits are the code which identifies the next frequency so the receiver can be tuned to the carrier frequency of the next transmission (which

contains another 16 bit word) . At the end of the transmission MPU 505 tunes the receiver 509 to the default frequency.

Once the 64 bit SLC code is received by the MPU 505, the received entrance code is compared with the codes stored in RAM 506 which can contain up to 64 codes (best seen in Fig. 11) . If a match is found, the MPU 505 sends a signal to PIO 504 which enables the DC motor 21. The motor 21 turns either clockwise or counterclockwise depending on the status of the control bit. The motor continues to turn until one of the two end contacts of the limit switch (Fig. 3A) is engaged and a confirmation signal is sent by PIO 504 to MPU 505. The sensor 510 is optionally switched to a transmit mode and frequency synthesizer 508 transmits the confirmation to the HHC. A different confirmation signal is transmitted to the HHC if the DC motor 21 does not move because of an attempt to switch the EDL to an existing state.

If the code transmitted to the MPU 505 does not match any of the codes stored in RAM 506, MPU 505 increments by 1 an internal counter which is reset to 0 every time the EDL is dormant. When the output of this counter is 3, MPU 505 switches the EDL to a dormant mode which cannot be interrupted for three minutes. At the end of the three minutes the EDL remains in the dormant mode until it is awakened again.

Fig. 12 illustrates a logic flow diagram of an embodiment of the program logic which might be resident in MPU 505, RAM 506 or ROM 507. In Fig. 12, the logic diagram is shown generally as 700. The logic flow diagram 700 illustrates the steps taken to analyze the logical status of the received entrance code from the HHC.

Although the MPU 505 will be characterized as "preceding" from logical block to logical block, while describing the operation of the program logic, those

skilled in the art will appreciate that programming steps are being acted on by MPU 505.

In operation, MPU 505 starts at block 701. MPU 505 then proceeds to block 702 to initialize two variables to zero which will be used in control loops in the logic flow 700. At block 703, the first 8 bits of entrance code are received from receiver 509 and the 8 bits are stored in RAM 506. As discussed above, the last 8 bits of the first received word are utilized to change the carrier frequency) . MPU 505 must determine if the received carrier code is a valid code. Therefore, MPU 505 proceeds to block 705 and compares the received carrier code to a look-up table in nonvolatile RAM 506 in order to find the correct word to deliver to frequency synthesizer 508 to tune receiver 509 for the next transmitted word from the HHC. Additionally, at block 705, MPU 505 determines whether a proper carrier frequency was found. If the carrier frequency is found in the look-up table, the MPU 505 proceeds to block 706 where the first control loop variable is incremented. MPU 505 then proceeds to block 707 where it is determined whether the entire 8 groups of entrance codes and carrier frequency codes have been received. If more codes are to be received, MPU 505 returns to block 703 to receive the next group. In the event that the carrier frequency is not found in the look-up table at block 705, MPU 505 proceeds to block 709 where it is determined whether a valid code is being generated. If a valid code is not being generated, a second control loop is incremented at block 710 and at block 711 it is determined whether the improper code control loop has been incremented three times. If three invalid codes have been reached, then the EDL is disabled at block 712. If the second control loop has not reached three, then at block 713 the first control loop variable is

initialized to zero and MPU 505 proceeds to block 703 to begin receiving a new transmission from the HHC.

