Abstract:
A hard-copy authentication document is a physical manifestation of a digital signature or a physical manifestation of a public key affixed to a hard-copy document or physical object, respectively. A method of authentication and non-repudiation of hard-copy documents includes affixing a physical manifestation of a digital signature to a hard-copy document. The physical manifestation of a digital signature is converted to an electronic digital signature, which is compared to a public key to authenticate the hard-copy document.

Description:
BACKGROUND  
       [0001]     This embodiment relates generally to the authentication and non-repudiation of hard-copy communications. More particularly, the present embodiment relates to an apparatus and method for the authentication and non-repudiation of hard-copy documents using a digital signature and/or a digital certificate distributed in a novel manner.  
         [0002]     Many business activities require execution of various documents, typically by signature. Signing such documents serves a number of purposes. A signature authenticates a writing by identifying the signer with the signed document. In certain contexts, the signature expresses the signer&#39;s approval or authorization of the writing, or the signer&#39;s intention that it have legal effect. Such authentication also enables the receiver to prove to a third party, such as a judge, that the document was created by the purported sender. This latter ability prevents the sender from repudiating a genuine document, such as a promise to pay, by falsely claiming that it is a forgery created by the receiver. A signature on a written document often imparts a sense of clarity and finality to the transaction and may lessen the subsequent need to inquire beyond the face of a document. Negotiable instruments, for example, rely upon formal requirements, including a signature, for their ability to change hands with ease, rapidity, and minimal interruption. The act of signing a document calls to the signer&#39;s attention the legal significance of the signer&#39;s act, and thereby helps prevent inconsiderate engagements. Consequently, sound practice calls for transactions to be formalized in a manner which assures the parties of their validity and enforceability.  
         [0003]     Until a few years ago, formalization generally involved documenting the transaction on paper and signing or authenticating the paper. Although the basic nature of transactions has not changed, business conditions have required an increasing reliance on digital documents. Ordinary digital documents lack the verifiable authenticity of paper documents in two respects. First, they can be forged by third parties claiming to be the purported sender, or be subjected to undetectable modification in transit. Second, a genuine document can later be repudiated by the actual sender, who may falsely claim that the document is a forgery created by the receiver.  
         [0004]     Digital signatures have been used for some time on digital documents to provide the two main functions of an ink signature on a paper document, namely “authentication” and “non-repudiation”. Most digital signature schemes use public key cryptography to provide authentication and non-repudiation for transmitted data. Typical digital signatures created via an asymmetric key algorithm can be validated by anyone knowing the public-key of the sender.  
       SUMMARY  
       [0005]     There is provided a hard-copy authentication document comprising a physical manifestation of a digital signature or a physical manifestation of a public key affixed to a hard-copy document or physical object, respectively.  
         [0006]     The physical manifestation of a digital signature or the physical manifestation of a public key may be a 2D barcode or a dataglyph. The physical manifestation of a public key may be a physical manifestation of a digital certificate including a public key.  
         [0007]     There is also provided a method of authentication and non-repudiation of hard-copy documents comprising affixing a physical manifestation of a digital signature to a hard-copy document. The physical manifestation of a digital signature is converted to an electronic digital signature, which is compared to a public key to authenticate the hard-copy document.  
         [0008]     Affixing a physical manifestation of a digital signature to a hard-copy document comprises inputting a digital copy of the hard-copy document into a secure hash function to produce a message digest. The message digest and a private key of the originator of the hard-copy document are input into a digital signature algorithm to generate an electronic digital signature. The electronic digital signature is input into a printing device to produce the physical manifestation of a digital signature, which is mounted to the hard-copy document. Affixing a physical manifestation of a digital signature to a hard-copy document may also comprise inputting additional information into the secure hash function, for example date, time originator&#39;s name, URL reference to an original version of the hard-copy document, or other metadata.  
         [0009]     Inputting the electronic digital signature into a printing device to produce the physical manifestation of a digital signature and mounting the physical manifestation of a digital signature to the hard-copy document may comprise appending the electronic digital signature to the digital copy of the hard-copy document, to produce a combined file. The combined file is printed, producing the physical manifestation of the digital signature and the hard-copy document as a single document.  
