ANALYSIS RULE EXPEDITED POS SYSTEM EVALUATION SYSTEM AND METHOD

Abstract: A method for use in evaluating performance of a POS installation including a plurality POS stations (POS1, POS2, POS3, POS4) connected via respective lines (12, 14, 16 and 18) each station being clerk operated and providing POS station transaction data is inclusive of steps of providing video cameras (VCA, VCB, VCC and VCD) video indicative of activity at the POS stations and providing first recorder(s) (1) for recording the video and the transaction data, establishing statistical rules from processor and controller (28) for analyzing the recorded POS transaction data and applying first analysis rules to transaction data provided by the POS stations to provide selected transaction data and recording the selected transaction data and video corresponding thereto in a second recorder connected by line (40) in a succession according with another analysis rule. The first analysis rules provide for discarding transaction data in accordance with its relationship with statistical parameters and the other analysis rule provides for recognizing statistical abnormalities computed per the first analysis rule and the recording may be a succession commencing with the most abnormal transaction and proceeding to the least abnormal.

Description: ANALYSIS RULE EXPEDITED POS SYSTEM EVALUATION SYSTEM AND METHOD Field of the Invention This invention relates generally to so-called "POS" (Point of Sale) systems, such as are found in retail facilities, and pertains more particularly to performance evaluation systems and methods for use in connection with POS stations. Background of the Invention It is customary in current day retailing practices, to have checkout counters at the exit of a facility, each equipped with a clerk-controlled POS station effecting checkout of articles through bar code scanning, retrieval of article price from a storage unit containing article price cross-correlated with article bar code, display of each article checkout to a customer, selected article price totalization and providing the customer with a printout of the customer's transaction in purchasing articles. Transaction information is typically transmitted from each POS station to a parent level computer for storing the same for inventory and clerk critique purposes. The critique parameters, implemented by a supervisory person assigned to this purpose at the parent level computer, include such concerns as the facility may have for efficiency of the clerk, attributable to low transactional volume with time, clerk fraud, etc. Presently-known clerk evaluation practices at the parent level computer for purposes of clerk evaluation are seen as quite labor-intensive for the evaluator, typically involving examining printouts of evaluation level stored data per individual participating POS station where, typically, the individual station is operated by different clerks in the course of a day and information concerning a given individual clerk is on different such printouts. The issue of fraud is of particular consequence, given the often marginal profit posture of various supermarkets. While the vast majority of checkout clerks are observed as of high moral character and having no propensity toward fraud. human nature being what it is, a level of checkout clerk fraud is known to exist at a level which adversely impacts on supermarket profit posture. For example, checkout clerks have been known to have secured as by taping to their wrists, beneath a long-sleeved shirt, a bar code for a particularly inexpensive item, e.g., a pack of chewing gum. In checking out a relatively expensive item, such checkout clerk, intent on fraud, masks the bar code of the item, and presents to the bar code reader the bar code of the pack of chewing gum. As a result, the POS station data processor looks up the price for the pack of chewing gum and places such price in its totalizer for article checkout instead of that of the relatively expensive item and the customer departs the facility with an underpriced order, as often a relative of the checkout clerk or one in conspiracy for savings sharing purposes as respects the differential between the cost of the relatively expensive item and the pack of chewing gum. Another fraudulent practice