CHAPTER ONE

1.1 BACKGROUND OF THE PROJECT

Door lock is a critical aspect of home, offices, banks and other infrastructure security
systems. Traditionally, this locks has been accomplished through manual mechanism such as
pad locks, deadbolt lock, knob lock, mortise lock, lever handle lock etc. Kano state for
instance has a lot of break in, robberies, theft and even kidnappings, on a smaller scale The
Faculty Of Engineering At Bayero University Kano for example consist of different offices,
class rooms libraries. Managing access to some of this places may become a difficult
challenge. The manual system of this door locks involve use of metal padlocks, lever etc
which can easily be break into by use of force, key duplication, use of metallic sharp object
or even magnets to raise levers and open jam locks. Also, the ability to keep compute access
entries become difficult as no traces or data are available for that.

However, these methods often prove to be inefficient, prone to break in, and susceptible to
manipulation or theft. As technology continues to advance, there arises a pressing need for a
more robust and reliable solution to address the shortcomings of traditional door lock
systems.

In recent years, smart lock technology has emerged as a promising alternative for door lock
systems. Smart door locks utilize modern technologies such as biometrics which utilize
unique physical or behavioral characteristics of individuals, such as fingerprints, iris patterns,
or facial features, to accurately identify and authenticate users., digital keys, and wireless
connectivity to provide a more secure and user-friendly alternative to traditional locks.. These
features make smart locks an attractive option for both residential and commercial
applications.

The integration of these technologies into a single system offers several key advantages.
Firstly, biometric authentication provides a highly secure method of verifying individuals'
identities, significantly reducing the risk of unauthorized access or fraudulent activity. Unlike
traditional methods reliant on metal keys, biometric characteristics are inherently unique to
each individual, making them extremely difficult to replicate or falsify.
Secondly, wireless connectivity which offer unparalleled accuracy and reliability allows for
real-time monitoring, remote access control, and detailed logging of entry attempt.This not
only enhances accountability but also improves security.

Moreover, smart lock systems are often accompanied by user-friendly interfaces and
seamless integration with existing home or school door security system. This enables
efficient data collection, analysis, and reporting, empowering administrators or educators to
gain valuable insights into attendance trends, identify areas for improvement, and make data-
driven decisions to optimize resource allocation and operational efficiency.

1.2 MOTIVATION AND SIGNIFICANS OF THE PROJECT

The motivation behind this project stems from the need to address the shortcomings of
traditional door locks and some already existing smart locks. Implementing a smart lock
system offers a more efficient, accurate, faster, easier, and more secure alternative, thereby
enhancing crucial access to personal and sensitive spaces is controlled.

1.3 PROBLEM STATEMENT

Some of the current smart lock system, implemented in our homes faces several critical
challenges that undermine its effectiveness and integrity. These challenges are rooted in
security vulnerabilities, inefficiencies, speed limitations, outrageous cost and a lack of real-
time monitoring capabilities

● Security Concerns:
o Many smart locks are vulnerable to cyberattacks, including hacking and data
breaches, due to weak encryption protocols.
o Insufficient tamper-detection mechanisms make them prone to physical
bypassing or forced entry.
o Over-reliance on a single authentication method (e.g., PIN codes or Bluetooth)
increases security risks in case of compromised credentials.
● User Experience Challenges:
o Complex setup and user interfaces hinder non-technical users from adopting
smart lock technology.
o Inconsistent performance, such as delayed responses or connectivity issues,
affects reliability.
o Limited support for customization, such as managing temporary access or
multi-user permissions.

● Connectivity and Integration Issues:

oInadequate compatibility with a wide range of smart home ecosystems and IoT
devices restricts seamless operation.
o Dependence on Wi-Fi or Bluetooth without fallback options can lead to
operational failure during network disruptions.
o Lack of standardized protocols creates integration challenges between smart
locks from different manufacturers.
● Cost and Accessibility Barriers:
o High upfront costs and subscription fees for advanced features limit
affordability for many users.
o Limited availability of cost-effective options with robust security features
hinders widespread adoption.
● Energy Efficiency and Maintenance:
o Short battery life in many smart locks increases maintenance efforts and costs.
o Insufficient low-power design compromises long-term usability in areas
without frequent access to replacement batteries.
● Privacy and Data Concerns:
o Inadequate data protection measures raise privacy issues, as many smart locks
collect and store sensitive user information.
o Lack of transparency regarding how user data is handled and stored
undermines trust in existing products.