         [0010]     Inputting the electronic digital signature into a printing device to produce the physical manifestation of a digital signature and mounting the physical manifestation of a digital signature to the hard-copy document may comprise sequentially inputting the electronic digital signature and the digital copy of the hard-copy document to the printing device, where the physical manifestation of the digital signature is printed over the hard-copy document. Inputting the electronic digital signature into a printing device to produce the physical manifestation of a digital signature and mounting the physical manifestation of a digital signature to the hard-copy document may comprise sequentially inputting the electronic digital signature and the digital copy of the hard-copy document to the printing device, where the physical manifestation of the digital signature and the hard-copy document are sequentially printed as a single document. Inputting the electronic digital signature into a printing device to produce the physical manifestation of a digital signature and mounting the physical manifestation of a digital signature to the hard-copy document may comprise printing the physical manifestation of the digital signature on a label and mounting the label to the hard-copy document.  
         [0011]     Converting the physical manifestation of a digital signature to an electronic digital signature comprises scanning the physical manifestation of the digital signature and the hard-copy document to produce a digital copy of the hard-copy document and an electronic digital signature.  
         [0012]     Comparing the electronic digital signature to a public key to authenticate the hard-copy document comprises inputting the electronic digital signature and the originators public key into a digital signature algorithm to produce a decrypted message digest. The digital copy of the hard-copy document is input into a secure hash function to produce a test message digest and compared to the decrypted message. The message is authenticated if the test message digest is identical to the decrypted message digest.  
         [0013]     The method also comprises affixing a physical manifestation of a public key or a physical manifestation of a digital certificate to a physical object to produce a hard-copy digital certificate. The hard-copy digital certificate is distributed to a recipient of the hard-copy document and the physical manifestation of a public key or the physical manifestation of a digital certificate is converted to an electronic public key or an electronic digital certificate, respectively. Converting the physical manifestation of a public key or the physical manifestation of a digital certificate to an electronic public key or an electronic digital certificate comprises scanning the physical manifestation of a public key or the physical manifestation of a digital certificate to produce an electronic public key or an electronic digital certificate. 
     
    
     BRIEF DESCRIPTION OF THE DRAWINGS  
       [0014]     The present embodiment may be better understood and its numerous objects and advantages will become apparent to those skilled in the art by reference to the accompanying drawings in which:  
         [0015]      FIG. 1  is a schematic diagram of apparatus for creating a physical manifestation of the digital signature/digital certificate;  
         [0016]      FIG. 2  is a flow diagram of a method for creating a physical manifestation of the digital signature/digital certificate;  
         [0017]      FIG. 3  is a flow diagram of a method for authenticating a physical manifestation of the digital signature/digital certificate; and  
         [0018]      FIG. 4  is a schematic diagram of a physical manifestation of a digital certificate. 
     
    
     DETAILED DESCRIPTION  
       [0019]     With reference to the drawings wherein like numerals represent like parts throughout the several figures, and more particularly to  FIG. 1 , there is shown an apparatus  10  for creating a digital signature/certificate for use on a hard-copy document. The apparatus  10  comprises a computer system  12 , including a keyboard, a display and a mouse (none of which are shown), and is connected to the Internet  14 . In addition, the computer system  12  includes a printing device  16  and a scanning device  18 , as explained in greater detail below. It should be appreciated that the printing device  16  and the scanning device  18  may be parts of a multifunction device, such as a digital copier. It should also be appreciated that a digital camera may be used in place of the scanning device  18 .  
         [0020]     The subject method for creating and affixing a digital signature to a hard-copy document provides a signature that may be used to indicate the identity of the person who signed the document and that is very difficult for another person to produce without authorization. In addition, the digital signature may include information that can be used to identify or describe the document and to verify that the document has not been altered. Such signer authentication and document authentication are essential ingredients of a nonrepudiation service.  