is that of "voiding" a proper checkout of an item within the same checkout order. The void of course results in a deletion by the POS station data processor of the cost of the voided item and full enjoyment of the fraud, without discount of the cost even of a cheaper item, as between the customer and the checkout clerk. The foregoing nefarious activities on the part of checkout clerks have given rise to the use of video cameras, video recorders and transaction data recorders, with the full transaction activity at the POS station being available to a supervisor for review to detect fraudulent activities. The above referenced quite labor-intensive job for the evaluator, involving examining all such transaction activity, is often not attended to, given the massive amount of data to be reviewed. Often, the compromise is to "spot-check" the recorded transaction activity, which applicants see as not a meaningful compromise in view particularly of the aforementioned marginal profit posture of many supermarkets. Summary of the Invention The present invention has as its primary object the provision of enhanced systems and methods for evaluation for instances of fraud in plural station POS installations. A more particular object of the invention is to afford an evaluator at the host computer more efficiency by minimizing POS data for review. In attaining the foregoing and other objects, the invention provides a method for use in evaluating performance of a POS installation including a plurality of individual POS stations each station being clerk operated and providing POS station transaction data, comprising the steps of: (a) providing video camera means for generating video indicative of activity at the POS stations; (b) providing first and second recording means activatable for recording the transaction data and the video; (c) activating the first recording means to record the transaction data and the video; (d) establishing rules for analyzing POS transaction data and applying the analysis rules to transaction data recorded by the first recording means to identify selected of the transaction data recorded by the firεt recording means; and (e) activating the second recording means to record the selected transaction data and video corresponding thereto. Viewed somewhat more broadly, the method of the invention is inclusive of steps of providing video camera means for generating video indicative of activity at the POS stations, establishing rules for analyzing POS transaction data and applying the analysis rules to transaction data provided by the POS stations to provide selected transaction data and recording the selected transaction data and video corresponding thereto. Practice under the invention contemplates further that the selected transaction data and video corresponding thereto be recorded in a succession according with another analysis rule. The first-discussed analysis rule provides for discarding transaction data in accordance with its relationship with statistical parameters and the further or other analysis rule provides for recognizing statistical abnormalities computed per the first analysis rule and the recording succession is a sequence commencing with the most abnormal transaction and proceeding to the least abnormal transaction. The recording succession applicable to the signals generated by the video cameras is chronological and brought on by human intervention. The recording succession applicable to the selected transaction data is determined by mathematical process and is not subject to the chronology of the selected transaction data. Quite broadly, such practice involves a method wherein a transaction data list is examined statistically to lessen its content and the lessened list is prioritized for recording purposes in accordance with the statistical findings in reaching the lessened list. A system in accordance with the invention comprises: (a) video camera means for generating video indicative of activity at the POS stations; (b) first and second recording means activatable for recording the transaction data and the video; and (c) data processing and control means (1) for activating the first recording means to record the transaction data and the video, (2) for applying rules for analyzing POS transaction data to transaction