Once the entire entrance code is received at block 707, MPU 505 proceeds to block 708 where MPU 505 retrieves the entire 64 bit entrance code from RAM 506. MPU 505 then proceeds to block 709 to compare the 64 bit code against the 64 codes stored in the nonvolatile RAM 506. If the code matches, MPU 505 proceeds to block 710 to send confirmation to the HHC. If the code is not valid, then MPU 505 proceeds to block 710 through the second control loop. Once the confirmation is sent to the HHC, MPU 505 Watchdog Timer (not shown) times the system out and the EDL electronics module 500 goes dormant. The logic flow 700 ends at block 715. An important optional function of MPU 505 is the programming of the voltage to the DC motor 21. Considerable battery power may be conserved by rapid switching of the voltage to the motor 21 during its operation. This scheme exploits the inertia of the permanent magnet of the motor 21 (i.e., the rotor) when the power to the motor 21 is turned off. MPU 505 may also monitor the electric current through the motor. When the motor current is 27% higher than the nominal operating current, MPU 505 disconnects the power from the motor 21 to prevent permanent damage, transmits a warning signal to the HHC 400 and enables buzzer 520. When the voltage of the EDL's battery drops below 90% of its nominal value, a warning is transmitted to the HHC and buzzer 520 is enabled every time the EDL is activated. The program code executed by the MPU 505 resides in ROM 507. Monitor 511 periodically checks the hardware of the EDL. When a malfunction is sensed, monitor 511 switches to the emergency secondary system, a warning signal is transmitted to the HHC, and the buzzer 520 is enabled. In order to conserve power, the EDL hardware is checked only when the

EDL is activated. The EDL is switched to the dormant state by a Watchdog Timer (not shown) after the confirmation signal is transmitted to the HCC.

The electronic package 500 of the EDL is preferably based on a proprietary integrated circuit and hence has the same approximate physical dimensions as the HHC electronic package 400. When the EDL is in the dormant mode, the current drain from its battery is extremely small.

The EDL can be programmed with the EDLP 600. The communication is established via IR or RF transmission using SSC. An initializing code advises MPU 505 that the entrance code is to be reprogrammed. The EDLP then sends an access code to the HHC which MPU 505 compares with the access code residing in RAM 506. If the code matches, any number of the 64 entrance codes can be changed, as well as the emergency code and the EDLP access codes of the EDL. Note, however, that in the preferred embodiment the EDLP must have the same frequency program as the EDL for successful communication. EDL Programmer (EDLP) 600

Another part of the present system is the EDL/HHC/keypad Programmer (EDLP) 600 which is a handheld microcomputer, a functional block diagram of which is illustrated in Fig. 8 generally at 600. The EDLP is configured and packaged as a handheld calculator and has an LCD display which is used to instruct the user how to proceed with the programming of the EDL, the keypad or the HHC (using menu-driven software) .

The EDLP can be used to program any 64 bit alphanumeric code into the HHC or keypad, and a sequence of

64 alphanumeric entrance codes (each 64 bits) into the EDL. The EDLP consists of MPU 604 which executes a program stored in ROM/RAM 605. This is a user-friendly menu-driven program that guides the user through its various stages and has an ON-LINE HELP facility. Interactive input and output

are provided through display 608 and keypad 607. The general purpose I/O PIO 606 formats the input from keypad 607 to digital information, and converts the output of MPU 604 to alphanumeric characters which appear on display 608. The operation of sensor 601, receiver 602, and frequency synthesizer 603 is similar to the operation of the corresponding components in the HHC, keypad and EDL.

The programming of an HHC, keypad or an EDL can only be accomplished if it is initialized with a personal access code which matches an access code in the EDL, keypad or

HHC. The access code is programmed into the HHC, keypad or EDL at the factory, and can be changed by the owner after installation. The programming of the EDL, keypad or HHC is carried out via IR or RF transmission using SSC. The EDLP sends an initializing code which advises the local MPU of the device being programmed that the entrance code is to be reprogrammed. The EDLP then sends an access code to the HHC, keypad or EDL which is compared with the access code residing in the local RAM of the HHC, keypad or EDL. If the code matches, the HHC, keypad or EDL can be programmed. Note that the EDLP must have the same frequency program and initial default frequency as the HHC, keypad or EDL for successful communication. When the programming is completed the programmed code is transmitted back to the EDLP for verification. Figure 13 illustrates a logic flow diagram at 800, of a program which may be utilized by EDLP 600.