1.4 AIMS AND OBJECTIVES

AIM:

The aim of this project is to design and implement a robust smart Door Lock System with
immediate, accurate insights into access attempts and two factor authentication for better
security.

OBJECTIVES:

1. Hardware Development:
o Develop the hardware components required for the Smart Lock System (SLS),
including the ESP32 microcontroller, fingerprint sensor, digital pad, power
supply, LCD display, and LED indicators.
o Ensure compatibility and integration between hardware components to
facilitate seamless data capture and transmission.
2. Server Development and Integration:
o Develop the backend server infrastructure for the SLS, including database
management systems, application servers, and communication protocols.
o Establish communication channels between the hardware components and the
server to enable real-time data transmission and processing.
3. User Interface Design:
o Design and develop the frontend user interface for the SLS using React,
incorporating features access attempt recording, mode configuration, and data
visualization.
o Ensure usability and accessibility of the user interface for administrators
considering design principles and user experience guidelines.
4. Security Implementation:
o Implement robust security measures to safeguard acess attempt data and
prevent unauthorized access or tampering.
o Incorporate encryption protocols, access control mechanisms, two way
authentication (OTP) , password and biometric authentication algorithms to
ensure data integrity and confidentiality.
5. Packaging and Testing:
o Package the hardware components of the SLS into a portable and user-friendly
device, considering factors such as size, weight, and durability.
o Conduct thorough testing of the entire SLS, including hardware, software, and
security features, to validate functionality, reliability, and performance under
various conditions and usage scenarios.

1.5 METHODOLOGY
The methodology for developing the Smart Door Lock System involved a structured
approach that integrates both hardware and software components to achieve a seamless,
secured, and user-friendly access control solution. The project was executed through a series
of phases, including research, design, development, testing, and deployment. Each phase is
outlined below:
1. Research and Requirements Gathering
● Literature Review: Conducted a comprehensive review of existing smart door lock
technologies and access control systems to identify current trends, best practices, and
technological gaps.
● Requirements Analysis: Gathered detailed requirements from potential users and
stakeholders to understand the desired features, security standards, and user interface
expectations.
● Technology Selection: Evaluated and selected the appropriate technologies,
including the ESP32 microcontroller, AS608 fingerprint sensor, and supporting
software frameworks (React, Node.js, MongoDB), based on performance,
compatibility, and cost-effectiveness.
2. System Design
● Hardware Design:
o Designed the physical layout of the smart lock system, ensured the compact
arrangement of components for portability.
o Developed schematics for connecting the ESP32, fingerprint sensor, numeric
keypad, and electromagnetic lock.
● Software Architecture:
o Designed the software architecture for both the frontend and backend systems,
ensuring efficient communication and data flow between components.
o Defined API endpoints for communication between the ESP32 device and the
Node.js server.
● User Interface Design:
o Created wireframes and mockups for the React frontend, focusing on user-
friendly navigation and intuitive design for various functionalities.
3. Development
● Hardware Development:
o Developed and test the Arduino code for the ESP32 to interface with the
fingerprint sensor and numeric keypad.
o Implemented electromagnetic lock control and LED status indicators.
● Frontend Development:
o Built React components for user authentication, system configuration, access
logs, and remote control functionalities.
o Implemented state management using tools such as Redux or Context API to
handle application state efficiently.

● Backend Development:
o Set up the Node.js and Express server to handle authentication, API requests,
and WebSocket connections.
o Implemented secure communication protocols and integrate the MongoDB
database for data storage.
4. Integration and Testing
● Integration Testing:
o Conducted integration tests to ensure seamless communication between
hardware components and software systems.
o Validated the interaction between the React frontend, Node.js server, and the
ESP32 device.
● Security Testing:
o Performed security assessments to identify and mitigate vulnerabilities in the
authentication process, data transmission, and storage.
o Tested encryption protocols to ensure data integrity and confidentiality.
● User Acceptance Testing (UAT):
o Engaged potential users in testing the system to gather feedback on usability,
functionality, and performance.
o Made necessary adjustments based on user feedback to enhance the overall
user experience.

1.6 SCOPE OF THE PROJECT

The project aims to create a secure and user-friendly access control solution using biometric
and digital technologies. This section outlines the project’s boundaries, including its focus
areas and limitations.