data recorded by the first recording means to identify selected of the transaction data recorded by the first recording means and (3) activating the second recording means to record the selected transaction data and video corresponding thereto. Viewed somewhat more broadly, systems in accordance with the invention are inclusive of video camera means for generating video indicative of activity at the POS stations, data processing means for applying rules for analyzing POS transaction data to transaction data provided by the POS stations and thereby identifying selected transaction data and recording means for recording the selected transaction data and video corresponding thereto. Quite broadly, the last noted system comprises data processing means for statistically examining a transaction data list and lessening its content accordingly and for prioritizing the lessened list in accordance with the statistical findings in reaching the lessened list, and recording means for recording the prioritized, lessened transaction data list. The foregoing and other objects and features of the invention will be further understood from the following detailed description thereof and from the drawings, wherein like components are identified by common reference numerals throughout. Description of the Drawings Fig. 1 is a block diagram of a first system in accordance with the invention. Fig. 2 is a block diagram of a second system in accordance with the invention. Figs. 3 through 6 are flow charts of routines implemented in the DATA PROCESSOR AND CONTROLLER of the systems of Figs. 1 and 2. Detailed Description of Preferred Embodiments and Practices Referring to Fig. 1, system 10 of the invention includes POSl, P0S2, P0S3 and POSn, constituting system-participating POS stations. The POS stations are connected with RECORDER I over lines 12, 14, 16 and 18 and furnish thereto transaction data, clerk identification data and cash register identification data. Video cameras VCA, VCB, VCC and VCD are in viewing relation to the POS stations and provide video indicative of POS station activity over lines 20, 22, 24 and 26 to RECORDER I, which has facility also for recording video. A further component of system 10 is DATA PROCESSOR AND CONTROLLER 28, which is connected with RECORDER I over lines 30 and, per operating routines of unit 28 discussed below, controls the input of data to RECORDER I (activation thereof) and readout of data recorded therein. Unit 28 further controls activation of the video cameras over lines 32, 34, 36 and 38. In this respect, sensors (not shown) provide input to unit 28 of a customer entering any given POS station for checkout and unit 28 according activates lines 32, 34, 36 and 38, such that the video cameras are operative only as events warrant. RECORDER II is connected to unit 28 over lines 40 which provide for activation of RECORDER II for recording of data and video furnished by unit 28. Operation and setup of system 10 will be understood from consideration of the flow chart of Fig. 3, to which reference is now made. In step Sl, PROVIDE VIDEO CAMERAS FOR GENERATING VIDEO INDICATIVE OF ACTIVITY AT POS STATIONS, the video cameras of Fig. 1 are placed in desired relation to the POS stations. In step S2, PROVIDE FIRST AND SECOND RECORDING UNITS ACTIVATABLE FOR RECORDING POS TRANSACTION DATA AND VIDEO, RECORDER I and RECORDER II of Fig. 1 are put in place. In step S3, ACTIVATE FIRST RECORDING UNIT TO RECORD POS TRANSACTION DATA AND GENERATED VIDEO, RECORDER I is controlled by unit 28 to effect recording of POS transaction data and video generated by the video cameras which may be enabled. Step S4, ESTABLISH RULES FOR ANALYZING POS TRANSACTION DATA, is practiced by a system installer and the POS installation manager. Exemplary such analysis rules are discussed below in detail in connection with consideration of the flow chart of Fig. 6. In step S5, APPLY ANALYSIS RULES TO TRANSACTION DATA RECORDED BY FIRST RECORDING UNIT TO IDENTIFY SELECTED OF POS TRANSACTION DATA RECORDED BY FIRST RECORDING UNIT, unit 28 applies the analysis rules to the transaction data furnished by RECORDER I in step S3. In Step S6, ACTIVATE SECOND RECORDING UNIT TO RECORD SELECTED TRANSACTION DATA AND VIDEO CORRESPONDING THERETO, unit 28 may have recourse to RECORDER I to