Initialization and Adding HHCs or Keypads An initialization sequence is contemplated for initiating first time operation of a system after installation. This will generally occur whenever the battery for the EDL electronics is inserted into the system, or replaced. To initialize the system, the user will place the EDL electronics into its "program mode." Next, either the lock or unlock button of the HHC or keypad

which the user wishes to install is depressed. The HHC or keypad then transmits its coded signal (as previously described) to the EDL. The EDL will process the transmission as previously described to check that the received serial number is for an approved device. The process can be repeated for initializing any desired number of HHCs or keypads before leaving the program mode.

When a user wants to add an additional HHC or keypad to the EDL's approved list, the user will first place the EDL into its program mode. He will then depress either the lock or unlock button of an HHC or keypad that has already been approved (installed) , and will then depress the lock or unlock button of the HHC or keypad that is to be added to the approved list. The user then again depresses the lock or unlock button of the previously approved HHC or keypad so as to "sandwich" the new entry between signals from a previously approved device. This technique will preclude a casual visitor from installing or authorizing a new HHC or keypad for use without the knowledge or approval of a prior user.

Alternative HHC Embodiment The HHC can alternatively be replaced with a relatively inexpensive device which comprises a coded two- dimensional backlit graphic pattern measuring approximately 1 cm x 1 cm, although other sizes might be used. The EDL is equipped with an optical window which is used to image the pattern of the HHC onto a square two-dimensional photodiode array comprised of 256 elements (arrays having more or less elements might also be utilized) . The array is electronically scanned inside the EDL by scanner 512 (best seen in Fig. 7) , and the pattern is decoded and compared with other codes residing in memory. The cost- effective HHC of this embodiment does not utilize two-way communication and may include no battery since the back lighting of the pattern can be accomplished using

phosphorescent materials. Additionally, this method could be expanded to include complex optical pattern recognition in the EDL and the replacement of the HHC by positive identification of fingerprints. Alternate Door Locking Mechanism

An alternate embodiment of a door hardware locking mechanism that practices the principles of this invention and which uses longitudinal motion along the latch axis to achieve the locking function is illustrated in Figs. 14-18. Referring thereto, components of similar functions to those previously described with respect to the first embodiment of Figs. 1-5 are characterized by the same reference characters as used in the first embodiment, followed by a prime (') designation. Unlike the locking structure of the first embodiment, that of the second embodiment places all of the electronics of the system, except for the antenna, on one side of the door, preferably within the door handle and associated parts thereof located on the "inside" portion of the door hardware assembly, and/or within the space available between the rose or escutcheon plate and the door surface. The second embodiment also uses a simple linear or longitudinal motion along the lock axis to perform the locking/unlocking functions, thereby eliminating the gear reduction assembly of the first embodiment, and thereby physically compacting the electronic assembly. The second embodiment configuration also reduces the number of moving parts of the mechanical locking structure of the door hardware, thereby theoretically improving the long term reliability and ease of maintenance of the door hardware assembly.

Referring to Figs. 14-16, an example of the linkage mechanism of a second embodiment of a conventional door hardware locking apparatus which has been modified to incorporate the principles of this invention is illustrated. Figs. 14-16 illustrate the "inside" handle

assembly portion of a door hardware locking apparatus 20'. The electronics module 500' is virtually identical to that previously described with respect to the first embodiment and contains the electrical components of the EDL previously described with respect to the first embodiment. As will become apparent upon a more detailed description of the door hardware assembly 20', the electronics module 500' is sized and configured to be physically mounted within the inside hollow knob 25' or within a lever-type of inside knob, generally indicated at 25a. Alternatively, or in combination with the above described placement, all or portions of the electronics module 500' may be placed within the space available under the rose or escutcheon plate portion 53 of the door hardware. The interior handle portion of the door hardware 20' includes a mounting bracket 50' that is fixedly secured from movement relative to the door 19 through a bore in the door, to a corresponding mounting bracket 30a' for the external handle portion (see Fig. 14) . A hollow cylindrical shaft 26' is rotatably mounted to the bracket 50' for rotation under spring tension from spring 52' about the axis 18' . When the door hardware 20' is mounted to the door 19, the shaft 26' extends through the inside cover plate 53' . The inner door handle 25' (or 25a) is detachably secured in a manner well known in the art to the hollow sleeve 26' such that the sleeve can be rotated against the bias of the spring 52' by turning movement of the handle 25' about the axis 18' .