         [0021]     A conventional digital signature is a large number represented in a computer as a sequence of binary digits called bits. The digital signature is computed using a set of rules and a set of parameters such that the identity of the signatory and integrity of the data can be verified. The Digital Signature Standard (DSS) is a cryptographic standard promulgated by the National Institute of Standards and Technology (NIST) in 1994. It has been adopted as the federal standard for authenticating electronic documents, much as a written signature verifies the authenticity of a paper document. Each user possesses a private and public key pair. Public keys are assumed to be known to the public in general while private keys are never shared. Signature generation makes use of the private key to generate a digital signature. Signature verification makes use of the public key which corresponds to, but is not the same as, the private key. Anyone can verify the signature of a user by employing that user&#39;s public key. Signature generation can be performed only by the possessor of the user&#39;s private key.  
         [0022]     With reference to  FIG. 2 , the document  20  that is to be digitally signed (hereinafter “the message”) is input into a secure hash function  22  to produce a condensed version of the message, hereinafter “the message digest”  24 . The secure has function  22 , the message digest  24  and the private key  26  are then input to the digital signature algorithm  28  to generate the digital signature  30 . Other information, such as the time/date, the signer&#39;s name, a URL reference to an original version in a repository that may be under change management, or any other desired metadata may also be input to the digital signature algorithm  28  before the digital signature is generated. A physical manifestation of the digital signature is then affixed  32  to a hard-copy of the document. The term “physical manifestation of the digital signature” is hereby defined as a machine readable format bound to the document, such as through printing, having a capacity sufficient to display the complete data content of a digital signature meeting the criteria of applicable industry standards. One such physical manifestation is a printed representation of the digital signature in a 2D barcode. Two dimensional (2D) symbologies first appeared in 1988 when Code 49 was introduced by Intermec. Two dimensional barcodes can be classified into several types, with stacked and matrix being the most prevalent. Some of the advantages of 2D over one-dimensional (1 D) barcodes are the physical size, storage capability and data accuracy. One example of a 2D barcode is Adobe&#39;s PDF-417 2D barcode. Another such physical manifestation is a print of the digital signature in Xerox DataGlyphs™.  
         [0023]     The task of affixing  32  a physical manifestation of the digital signature to a hard-copy of the document may be performed in a number of ways. The digital signature  30  may be appended to the message  20  and the combined files  20 ,  30  transmitted to the printing device  16 , such that the message  20  and the physical manifestation of the digital signature are printed as a single document  34 . Appending the digital signature  30  can be implemented as a plug-in to a document creation application, Microsoft Word for example, that allows you to add the digital signature  30  to a document or locate it on a sheet of paper and then combine it the with the original document  20  either by electronic or manual methods. The message  20  and digital signature  30  may be transmitted sequentially to the printing device  16 . In this case, the message  20  and the physical manifestation of the digital signature may be printed as a single document  34 , with the physical manifestation of the digital signature/document being overprinted on the document/physical manifestation of the digital signature, or as separate message and signature documents  34 , with the signature document being physically appended to the message document. The physical manifestation of the digital signature  30  may be printed on a label that is then physically affixed to the document  34 . The digital signature may also be used to manufacture a rubber stamp that is used to create the physical manifestation of the digital signature in a known manner. The message  20  and digital signature  30  may be stored in a portable memory device such as a floppy disc, a CD/DVD rom, a USB flash drive, or similar device, and transported to a printing device  16  that is physically and/or electronically separated from the computer system  12 .  
         [0024]     With reference to  FIG. 3 , the receiver authenticates  36  the digital signature  30  and the document  20  by scanning the physical manifestation of the digital signature and the document  34 ,  34 ′,  34 ″ to create a digital message file  38  and a digital signature file  40 . The digital signature file  40  and the originators public key  42  are inputted into the digital signature algorithm  28 , which decrypts the digital signature, producing a decrypted message digest  44 . The receiver then inputs the digital message file  38  into the same hash function  22  as was used by the originator, to produce a test message digest  46 . The review compares  48  the decrypted message digest  44  to the test message digest  46 . If the test message digest  46  is identical to the decrypted message digest  44 , the message is authenticated  50 . If not, the message is not authenticated  52 .  