collect video corresponding to transaction data selected in step S5 and furnish the same with the selected transaction data selected in step S5. Alternatively, unit 28 may have suitable memory to collect video also in step S4 and implement step S6 without further recourse to RECORDER I. In Step S7, DISPLAY TRANSACTION DATA RECORDED BY SECOND RECORDING UNIT JOINTLY VISUALLY WITH ACTIVITY IN VIDEO CORRESPONDING THERETO, the abbreviated information at hand is displayed for clerk performance evaluation. Step S7 is desirably practiced through the use of a CRT which is provided with video indicative of POS station activity with transaction data presented with the activity video in the form of a transaction tape, as is customary in the POS industry. Fig. 2 illustrates an alternative system embodiment, i.e., system 10', which includes various components of the Fig. 1 system. Additional components include SWITCH I, SWITCH II and RECORDER III. SWITCH I receives as inputs POS station output lines 12, 14, 16 and 18 providing the above- noted transaction, clerk identification and cash register identification data. SWITCH II receives as inputs video camera output lines 20, 22, 24 and 26. Unit 28 provides inputs to SWITCH I over line 42 and to SWITCH II over line 44 for control of assignment of POS stations and video cameras to RECORDER I and RECORDER III. By way of example, unit 28, based on installation installer and manager decision, a given clerk may be in need of quite close examination and may be assigned initially to one POS station and thereafter to a second POS station. On the basis of the decision, unit 28 will so control POS station data and video routing to RECORDER III respectively over lines 46 and 48 of the appropriate given clerk transaction data and video. Lines 50 interconnect RECORDER III with unit 28 for activation of RECORDER III and for furnishing of transaction data and video recorded by RECORDER III to unit 28. The flow chart of Fig. 4 explains the operation and setup of system 10'. Reference is now made thereto. Step S8, PROVIDE VIDEO CAMERAS FOR GENERATING VIDEO INDICATIVE OF ACTIVITY AT POS STATIONS, is the same as step Sl above discussed. Step S9, PROVIDE FIRST, SECOND AND THIRD RECORDING UNITS ACTIVATABLE FOR RECORDING POS TRANSACTION DATA AND VIDEO, expands step S2 above to call for RECORDER III. Step S10, ACTIVATE THIRD RECORDING UNIT TO RECORD TRANSACTION DATA AND VIDEO SPECIFIC TO A SELECTED INDIVIDUAL POS CLERK, calls for the above-discussed activity of unit 28 to effect recording of transaction data and video assigned to RECORDER III. Step Sll, ACTIVATE FIRST RECORDING UNIT TO RECORD POS TRANSACTION DATA AND GENERATED VIDEO, is the same as step S3 above discussed. Step S12, ESTABLISH RULES FOR ANALYZING POS TRANSACTION DATA, is the same as step S4 above discussed. Step S13, APPLY ANALYSIS RULES TO TRANSACTION DATA RECORDED BY FIRST AND THIRD RECORDING UNITS TO IDENTIFY SELECTED OF POS TRANSACTION DATA RECORDED BY FIRST AND THIRD RECORDING UNITS, the practice of step S5 above is expanded to take into account the information recorded by RECORDER III. Step S14, ACTIVATE SECOND RECORDING UNIT TO RECORD SELECTED TRANSACTION DATA AND VIDEO CORRESPONDING THERETO, is the same as step S6 above discussed, except that the selected transaction data and video is inclusive of the selected contents of RECORDER III. Step S15, DISPLAY TRANSACTION DATA RECORDED BY SECOND RECORDING UNIT JOINTLY VISUALLY WITH ACTIVITY IN VIDEO CORRESPONDING THERETO, is the same as step S7 above discussed, except that the displayed information is inclusive of the selected contents of RECORDER III. Referring to the flow chart of Fig. 5, step S16, PROVIDE VIDEO CAMERAS FOR GENERATING VIDEO INDICATIVE OF ACTIVITY AT POS STATIONS, is the same as step Sl above discussed. In Step S17, PROVIDE FIRST AND SECOND TIME SEQUENTIAL RECORDING UNITS ACTIVATABLE FOR RECORDING POS TRANSACTION DATA AND VIDEO, RECORDER I AND RECORDER II are selected to be time sequential in nature, such as customary tape machines. Step S18, ACTIVATE FIRST RECORDING UNIT TO RECORD POS TRANSACTION DATA AND GENERATED VIDEO, is the same as step S3 above discussed. In step S19, ESTABLISH RULES (1) FOR ANALYZING POS TRANSACTION DATA AND (2) FOR RECORDING SEQUENCE, the transaction data analysis is