Project Scope

The Smart Door Lock System project focuses mainly on creating a secure, user-friendly, and
technologically advanced solution for modern access control. The system will include
biometric authentication through fingerprint recognition, offering a personalized and robust
security mechanism. Additionally, it will incorporate digital PIN entry as an alternative or
backup option to enhance flexibility and accessibility.

Remote control functionality will enable users to lock and unlock doors and manage access
permissions through a secure and intuitive web interface. This feature ensures convenience
by allowing users to operate the lock from anywhere. The system will also support real-time
monitoring, providing live updates on the lock's status (locked/unlocked) and logging all
access attempts. A React-based frontend will deliver these updates and logs in a user-friendly
format, ensuring an engaging and seamless user experience.
For data management, the project will employ a MongoDB database to securely store access
logs and user data. A Node.js server will be used to integrate the database, manage data flow,
and ensure efficient communication between system components. The emphasis on security,
scalability, and usability will guide the development process, resulting in a reliable and
connected door-locking solution that aligns with modern smart home standards.

1.7 PROJECT REPORT OUTLINE

The project report comprises of five chapters, each contributing to the development and
analysis of the Smart Lock System (SLS). This chapter introduces the project, discussing its
background, motivation, significance, problem statement, aim, objectives, methodology, and
scope. The second chapter reviews existing Lock systems, outlines the smart lock technology,
and identifies necessary hardware and software components. Chapter Three (3) goes into
detail about the design and analysis of the SLS by covering system architecture, hardware
design, software development, and security measures. Chapter Four (4) focuses on
construction and testing, detailing the physical assembly of hardware, software testing
methodologies, system performance evaluation. Finally, Chapter Five (5) summarizes
findings, discusses implications and applications, provides recommendations for future
enhancements, and concludes with final remarks on the project's outcomes.
CHAPTER TWO

LITERATURE REVIEW AND COMPONENT IDENTIFICATION

INTRODUCTION:

Smart lock systems are advanced security solutions that replace traditional locks with digital
or electronic mechanisms, offering keyless access via smartphones, biometric authentication,
voice commands, or remote controls. These systems leverage wireless technologies like
Bluetooth, Wi-Fi, and Zigbee, integrating seamlessly into smart home ecosystems for
enhanced convenience and security. Over time, smart locks have evolved from mechanical
locks to electronic systems, incorporating features like biometric authentication, IoT
connectivity, and AI-driven functionality to improve user experience and adapt to emerging
threats. They are vital for their ability to provide remote access, activity monitoring, and
multi-factor authentication, making them ideal for personal, commercial, and rental property
use. This chapter aims to review the state-of-the-art technologies and methodologies in smart
lock systems, identify research gaps such as cyber security challenges and user adoption
barriers, and define key components like hardware design, communication protocols, and
user interfaces. By analyzing related works and exploring future directions, this chapter seeks
to provide a comprehensive understanding of smart lock systems and contribute to their
ongoing innovation.

2.1 SMART LOCK SYSTEM

Smart lock systems integrate advanced technologies, including biometrics and digital
keypads, to ensure secure access by accurately identifying and authenticating individuals.
These systems utilize biometric modalities such as fingerprints, facial features, iris patterns,
or voice recognition to validate user identity. They can also incorporate an additional layer of
security through a One-Time Password (OTP) mechanism. Below is how a biometric and
OTP-enabled smart lock system typically functions:

Enrollment: The biometric data (e.g., fingerprints or facial scans) of authorized users is
captured and securely stored in the lock’s memory or a cloud-based database.
Additionally, the users’ contact details, such as email or phone numbers, are registered for
OTP delivery.

Verification: When a user interacts with the smart lock, the system scans their
biometric input (e.g., fingerprint or facial recognition) or validates their entered
password. If the biometric data or password matches any of the stored credentials, the
system moves to the next authentication step.

OTP Generation and Delivery: Upon a successful biometric or password match, the
system generates a unique OTP and sends it to the verified user’s registered phone
number or email address via SMS, email, or push notification.
Final Authentication: The user enters the received OTP on the lock’s keypad or
smartphone app. The system verifies the OTP for accuracy and timeliness (ensuring it
is used within a predefined validity period).

Access Granting: If the OTP is validated successfully, the system unlocks the door,
granting the user access. In case of a failed OTP entry, the lock remains secured, and the
system may alert the user or administrator.

Real-time Monitoring and Reporting: Many modern smart locks offer real-time
monitoring and reporting capabilities. Home owners administrators etc can track
access trends, generate reports, and receive alerts for anomalies or irregularities.

