Abstract:
A document processing machine for identifying and authenticating documents having both transparent and opaque regions and routing the documents appropriately is provided. In one embodiment, the document processing machine includes an image capturing device, a light source, a data processing system, and a document control system. The image capturing device captures the image of at least a portion of a document wherein the document comprises transparent and non-transparent regions. The light source emits light toward the image capturing device and is positioned such that the document passes between the light source and the image capturing device. The data processing system is functionally connected to the image capturing device, and obtains the image of the document from the image capturing device, compares the image to a nominal pattern to determine whether the document is authentic, and determines the manner in which the document should be processed based upon whether the document is authentic. The document control system is functionally connected to the data processing system, and receives signals from the data processing system regarding the processing and routing of the document and executes instructions contained in the signals in order to route the document to a proper output bin.

Description:
BACKGROUND OF THE INVENTION  
         [0001]    1. Technical Field  
           [0002]    The present invention relates to document processing systems and, more particularly, to authenticating documents having both transparent and opaque regions.  
           [0003]    2. Description of Related Art  
           [0004]    High-speed currency processing machines are used by a variety of financial institutions to count, sort, and verify the authenticity of currency notes. For example, central banks use high-speed currency processing machines to verify deposits received from member banks. Deposits from a vault are delivered to a currency verification processing rooms, where the currency is fed into the high-speed processing machines. The machines count each note—at an average rate of 70,000 notes per hour—and confirm its denomination, fitness, and authenticity, and then automatically bundle fit notes into packages. The fit notes eventually make their way back into circulation when banks order currency from the central bank  
           [0005]    Incorrect denominations, suspected counterfeits, and non-machine-readable notes are rejected, and, if necessary, the depositing bank&#39;s account is debited or credited. If necessary, a user may inspect suspected counterfeit notes by hand, paying particular attention to the portrait, scroll work, seals, and colored fibers of each bill, as well as to the weight, color, and texture of the paper. In the United States Federal Reserve System, suspected counterfeits are stamped “COUNTERFEIT” and forwarded to the U.S. Secret Service, the Treasury agency charged with maintaining the integrity of the nation&#39;s currency.  
           [0006]    To prevent and thwart counterfeiting of currency, a variety of techniques have evolved, such as, for example, the use of serial numbers, special paper, special inks, imbedded threads, and water marks to inhibit counterfeiters ability to copy authentic notes. For example, for each currency produced, a corresponding paper is manufactured. Banknote paper is typically made from cotton pulp which gives it better durability than commercial papers and a very distinctive feel. Much of the time, it is the initial feel of a counterfeit that urges someone to have a closer look at what they are holding. If bank note paper is held under ultra violet light it is dull compared to commercial papers. Furthermore, and more importantly for currency processing machines, the paper manufacturing process allows for a number of features to be created that may be detected by a currency processing machine.  
           [0007]    The watermark is one of the most obvious security features of a paper banknote. When held up to the light an image can be seen in the paper, usually a portrait similar to that printed on the note. The image of the watermark is caused by different thicknesses of paper, with light areas of the watermark being a result of thinner paper. The highlighted effect of “ultra thin” paper is sometimes used as an added security effect in small specific areas within a watermark, e.g. a denomination may appear as a “highlighted” portion compared to the main bulk of the watermark. A watermark is an excellent security feature because a counterfeiter is very unlikely to manufacture his own paper.  
           [0008]    Currency processing machines have evolved along with the currency to identify the features of a note that identify it as a valid note. For example, optical character recognition (“OCR”) technology has been adapted for use in the currency processing field for lifting the serial code or code from processed notes. OCR technology is used, for example, for identifying specific notes processed by a high speed currency processing machine, such as those machines manufactured and marketed by Currency Systems International of Irving, Tex., by lifting a note&#39;s serial code using a camera device and then recording the serial code to the note processed. Other techniques have been developed to identify and verify watermarks.  
           [0009]    However, paper currency has a serious flaw in that the average lifespan of paper currency is typically a few years at most. To overcome this deficiency, many countries have recently resorted to having currency printed on plastic notes rather than paper notes. Plastic notes, although more expensive to produce than paper notes, have the benefit of lasting up to ten times as long in circulation as a paper note does. This increased durability results in fewer printings thus providing savings in the number of notes issued that appears to more than offset the increased cost of using plastic notes rather than paper notes.  