         [0025]     The document may also include a physical manifestation of a time stamp  53 . The timing of a digital signature in relation to the operational period of a certificate is critical to the verification of the digital signature and message integrity. For example, a digital signature created after a certificate has expired, been revoked, suspended, or before it has been issued is not verifiable even if the certificate is or subsequently becomes valid. Similarly, the digital signature of a certification authority on a certificate issued by the certification authority must be created during the operational period of the certification authority certificate issued by the issuing authority higher in the hierarchy. A time-stamp on the certification authority&#39;s digital signature (or on the certificate or on internal auditable records of the certification authority) is thus critical to the verification of the certification authority&#39;s digital signature, and will also be a factor in determining the time and date when the certificate is issued, the beginning point of the certificate&#39;s operational period. A time-stamp  53  should be expressed in a form that clearly indicates its frame of reference so that time-stamps are universally comparable, notwithstanding different time zones and seasonal adjustments.  
         [0026]     A digital certificate provides assurance that the public key is owned by the correct person or system with which an encryption or digital signature method will be used. This assurance is derived from a trusted third party or by a chain of trust to a trusted third party that has signed and distributed the digital certificate. One example of a digital certificate is a X.509 certificate, which conforms to the standards defined by the Internet Engineering Task Force (IETF). Examples of trusted third parties include such corporations as VeriSign and Thawte. Just as conventional digital signatures are electronic documents, conventional digital certificates are also electronic documents.  
         [0027]     A hard-copy digital certificate  56  is shown in  FIG. 4 . The subject digital certificate is functionally equivalent to conventional digital certificates, for example digital certificates complying with X.509 requirements. A digital certificate is used to convey a public key associated with a specific user, and to certify the authenticity of the public key. Conventional digital certificates generally contain the user&#39;s name, a serial number, an expiration date, the digital signature of the certificate-issuing authority, and the user&#39;s public key. The subject hard-copy digital certificate  56  includes a physical manifestation of a public key  58  or a physical manifestation of a digital certificate  60 . The terms “physical manifestation of a public key”  58  or “physical manifestation of the digital certificate”  60  is hereby defined as a machine readable format bound to a document, such as through printing, having a capacity sufficient to display the complete data content of a public key or a digital certificate meeting the criteria of applicable industry standards. Examples of such machine readable formats include 2D barcode and Xerox DataGlyphs™.  
         [0028]     The subject hard-copy digital certificate  56  may be in the form of a business card  62 , as shown in  FIG. 4 . In one variation, a physical manifestation of the user&#39;s public key  58  is affixed to the back  64  of the business card  62 . The front  66  of the business card  62  includes other identification information on the user. For example, the user&#39;s name, address, telephone number, email address, etc. Trust in the physical manifestation of the public key  58  that is on the card is obtained from the trust of the individual from whom the business card  62  was received (e.g. If John Doe hands me his business card, I can trust that the physical manifestation of the public key on the back of the card is his). The physical manifestation of the public key  58  is converted back into a usable digital form by scanning or digitally photographing the business card back  64  and decoding the physical manifestation of the public key  58  on the card  62  to a file. The task of affixing a physical manifestation of the public key  58  to the business card  62  may be performed in the same manner described above for the digital signature.  
         [0029]     In a second variation, a physical manifestation of a digital certificate  60  from a certificate-issuing authority is affixed to the back  64  of the business card  62 . Using a physical manifestation of a digital certificate  60  provides a dual level of trust. First, there is the trust that is obtained from the trust of the individual from whom the business card  62  was received, as in the case of the business card described above. Second, there is the trust that is obtained by the use of digital certificate obtained from a certificate-issuing authority. The physical manifestation of the digital certificate  60  is converted back into a usable digital form by scanning the business card back  64  and decoding the physical manifestation of the digital certificate  60  on the card  62  to a file. The digital certificate thus obtained has additional utility, in that certain conventional software systems are set up to recognize and work with conventional digital certificates.  
         [0030]     It will be appreciated that various of the above-disclosed and other features and functions, or alternatives thereof, may be desirably combined into many other different systems or applications. Also that various presently unforeseen or unanticipated alternatives, modifications, variations or improvements therein may be subsequently made by those skilled in the art which are also intended to be encompassed by the following claims.