This multi-layered approach enhances security by ensuring that even if a biometric match or
password is compromised, unauthorized access is prevented without the OTP. It offers a
balance between convenience and robust security, making it ideal for residential, commercial,
and high-security applications.

2.12 BIOMETRIC FINGERPRINT AND DIGITAL KEYPAD TECHNOLOGIES

Biometric fingerprint technology operates by first capturing an individual's fingerprint image

using a scanner or sensor, then extracting unique features like ridge patterns and bifurcations
to create a digital fingerprint template [1]. When verification or identification is required, a
new fingerprint image is captured and its features are compared with stored templates to find
a match. In verification mode, the system compares against a single template, while in
identification mode, it searches through multiple templates. Based on the matching result,
access is granted or the individual's identity is provided, making fingerprint technology a
reliable and secure method for various applications such as access control, time tracking, and
mobile device authentication.

Fingerprint Capture and Conversion by a Fingerprint Optical Scanner

Digital keyboard technology operates by first detecting key presses using a matrix of
electrical circuits or capacitive touch sensors, then identifying the pressed key based on the
intersection of specific rows and columns. When a key is pressed, the system scans the
keypad matrix, registers the input, and converts it into a corresponding digital signal. This
signal is then processed by a microcontroller or processor, which maps it to a predefined
character or command. In standard input mode, each key-press is recorded and displayed or
transmitted in sequence, while in specialized applications like password entry or command
execution, additional processing may be applied. Based on the input, actions such as text
entry, device control, or system authentication are performed, making digital keyboards an
essential and versatile interface for various applications, including computing, security
systems, and consumer electronics.

2.13 Significance And Application of Smart Lock Technologies Across Various Fields

Smart lock technologies, including biometric authentication, digital keypads, OTP systems,
and wireless communication protocols, have a transformative impact on several sectors by
enhancing security, efficiency, and convenience. Their significance stems from their ability to
provide reliable access control, reduce vulnerabilities, and integrate seamlessly with modern
technological ecosystems. These features are crucial in fields like healthcare, education, and
transportation, where security and operational efficiency are paramount.

Applications in Specific Domains

1. Healthcare:
o Examples: Biometric-enabled access to medication cabinets, patient records,
and restricted areas in hospitals.
o Impact: Ensures that only authorized personnel can access sensitive resources,
preventing theft, data breaches, and unauthorized use of medical supplies. For
example, fingerprint-enabled cabinets can safeguard controlled substances,
while OTP-based systems can regulate temporary access for contractors.

2. Education:
o Examples: Smart locks for dormitories, classrooms, and faculty offices in
schools and universities.
o Impact: Improves campus security by eliminating the need for traditional
keys, which can be lost or duplicated. Systems with digital keypads and
biometric access reduce the likelihood of unauthorized entry and allow for
real-time monitoring of student and staff movements. OTP systems are
particularly useful for granting temporary access to visitors or maintenance
staff.

3. Transportation:
o Examples: Biometric gates at airports, smart lockers at train stations, and
access systems for shared or rental vehicles.
o Impact: Enhances the safety and efficiency of transit hubs by streamlining
passenger flow through secure and touchless access systems. In vehicle rental
services, OTP-enabled locks can provide time-limited access to customers,
eliminating the need for in-person key exchanges and improving operational
efficiency.

2.14 Ways To Improve Existing Smart Lock Systems

1. Enhanced Security: Traditional locks and keys are prone to issues such as theft,
duplication, and loss. Biometric systems eliminate these risks by relying on unique
physical traits, ensuring that only authorized users gain access. OTP systems further
enhance security by preventing misuse of stolen or shared credentials.
2. Operational Efficiency: These technologies automate access control, reducing
reliance on manual processes. In healthcare, for instance, automated locks improve
efficiency by allowing quick and secure access to critical areas without the need for
physical keys. Also In education sectors, they simplify dormitory management by
enabling centralized control over student access.
3. Flexibility and Scalability: Wireless communication protocols allow smart locks to
integrate with IoT ecosystems, which enabling remote management and scalability.
For example, a transportation company can monitor and manage vehicle access across
multiple locations in real time, adapting to operational demands seamlessly.
4. User Experience: By eliminating the need for traditional keys and passwords only,
smart lock systems improve user convenience. In education sectors, students can use
biometrics to access dormitories, while in transportation and buildings(homes,
schools, banks), benefit from touchless gates and lockers that operate efficiently with
minimal delays.
5. Data and Analytics: Smart lock systems generate valuable data on access patterns,
which can be analyzed to improve security protocols and operational strategies. For
instance, in healthcare, logs from biometric locks can help identify inefficiencies or
suspicious activities, leading to better resource allocation and oversight.