           [0010]    One other drawback of plastic notes is the inability to use watermarks as a security feature. to overcome this drawback, manufacturers of plastic currency notes have incorporated a transparent window or vignette within the currency note. An example of a currency note of this type is depicted in FIG. 1. Consequently, a need exists for a currency processing machine, system, and method for using this security feature in order to authenticate the currency note.  
         SUMMARY OF INVENTION  
         [0011]    The present invention provides a document processing machine for identifying and authenticating documents having both transparent and opaque regions and routing the documents appropriately. In many typical embodiments, the documents processed are plastic currency notes having a vignette window containing an opaque pattern on a transparent background. In one embodiment, the document processing machine includes an image capturing device, a light source, a data processing system, and a document control system. The image capturing device captures the image of at least a portion of a document wherein the document comprises transparent and non-transparent regions. The light source emits light toward the image capturing device and is positioned such that the document passes between the light source and the image capturing device. The data processing system is functionally connected to the image capturing device, and obtains the image of the document from the image capturing device, compares the image to a nominal pattern to determine whether the document is authentic, and determines the manner in which the document should be processed based upon whether the document is authentic. The document control system is functionally connected to the data processing system, and receives signals from the data processing system regarding the processing and routing of the document and executes instructions contained in the signals in order to route the document to a proper output bin.  
       
    
    
     BRIEF DESCRIPTION OF THE DRAWINGS  
       [0012]    The novel features believed characteristic of the invention are set forth in the appended claims. The invention itself, however, as well as preferred mode of use, further objectives and advantages thereof, will be best understood by reference to the following detailed description of illustrative embodiments when read in conjunction with the accompanying drawings, wherein:  
         [0013]    [0013]FIG. 1 illustrates an exemplary plastic currency note;  
         [0014]    [0014]FIG. 2 depicts a high-speed currency processing machine is depicted in accordance with the present invention;  
         [0015]    [0015]FIG. 3 depicts a pictorial representation of a data processing system in which the present invention may be implemented in accordance with one embodiment of the present invention;  
         [0016]    [0016]FIG. 4 depicts a block diagram of a general purpose data processing system in which the present invention may be implemented;  
         [0017]    [0017]FIG. 5 depicts a schematic diagram illustrating an exemplary hardware configuration for a vignette inspection system in accordance with the present invention; and  
         [0018]    [0018]FIG. 6 depicts a schematic diagram of a software configuration for an exemplary vignette inspection system in accordance with the present invention.  
     
    
     DETAILED DESCRIPTION  
       [0019]    [0019]FIG. 1 illustrates an exemplary plastic currency note  10 . FIG. 1 shows a serial codes  14  located in the upper right hand corner of the note  10 . This code  14  can consist of combinations of numbers and/or letters. Also depicted in FIG. 1 is a vignette window  12 . Vignette window  12  is transparent except for areas of patterning which help authenticate the note  10  and inhibit counterfeiting. Vignette window provides a substitute method of authenticating a note  10  when watermarking is not available. Alternative embodiments of note  10  may be constructed from paper with a plastic or other transparent media vignette window  12  constructed in a hollowed out portion of the paper note.  
         [0020]    With reference now to FIG. 2, a high-speed currency processing machine is depicted in accordance with the present invention. Currency processing machine  200  is used to count and authenticate notes. Stacks of notes are inserted into input cassette  108  from which notes are removed one by one and input into the currency processing machine  200 . The currency processing machine determines the denomination of the note as well as authenticates the note. Fit, authenticated, and counted notes are returned to the appropriate discharge slot cassette  101 - 106 , for example, the discharge slot holding cassette  101 . Unfit or counterfeit notes are returned to an appropriate discharge slot cassette  101 - 106  marked for unfit notes. The cassettes  101 - 106  are sealed and shipped appropriately.  
         [0021]    Currency processing machine  200  also includes a data processing system and data input device  110 . The data processing system receives signals from various monitoring devices within the currency processing machine  200  as well as provide instructions to various other devices within the currency processing machine that provide for routing the notes to the appropriate discharge slot cassettes  101 - 106  as well as accounting for the number and denomination of fit, unfit, and counterfeit notes.  