expanded to include a rule for determining a recording sequence. In step S20, APPLY ANALYSIS RULE (1) TO TRANSACTION DATA RECORDED BY FIRST RECORDING UNIT TO IDENTIFY SELECTED OF POS TRANSACTION DATA RECORDED BY FIRST RECORDING UNIT, unit 28 functions as in step S5 above discussed. In Step S21, APPLY ANALYSIS RULE (2) TO PROVIDE A RECORDING SEQUENCE FOR SELECTED POS TRANSACTION DATA, unit 28 places the selected transaction data in the sequence called for by the second analysis rule. Step S22, ACTIVATE SECOND RECORDING UNIT TO RECORD SELECTED TRANSACTION DATA AND VIDEO CORRESPONDING THERETO IN PROVIDED RECORDING SEQUENCE, is the same as step S5 above discussed, except that the information is arranged in the desired recording sequence. Step S23, DISPLAY TRANSACTION DATA RECORDED BY SECOND RECORDING UNIT JOINTLY VISUALLY WITH ACTIVITY IN VIDEO CORRESPONDING THERETO, is the same as step S6 above discussed. Exemplary analysis and rules implemented in unit 28 in practicing the invention are illustrated in the flow chart of Fig. 6, to which reference is now made. In step S24, ASSEMBLE LIST OF ALL TRANSACTIONS FOR TIME PERIOD OF INTEREST, unit 28 compiles the transaction data furnished on its demand from RECORDER II (and RECORDER III where used) . In Step S25, COMPUTE CLERK STATISTICAL MEAN NUMBERS (1) MEAN NUMBER OF EVENTS PER TRANSACTION (2) MEAN NUMBER OF GAPS PER TRANSACTION (3) MEAN DURATION OF GAPS, unit 28 performs first mean number calculations. In step S26, COMPUTE PRODUCT STATISTICAL MEAN NUMBERS (1) MEAN GAP SIZE FOLLOWING PRODUCT SALE (2) MEANS GAP SIZE PRECEDING PRODUCT SALE, unit 28 performs second mean number calculations. In step S27, RANK TRANSACTIONS ACCORDING TO (1) NUMBER OF EXCEPTIONS WITHIN TRANSACTION ABOVE MEAN (2) NUMBER OF GAPS WITHIN TRANSACTION ABOVE MEAN (3) DURATION OF GAPS ABOVE MEAN (4) OVERALL TRANSACTION SPEED, unit 28 performs ranking of transactions with reference to the mean number calculations and notes transaction speed. In Step S28, DISCARD EXPLICABLY ABNORMAL TRANSACTIONS FROM ASSEMBLED TRANSACTION LIST ACCORDING TO (1) TRANSACTIONS WITH VERY LONG GAPS (2) TRANSACTIONS WHICH HAVE GAPS PRECEDED OR FOLLOWED BY A KNOWN SLOW PRODUCT (3) TRANSACTIONS WHICH ARE FROM KNOWN SLOW OR FAST REGISTERS (4) TRANSACTIONS WHICH CONTAIN GAPS MORE THAN + OR -THREE STANDARD DEVIATIONS FROM THE NORM FOR BOTH CLERKS AND REGISTERS, transaction data recorded by RECORDER I (and RECORDER III where applicable) and deemed to be of a type not of interest to clerk performance evaluation is discarded. In step S29, ASSEMBLE LIST OF TRANSACTIONS SURVIVING DISCARD IN SUCCESSION STARTING WITH WORST (MOST ABNORMAL) TO BEST (LEAST ABNORMAL) , the lessened transaction data reached in step S28 is prioritized in a manner facilitating its examination. As will be appreciated, particularly preferred practices in accordance with the invention are that of Fig. 5, wherein transaction data is lessened and placed in desired reviewing sequence, and that of Fig. 5 with use also of RECORDER III. While the analysis rules of Fig. 6 are found quite effective, having as one premise the expectation of relatively constant gaps between transactions, the invention contemplates various other rules for selecting transaction data and its accompanying video. The following are typical examples. Clerk fraud can attend so-called VOIDS where a previously checked out article is later voided. Underpricing of an article is also a happenstance, e.g., where the article category is such as meat or wine, and the entered price is below the minimum price for an article in the category. Discount coupon credit is another area of clerk fraud, where the discount is applied to an article for which discount is never given. Cash tender is another item of interest, particularly helpful where, e.g., a given denomination bill ($10) is present in commerce at a given time in counterfeit state. Various changes to the particularly disclosed embodiments and practices may evidently be introduced without departing from the invention. Accordingly, it is to be appreciated that the particularly discussed and depicted preferred embodiments and practices of the invention are intended in an illustrative and not in a limiting sense. The true spirit and scope of the invention are set forth in the ensuing claims.