Furthermore Smart lock technologies revolutionize access control in various domains by

solving critical problems related to security, efficiency, and convenience. Whether protecting
sensitive areas in healthcare, enhancing campus safety in education, or streamlining
transportation hubs, these systems provide innovative solutions tailored to specific
challenges. Their versatility and adaptability make them an essential component of modern
infrastructure, driving improvements across industries.

2.2 Review Of Existing Smart Lock Systems

Smart door locks are a popular technology that offers convenience, security, and remote
access to home or business premises each method addresses specific user needs, balancing
convenience, security, and cost. The choice depends on individual preferences, budget, and
specific security requirements. However, most traditional solutions have limitations in
security, connectivity, or user experience that drive innovation toward more advanced smart
lock systems.

. Below are some of the common existing types of smrat locks, how they work and their pros
and cons of each of them.

1. Keypad Locks

Keypad locks require users to enter a numeric code to unlock the door. These locks are often
standalone devices without connectivity to smart home systems.

Strengths:

 Convenience: No physical key required; access is granted with a simple code.

 Cost-effective: Typically less expensive than other smart locks.
 No Connectivity Dependency: Operates independently of Wi-Fi or Bluetooth.
 Low Maintenance: Simple design with fewer points of failure.

Weaknesses:

 Limited Security: Codes can be guessed, observed, or shared without restriction.

 No Remote Access: Cannot monitor or control the lock remotely.
 Limited Features: No integration with smart home systems or smartphones.

2. Bluetooth-Enabled Locks

These types of locks connect to a smartphone via Bluetooth, allowing users to unlock doors
automatically within a certain range.

Strengths:

 Proximity-based Access: Automatically unlocks when the authorized user is nearby.

 No Internet Dependency: Works offline, low vulnerability to hacking.
 Ease of Use: Simple smartphone control via dedicated apps.

Weaknesses:

 Range Limitation: this type of smart lock have an issues of only working within the
Bluetooth range (usually 10–30 feet).
 Battery Dependency: they requires regular battery replacement.
 Limited Features: No remote monitoring unless paired with a hub.

3. Wi-Fi-Connected Locks

Wi-Fi smart locks connect to a home network, enabling remote access and control via
smartphones or smart assistants.
Strengths:

 Remote Access: they possess the ability to unlock or monitor the lock from anywhere
via an app.
 Integration: they are compatible with smart home systems like Alexa, Google
Assistant, or Apple HomeKit.
 Activity Logs: they have the ability to records entry and exit history for security
monitoring.

Weaknesses:

 Energy Intensive: Consumes more battery power due to constant Wi-Fi connectivity.
 Security Risks: Vulnerable to hacking if not adequately secured.
 Higher Cost: More expensive than simpler locks.

4. Fingerprint/ Biometric Lock

Biometric locks use unique human biometrics such as fingerprint recognition or other
biometric methods (e.g., retina or facial recognition) to grant access.

Strengths:

 High Security: it’s quite difficult to forge or replicate biometric data as they are
unique to every individual.
 Convenience: No keys or codes required.
 User-Specific Access: Ensures only authorized individuals can unlock the door.

Weaknesses:

 Expensive: High upfront cost compared to other solutions.

 Environmental Sensitivity: May struggle with wet, dirty, or injured fingers.
 Data Privacy Concerns: Requires secure storage of biometric data.

5. Radio-Frequency Identification (RFID) Locks

RFID locks use keycards, fobs, or tags to communicate with the lock for access.

Strengths:

 Fast and Easy: Unlocks instantly when the RFID device is near.
 Durable: RFID tags are durable and hard to replicate.
 No Battery for Keys: RFID tags don't require power.
Weaknesses:

 Loss or Theft: RFID tags or cards can be lost or stolen.

 Limited Range: Requires close proximity to unlock.
 Not Biometric: Does not verify identity beyond possession of the RFID tag.