         [0022]    The data input device  110  may be integral to the currency processing system  200  as depicted in FIG. 2, or it may be incorporated in a separate PC that is wired to electrical components within the currency processing machine. A data processing system, whether incorporated within the currency processing machine or embodied as a PC or other external computer coupled to the currency processing machine, implements software instructions which receive input from various data gathering devices within the currency processing machine. The input received from the currency processing machine allow the data processing system to determine the denomination and fitness of a note as well as whether the note is authentic or counterfeit. The data processing system then sends control instructions to various components within the currency processing machine to ensure that the note is routed to the proper output bin  101 - 106 .  
         [0023]    Referring now to FIG. 3, a pictorial representation of a data processing system in which the present invention may be implemented is depicted in accordance with one embodiment of the present invention. A computer  300  is depicted which includes system unit  302 , video display terminal  304 , keyboard  306 , storage devices  308 , which may include floppy drives and other types of permanent and removable storage media, and mouse  310 . Additional input devices may be included with personal computer  300 , such as, for example, a joystick, touchpad, touch screen, trackball, microphone, and the like. Computer  300  can be implemented using any suitable computer, such as an IBM eServer computer or IntelliStation computer, which are products of International Business Machines Corporation, located in Armonk, N.Y. Although the depicted representation shows a computer, other embodiments of the present invention may be implemented in other types of data processing systems, such as a network computer. Computer  300  also preferably includes a graphical user interface (GUI) that may be implemented by means of systems software residing in computer readable media in operation within computer  300 .  
         [0024]    With reference now to FIG. 4, a block diagram of a general purpose data processing system is shown in which the present invention may be implemented. Data processing system  400  is an example of a computer, such as computer  300  in FIG. 3, in which code or instructions implementing the processes of the present invention may be located. Data processing system  400  employs a peripheral component interconnect (PCI) local bus architecture. Although the depicted example employs a PCI bus, other bus architectures such as Accelerated Graphics Port (AGP) and Industry Standard Architecture (ISA) may be used. Processor  402  and main memory  404  are connected to PCI local bus  406  through PCI bridge  408 . PCI bridge  408  also may include an integrated memory controller and cache memory for processor  402 . Additional connections to PCI local bus  406  may be made through direct component interconnection or through add-in boards. In the depicted example, local area network (LAN) adapter  410 , small computer system interface SCSI host bus adapter  412 , and expansion bus interface  414  are connected to PCI local bus  406  by direct component connection. In contrast, audio adapter  416 , graphics adapter  418 , and audio/video adapter  419  are connected to PCI local bus  406  by add-in boards inserted into expansion slots. Expansion bus interface  414  provides a connection for a keyboard and mouse adapter  420 , modem  422 , and additional memory  424 . SCSI host bus adapter  412  provides a connection for hard disk drive  426 , tape drive  428 , and CD-ROM drive  430 . Typical PCI local bus implementations will support three or four PCI expansion slots or add-in connectors.  
         [0025]    An operating system runs on processor  402  and is used to coordinate and provide control of various components within data processing system  400  in FIG. 4. The operating system may be a commercially available operating system such as Windows XP or Windows 2000, which are available from Microsoft Corporation of Redmond, Wash. An object oriented programming system such as Java may run in conjunction with the operating system and provides calls to the operating system from Java programs or applications executing on data processing system  400 . “Java” is a trademark of Sun Microsystems, Inc of Santa Clara, Calif. Instructions for the operating system, the object-oriented programming system, and applications or programs are located on storage devices, such as hard disk drive  426 , and may be loaded into main memory  404  for execution by processor  402 .  
         [0026]    Those of ordinary skill in the art will appreciate that the hardware in FIG. 4 may vary depending on the implementation. Other internal hardware or peripheral devices, such as flash read-only memory (ROM), equivalent nonvolatile memory, or optical disk drives and the like, may be used in addition to or in place of the hardware depicted in FIG. 4. Also, the processes of the present invention may be applied to a multiprocessor data processing system.  
         [0027]    The depicted example in FIG. 4 and above-described examples are not meant to imply architectural limitations. For example, data processing system  400  may be implemented as a notebook computer, hand held computer, a kiosk, or a Web appliance. Typically data processing system  400  is not implemented in such embodiments as in the preceding list due to the fact that such embodiments typically lack the necessary processing power to process instructions sufficiently quickly to maintain high speed operation of the currency processing machine. However, nothing inherently prohibits such use and as processing power of computers continues to increase, it is possible that future versions of currency processing machines may make use of such embodiments as necessary or desired.  