Unlike the first embodiment door hardware 20 configuration, in the second embodiment door hardware 20' configuration, all of the electronic circuitry 500', the high efficiency cylindrical battery pack 28' and the DC motor assembly 21' are physically located on the same side of the door hardware assembly 20', namely on the "inside" door handle portion of the assembly or under the rose or

escutcheon plate 53 ' . In the preferred configuration of the second embodiment illustrated in the figures, the electronics module 500', the battery 28' and the DC motor 21' are coaxially mounted along the axis 18' . The sensor 510 or antenna may be located either in the outside handle portion of the door hardware 20' or adjacent the electronics module 500' in the inner handle. The battery 28' and the DC motor 21' are retainably held in position by means of a two-part plastic sleeve retainer assembly 21a' . The electronics module 500' is secured to the outer end of the retainer sleeve 21a' and is accessible through the end of the inner doorknob 25', as indicated in Fig. 14. Appropriate electrical connections (not illustrated) are made between the electronic circuits of the electronics module 500', the DC motor 21' and the battery pack 28', as will be appreciated by those skilled in the art. A drive screw 40 is secured for rotation with the drive shaft 59' of the motor 21' about the axis 18' . As will be appreciated upon a more detailed description of the door hardware assembly 20', the drive screw 40 directly provides the axial drive force for the doorlatch assembly, and does not require a gear box assembly as was the case with the doorlatch assembly 20 of the first embodiment.

The forward end of the cylindrical sleeve 26' passes through the central bore of the mounting bracket 50' for rotatable movement with respect thereto, in a manner well- known in the art. The sleeve 26' is keyed along its length to slidably receive inwardly projecting tabs of a spring driver 41 such that the spring driver 41 rotatably moves with the sleeve 26' about the axis 18' . The spring driver 41 operatively engages the lever torsion spring 52' such that when rotational pressure from the sleeve 26' is released, the spring 52' will exert rotational forces to the spring driver 41' sufficient to return the sleeve 26' to its "neutral" position. The forward ends of the

cylindrical sleeve 26' are secured by means of an inside spindle assembly, generally indicated at 42. The spindle assembly 42 terminates at a retaining disk 42a which secures the forward ends of the sleeve 26' . The retainer disk 42a engages and seats upon the inner surface of the mounting bracket 50' for preventing longitudinal axial movement of the sleeve 26' in the direction toward the inside handle. The inside spindle 42 also includes a hollow extension 42b extending from the retainer disk 42a toward a distal end, and having an internal axial bore sized to cooperatively receive the forward portion of the outside spindle 30f . The retainer disk 42a includes a central aperture (not illustrated) sized to enable the shaft of the outside spindle 3Of to slide therethrough. When operatively engaged, the outside spindle 3Of' , the inside spindle 42 and the sleeve member 26' are all connected for common rotational movement about the axis 18' .

The plastic mounting sleeve 21a' as operatively secured about the battery 28' and motor 21' enables the composite assembly formed thereby to be longitudinally positioned within the hollow interior of the cylindrical sleeve 26' as indicated in Fig. 14, such that the forward end of the drive screw 40 lies within the bore of the mounting bracket 50' and just out of engagement with the forward end of the outside spindle 30f (as indicated in Fig. 14) . The outside spindle 3Of' is secured for rotation within an external mounting bracket 30a' by means of a retainer housing member 30d' and the external cylindrical sleeve or shaft 30b' (see Fig. 14) . A second retainer and spring driver member 30c' is also cooperatively connected for rotation with the cylindrical sleeve 30b' , and operatively engages the outer spring 30e' of the outer handle assembly. The forward or distal portion of the outer spindle 30f slidably cooperatively engages and

passes through the sleeve portion 42b of the inside spindle 42 and axially projects beyond the retainer disk portion 42a of the inside spindle a predetermined distance, as determined by the enlarged shoulder portion of the outside spindle which engages the distal end of the inside spindle sleeve 42b.