2.21 Transitional Systems

Intermediate or transitional systems in the evolution of smart door locks bridge the gap
between traditional locks and fully advanced smart lock systems. These systems aim to
improve convenience, security, and connectivity while addressing the limitations of
traditional methods. However, they also introduce their own challenges. Here's a detailed
overview:

1. Hybrid Locks

Hybrid locks combine mechanical locks with electronic or digital features, allowing both
manual (key-based) and smart access. Examples include locks with integrated keypads or
smart modules.

 Improvements:
o Flexibility: Users can switch between traditional keys and digital access
methods like keypads or smartphone apps.
o Cost-Effective Upgrade: Easier and cheaper to install than fully integrated
smart locks.
o Backup Options: In case of battery failure or technical issues, the manual key
still works.

 Challenges:
o Partial Smart Features: Limited compared to fully smart systems (e.g., no
remote control in many models).
o Vulnerability to Physical Attacks: Retains traditional lock weaknesses, such
as susceptibility to lock picking or bumping.
o Maintenance: Requires upkeep of both the mechanical and electronic
components.

2. Connected Add-Ons for Traditional Locks

These systems attach to existing mechanical locks, enabling smartphone control or
integration with smart home systems. Examples include devices like the August Smart Lock.

 Improvements:
o Ease of Installation: No need to replace the entire lock—just add a device to
the inside of the door.
o Enhanced Convenience: Adds features like remote locking/unlocking,
geofencing (auto-lock when leaving), and activity tracking.
o Non-Intrusive: Keeps the original lock design intact, appealing for renters or
those with strict building regulations.

 Challenges:
o Compatibility Issues: May not work with all lock types or door designs.
o Battery Dependency: Relies on batteries, requiring regular replacements to
avoid being locked out.
o Security Risks: Some models depend on Bluetooth or Wi-Fi, introducing
hacking risks or issues with signal interference.

3. Limited Connectivity Locks

These locks offer partial smart features, such as app-based locking/unlocking or temporary
access codes, but lack full internet connectivity. They often use Bluetooth or standalone apps
without integration into larger smart home systems.

 Improvements:
o Affordable Smart Access: Provides basic smart lock functionality at a lower
cost.
o Offline Functionality: Does not depend on Wi-Fi, reducing the risk of
hacking or connectivity failure.
o Simple Setup: Easier to install and configure compared to fully connected
systems.

 Challenges:
o Limited Range: Bluetooth-based locks work only when you're nearby,
restricting remote control.
o No Real-Time Monitoring: Cannot provide live updates or alerts when
someone uses the lock.
o Scalability: Hard to integrate into a broader smart home ecosystem.

4. Cloud-Connected Locks with Transitional Features

These locks connect to the internet through a hub or bridge, offering some smart features
while relying on older infrastructure. Examples include locks with remote control features but
lacking advanced AI or full automation.

 Improvements:
o Remote Control: Allows users to lock/unlock doors from anywhere using a
smartphone.
o Access Sharing: Temporary digital keys can be shared with visitors or service
providers.
o Smart Integration: Can connect with other smart devices like cameras or
alarms.

 Challenges:
o Hub Dependency: Often requires a separate hub or device for connectivity,
adding to costs and complexity.
o Data Privacy Concerns: Cloud-based systems may store access logs, raising
privacy issues.
o Connectivity Issues: Functions can be disrupted by poor internet or power
outages.

Other Challenges of Intermediate Systems Include

 User Learning Curve: Transitioning from traditional locks to partially smart systems
can be confusing for less tech-savvy users.
 Interoperability: Many systems are not universally compatible with other smart
home devices, limiting their functionality.
 Durability: Adding electronics to traditional systems introduces more wear and tear
over time.
 Security Trade-Offs: While improving convenience, these systems still face risks
like hacking, key- logging, or code sharing.

Intermediate systems provide a stepping stone between traditional and fully smart locks,
balancing affordability, convenience, and security. However, they also introduce new
challenges, particularly regarding compatibility, maintenance, and cyber-security risks.
Despite these challenges, they play a vital role in making smart lock technology more
accessible and helping users transition to fully integrated solutions.

2.22 Case Studies On Previous / Already Existing Smart Lock Designs

Examples and case studies of previous implementations of smart door locks, highlighting
their designs, functionalities, and limitations. These case studies demonstrate how smart locks
have evolved and the trade-offs involved in their implementation:

August Smart Lock Pro

This is a retrofit design that attaches to the existing deadbolt on the inside of the door,
leaving the exterior unchanged with Bluetooth and Wi-Fi connectivity via an
additional Wi-Fi bridge, integrated with smart home ecosystems like Alexa, Google
Assistant, and Apple HomeKit.