Claims: WHAT IS CLAIMED IS: 1. A method for use in evaluating performance of a POS installation including a plurality of individual POS stations each station being clerk operated and providing POS station transaction data, the method comprising the steps of: (a) providing video camera means for generating video indicative of activity at the POS stations; (b) providing first and second recording means activatable for recording said transaction data and said video; (c) activating said first recording means to record said transaction data and said video; (d) establishing rules for analyzing POS transaction data and applying the analysis rules to transaction data recorded by said first recording means to identify selected of said transaction data recorded by said first recording means; and (e) activating said second recording means to record said selected transaction data and video corresponding thereto. 2. The method claimed in claim 1 including the further step of displaying the transaction data recorded by said second recording means jointly visually with said activity in said video corresponding thereto. 3. The method claimed in claim 1, including the further step of providing third recording means activatable for recording transaction data and video and selectively activating said third recording means to record transaction data and video specific to a selected individual clerk and wherein said steps (d) and (e) are practiced in further part by applying the analysis rules to transaction data recorded by said third recording means to identify selected of said transaction data recorded by said third recording means and by activating said second recording means to record said selected third recording means transaction data and video corresponding thereto. 4. The method claimed in claim 1, wherein said second recording means is of a type wherein recording thereby is time sequential and wherein said method includes a further step, practiced prior to said step (e) of applying said selected transaction data and said video corresponding therewith in a succession obtained by use of another analysis rule. 5. A system for use in evaluating performance of a POS installation including a plurality of individual POS stations each station being clerk operated and providing POS station transaction data, the system comprising: (a) video camera means for generating video indicative of activity at the POS stations; (b) first and second recording means activatable for recording said transaction data and said video; and (c) data processing and control means (1) for activating said first recording means to record said transaction data and said video, (2) for applying rules for analyzing POS transaction data to transaction data recorded by said first recording means to identify selected of said transaction data recorded by said first recording means and (3) activating said second recording means to record said selected transaction data and video corresponding thereto. 6. The system claimed in claim 5 including display means for displaying the transaction data recorded by said second recording means jointly visually with said activity in said video corresponding thereto. 7. The system claimed in claim 5, further including third recording means activatable for recording transaction data and video and wherein said data processing and control means selectively activates said third recording means to record transaction data and video specific to a selected individual clerk and applies the analysis rules to transaction data recorded by said third recording means to identify selected of said transaction data recorded by said third recording means and activates said second recording means to record said selected third recording means transaction data and video corresponding thereto. 8. The method claimed in claim 1, wherein said second recording means is of a type wherein recording thereby is time sequential and wherein said data processing and control means applies said selected transaction data and said video corresponding therewith in a time sequence obtained by use of another analysis rule. 9. In a method for use in evaluating performance of a POS installation including a plurality of individual POS stations each station being clerk operated and providing POS station transaction data, the method comprising the steps of: (a) providing video camera means for generating video indicative of activity at the POS stations; (b) establishing rules for analyzing POS transaction data and applying the analysis rules to transaction data provided by said POS stations to provide selected transaction data; and (c) recording said selected transaction data and video corresponding thereto. 10. A system for use in evaluating performance of a POS installation including a plurality of individual POS stations each station being clerk operated and providing POS station transaction data, the system comprising: (a) video camera means for generating video indicative of activity at the POS stations; and (b) data processing means for applying rules for analyzing POS transaction data to transaction data provided by said POS stations and thereby identifying selected transaction data; and (c) recording means for recording said selected transaction data and video corresponding thereto. 11. In a method for use in evaluating performance of a POS installation including a plurality of individual POS stations each station being clerk operated and providing POS station transaction data, the steps of examining a transaction data list by statistical computation to lessen the content of the list and the lessened content list is prioritized for recording purposes in accordance with the results of the statistical computations providing the lessened list. 12. In combination, in a system for use in evaluating performance of a POS installation including a plurality of individual POS stations each station being clerk operated and providing POS station transaction data, data processing means for examining a transaction data list by statistical computation to lessen the content of the list and recording means for recording lessened content list. 13. The invention claimed in claim 12, wherein said data processing means further prioritizes the data transactions of the lessened content list and said recording means records the prioritized lessened content list. 14. The invention claimed in claim 12, further including video camera means for providing video indicative of activity at said POS stations and wherein said data processing means furnishes said recording means with segments of the video corresponding to transaction data of the lessened content list. 15. The invention claimed in claim 13, further including video camera means for providing video indicative of activity at said POS stations and wherein said data processing means furnishes said recording means with segments of the video corresponding to transaction data of the prioritized lessened content list.

Inventors: GREEN GRAHAM MARTYN, PARKER PHILIP JOHN, ROUGHLEY COLIN, SIMON NICHOLAS GEORGE, GREEN, GRAHAM, MARTYN, PARKER, PHILIP, JOHN, ROUGHLEY, COLIN, SIMON, NICHOLAS, GEORGE
Applicants: SENSORMATIC ELECTRONICS CORP, SENSORMATIC ELECTRONICS CORPORATION
Application year: 1996
Main classification: G06F153
IPC codes: G06Q50, G07G1, G07G3, H04N7