An engagement gear member 44 having an axial bore sized to slidably cooperatively mate with the outer circumference of the outside spindle 3Of is secured to and for rotation with the outside spindle 3Of' by means of a retaining snap ring 45. The engagement gear (see Fig. 16) has a plurality of radially projecting gear teeth 44a defining spaces therebetween for cooperatively receiving lug members 46a of an engagement nut lug 46. The engagement lug members 46a are configured to project between the gear members 44a of the engagement gear 44 so as to prevent rotational movement of the engagement gear 44, when so engaged. The engagement lug nut 46 has a threaded axial bore sized to cooperatively thread upon the drive screw 40, as indicated in Fig. 14. The engagement nut lug 46 further includes a pair of oppositely disposed cam members 46b radially projecting outwardly from the outer surface of the engagement nut lug from opposite ends thereof, and sized to cooperatively ride within oppositely disposed recesses 26a in the forward end of the sleeve member 26' such that the engagement nut lug 46 longitudinally moves in the axial direction of axis 18', but does not rotate, as the drive screw 40 rotates about the axis 18' . The engagement nut lug 46 is illustrated Fig. 17 as it would operatively appear when disengaged from the gear teeth 44a of the engagement gear, and is illustrated in Figs. 14 and 18 as it would appear when positioned so as to cooperatively engage the gear teeth 44a of the engagement gear 44.

Operation of the door hardware assembly 20' of the second embodiment will be readily understood by those skilled in the art. The DC motor 21' is energized in a forward or reverse mode as commanded by the electronics module 500', to rotate the drive screw 40 in either a clockwise or counter-clockwise rotation about the axis 18'. When the drive screw 40 rotates in a counter-clockwise direction (when viewed from the left side of Fig. 14) , the engagement nut lug 46 is forced by the drive screw 40 toward the outside knob assembly and into cooperative engagement with the outside engagement gear 44. When the engagement not lug 46 cooperative engages the outside engagement gear 44, the inside spindle 42 is engaged to rotate with the outside doorknob to open the latch, thereby placing the door hardware assembly 20' in an unlocked mode (Fig. 18) . When in an unlocked mode, the doorlatch 31 is enabled to be withdrawn from the strike plate 33, thereby allowing the door 19 to be opened. When the drive screw 40 is rotated in a clockwise direction (as viewed from the left in Fig. 14), the drive screw 40 exerts forces upon the engagement nut lug 46 tending to longitudinally move the engagement nut back toward the inside handle 25' (as illustrated in Fig. 17) , causing the lug members 46a to disengage from the outside engagement gear 44 and placing the door hardware in a "locked" mode. This enables rotational movement of the inside spindle 42 by the inside knob only. When the outside knob is rotated, the outside spindle 30f rotates but since there is no physical force transmitting connection between the engagement nut lug 46 and the engagement gear 44, the inside spindle 42 remains stationary. In such "locked" mode, the doorlatch 31 can only be withdrawn from the inside. As with the first embodiment, the length of energization of the DC motor is controlled by a pair of limit switch contacts (not shown) which provide control signals that indicate when the

engagement nut is operatively engaged with or disengaged from the engagement gear.

Other enhancements that can be implemented in the door hardware locking system of this invention, as those skilled in the art will appreciate, may include: (a) a local clock in the EDLs and the HHCs to allow or prevent access at preprogrammed times, (b) two-way communication used to retrieve information from the EDL regarding identity of HHCs holders and the times of access (for this purpose the HHC may be programmed with a user ID code which is recorded by the EDL) , and (c) powering the electromechanical device by other means, such as by electrostrictive actuators.

The circuit configuration, two-way communication, and types of latch mechanisms described herein (among others) are provided as examples of embodiments that incorporate and practice the principles of this invention. Other modifications and alterations are well within the knowledge of those skilled in the art and are to be included within the broad scope of the appended claims .