Functionalities:

 Remote control through the August app.

 Auto-unlock feature when the user approaches the door.
 Activity tracking with a log of who locks or unlocks the door.
 Temporary virtual keys for guests.
 Compatibility with existing keys as a manual backup.

Limitations:

 Dependency on Internet Connectivity: Remote functionalities require Wi-Fi, and

disruptions in connectivity can limit functionality.
 Battery Drain: Frequent use of Bluetooth and Wi-Fi drains the batteries quickly,
requiring frequent replacements.
 Security Risks: Wi-Fi connectivity makes the lock vulnerable to hacking if not
configured securely.
 Cost: The additional Wi-Fi bridge increases the total cost of the system.

Schlage Encode Smart Wi-Fi Deadbolt

This is a complete smart lock that replaces the existing deadbolt with built-in Wi-Fi
eliminates the need for a separate bridge uses touchscreen keypad for PIN entry and
keyless access.

Functionalities:

 Remote access and control via the Schlage Home app or integration with Amazon
Alexa and Google Assistant.
 Up to 100 customizable access codes for different users.
 Built-in alarm that triggers during forced entry attempts.

Limitations:

 Power Dependency: Heavy reliance on battery power due to built-in Wi-Fi; batteries
need frequent replacement.
 Complex Installation: Replacing an existing deadbolt requires proper alignment and
skill, which might be challenging for some users.
 Keypad Vulnerability: Smudges on the touchscreen can reveal commonly used
codes, compromising security.
Yale Assure Lock SL

It is a slim and modern design with a touchscreen keypad, available with Bluetooth, Z-Wave,
or Wi-Fi connectivity, depending on the model.

Functionalities:

 Integration with multiple smart home platforms (Alexa, Google Assistant, Apple
HomeKit, SmartThings).
 Keyless entry with a PIN code or smartphone app.
 Option to integrate with a separate hub for remote access and additional features.

Limitations:

 Cost Variability: Features like Wi-Fi and Z-Wave integration require additional
modules, increasing costs.
 Connectivity Challenges: Some models require a hub for remote access, which
complicates setup.
 Limited Battery Life: Regular battery changes are necessary, especially with Wi-Fi-
enabled models.

Case Study 5: Lockly Secure Pro

An advanced fingerprint scanner combined with a touchscreen keypad and Wi-Fi

connectivity. It has a features of random number shuffling system to prevent code guessing
based on smudge patterns.

Functionalities:

 Fingerprint recognition for quick access.

 Remote control and monitoring via the Lockly app.
 Voice assistant integration with Alexa and Google Assistant.
 Offline access with a manual key or keypad code.

Limitations:

 Complexity: High-tech features can confuse less tech-savvy users.

 Environmental Sensitivity: Fingerprint scanner struggles with wet or dirty fingers.
 Cost: Premium features make it one of the more expensive options.

2.4 Component Identification of SLS

2.41 Hardware Components:

 ESP32 Microcontroller: This tiny powerhouse acts as the heart of the SLS. It's a
microcontroller unit (MCU) with built-in Wi-Fi and Bluetooth capabilities, enabling it
to process data, control other components, and communicate wirelessly.

 Fingerprint Sensor: This is the core biometric component. It captures fingerprint

images using optical sensors. The captured image is then converted into a digital
representation (fingerprint template) containing unique features for identification.

 LCD Display: This acts as the user interface, displaying essential information like
system messages, enrollment and verification status and other relevant information, it
comes with an I2C module that allows easy integration with the ESP32
microcontroller.
 LED Indicators: These provide visual feedback for user actions. For instance, an
LED might blink green for a successful fingerprint scan or red for an invalid attempt

 Power Supply: This critical component ensures the smooth operation of the SLS by
providing stable power. Its includes the following components for the desired
portability and usage scenario as Battery life and charging efficiency are crucial
factors for a portable SLS.

*Buck Converter: A type of DC-DC converter to steps down the input voltage from
a higher level to a lower level. This device efficiently regulates the voltage in power
supplies or battery-operated devices.
*Lithium-Ion Batteries: Rechargeable batteries that power the SLS

Li-ion Battery

 Mechanical lock: A robust locking mechanism to physically secure the door.

Motorized deadbolt (automatically engages/disengages) or standard deadbolt with
smart enhancements.

Electromagnetic-lock
Software Component:

 Fingerprint Recognition Algorithm: This software program plays a vital role in user
identification. It analyzes the captured fingerprint template, extracting unique features
(minutiae) like ridge endings and bifurcations. These features are then compared
against pre-enrolled fingerprint templates stored in the system for verification. The
accuracy and speed of the fingerprint recognition algorithm significantly impact the
overall system performance.
 Server-side Application (Node JS): This acts as the backend engine, managing user
authentication, passcode entries, data storage, and communication with hardware
components. The framework of choice is Node.js and Express for the application
server and MongoDB for the database management system. The server-side
application ensures secure storage of entry attempt records and facilitates
communication between various parts of the SLS and also provides an API for the
User Interface.
 User Interface (UI): This is the user-facing interface where individuals interact with
the system. React.js, a popular JavaScript library, is the choice for building the
responsive and user-friendly UI. The UI should offers the following functionality:
o Enrollment: Adding new individuals to the system and storing their
fingerprint templates.
o Entry recording: Capturing fingerprints and pass code to open the Lock
System.
o Mode configuration: Allowing users to set different options.
o PassCode: Change and add new past codes

2.42 Security Measures:

 Encryption Protocols: These are essential for protecting sensitive data like
fingerprint templates and attendance records. Protocols like HTTPS ensure secure
communication between hardware devices and the server, encrypting data in transit to
prevent unauthorized interception.
 Biometric Authentication and pass code recognision Algorithms: Beyond
fingerprint and pass code recognition for user verification, consider incorporating
additional security measures. These include multi-factor authentication (MFA)
requiring a combination of fingerprint and password for enhanced security.
 Access Control Mechanisms: Implement a role-based access control (RBAC)
system. This restricts access to sensitive functionalities based on user roles (e.g., only
administrators can modify system settings).

2.5 Packaging:

A well-designed enclosure protects the SLS hardware components from damage.

Considering Factors including size, weight, durability, and ease of use since
portability is a key aspect for the system meant to be used in homes, classrooms,
banks or other infrastructures.

2.6 Conclusion:

The evolution of Smart lock technology has revolutionized entry attempt

management, offering organizations, homes a reliable and secure solution to track
entry attempt effectively and prevents break ins. From the traditional key based
systems to the sophisticated smart lock systems of today,
Smart Lock systems have become indispensable tools in education, healthcare, and
corporate environments, streamlining processes, improving accuracy, and enhancing
security. By leveraging unique biometric traits for identification and authentication,
these systems ensure accountability, compliance, and operational efficiency.
As organizations and homes continue to prioritize efficiency and security in locks, the
role of smart lock systems will only grow in importance.
With ongoing innovation and integration of cutting-edge technologies, smart lock
systems are poised to shape the future of lock systems, ushering in an era of seamless,
reliable, and transparent entry attempt management.
CHAPTER 3

DESIGN AND ANALYSIS

Introduction:

This chapter delves into the design and analysis of the DLS, offering insights into its system
architecture, hardware specifications, software implementation, security measures, and
integration/data flow.

3.1 System Architecture:

DLS Block Diagram

The DLS is made up of three(3) major blocks;

DLS Hardware:

The DLS hardware is responsible for capturing and uploading the fingerprint templates and
digital keypad matrix to the server, It comprises the ESP 32 microcontroller which controls
the other hardware components, processes the fingerprint scan and key combinations, and
sends it over to the web server through web sockets via wifi, the fingerprint sensor scans
digital keypad matrix verifies fingerprints and key combination through communication with
the ESP32 via UART protocol, the LCD and LED indicators show the state of the system and
display relevant information for the users. Finally, the power supply with the rechargeable
battery powers the hardware to make it portable

Backend(Web Server):

This includes the database management system, application server, and communication
protocols for storing and managing entry data. The server powered by Node JS and Express
provides an API(Application Programming Interface) for the User Interface to perform
CRUD on the entry data including creating new passwords, enrolling new members,
authentication, fetching entry data etc. The server also serves as a Socket server to prompt the
DLS hardware to take and verify passcodes, fingerprints and also constantly listens for the
results from DLS hardware

Frontend(User Interface):

The Web-based User Interface allows the administrator to log in, add users, add new phone
numbers enroll fingerprints, manage entries, etc. by sending HTTPs requests to the API and
listening to web socket events from the server for real-time updates