         [0028]    The processes of the present invention are performed by processor  402  using computer implemented instructions, which may be located in a memory such as, for example, main memory  404 , memory  424 , or in one or more peripheral devices  426 - 430 .  
         [0029]    Turning now to FIG. 5, a schematic diagram illustrating an exemplary hardware configuration for a vignette inspection system is depicted in accordance with the present invention. In this embodiment, a host PC  502 , which may be implemented as data processing system  400 , is coupled to a camera  522  through camera interface  512 . In this example, only the components of Host PC  502  that are needed to understand the processes of the present invention are depicted. Therefore, many components depicted in FIG. 3 are omitted for ease of explanation and understanding. As depicted in FIG. 3, the various components  504 ,  506 ,  508 ,  510 , and  512  of host PC  502  are coupled to one another via a PCI bus  504 . The camera  522  is positioned opposite a light source  520  such that as a note  550  is passed through the currency processing machine  200 , it passes between the light source  520  and the camera  522 . As the note  550  passes the camera  522 , the camera  522  captures images of the vignette window of note  550 . Light from light source  520  passes through the note  550  in transparent areas of the vignette window and is blocked by opaque areas of the note  550  and vignette window. Thus, the image captured by camera  522  represents areas of light and dark matching the pattern on the vignette window.  
         [0030]    The digitized image is transmitted from the camera  522  to the camera interface  512  of host PC  502 . Processor boards  508  and  510  are optional additional processors that provide additional processing power if desired by the user. If needed, the captured images can be made available to processor boards  508  and  510  as well as to host processor  506 . The captured image received by camera interface  512  is compared, by the host processor  506 , to a nominal pattern to determine whether the note is authentic. Defects in the captured image represent non-transparent regions that are not part of the nominal pattern or transparent regions where the nominal pattern is not transparent. Notes whose captured image vary from the nominal pattern by less than a specified error limit are passed as authentic notes. All other notes are identified as being counterfeit or otherwise non-authentic.  
         [0031]    Once the host PC  502  determines whether the note  550  is authentic, a commands/results signal  536  is sent to the machine control subsystem  514  instructing the machine control subsystem  514  as to how to route the note  550  so that the note  550  is placed in the proper output discharge slot cassette  101 - 106 . The DocID  534  and the Trigger  532  signals are provided to the host PC  502  by the machine control system  514 . The trigger signal  532  initiates the acquisition of each image and is asserted when a document  550  leading edge is about to reach the camera  522 . The Doc ID  534  is a numeric value and is asserted at the same time as the trigger signal  532 . The Doc ID  534  is used as an identifier for the document  550 . When the processed results from the host PC  502  are returned to the machine control system  514 , the Doc ID  534  is included so the control system can associate a given result message with a specific document  550 .  
         [0032]    A buffer spacing distance between the camera  522  and light source  52 . 0  location of the currency processing machine  200  and the location of the devices (not shown) for routing the note  550  is required in order to allow the host PC  502  sufficient time to determine the identity and authenticity of the note  550  and instruct the machine control susbsystem  514  accordingly. The devices for routing the note  550  are located downstream in the direction of note movement through the currency processing machine from the location of the camera  522  and light source  520 . This buffer spacing distance varies from embodiment to embodiment depending on such factors as the speed at which the notes are run through the currency processing machine  200  and the speed at which the host PC  502  and related electronics can process the information as to the identity and authenticity of the note  550 .  
         [0033]    Turning now to FIG. 6, a schematic diagram of a software configuration for an exemplary vignette inspection system is depicted in accordance with the present invention. Software system  600  includes an operating system  602 , such as, for example, Windows 2000, running on a data processing system such as, for example, data processing system  400  in FIG. 4. The vignette inspection system software  604  runs on top of the operating system  602  includes kernel mode driver and services  606  for interfacing with the image acquisition system. Images received from the image acquisition system are stored for a limited time in an image buffer  608 . A user may recall an image from the image buffer for display if desired in order to check the accuracy of the system or to make a determination of authenticity of a note when the system is unable to determine whether a note is authentic. Each note passed through the currency processing system is assigned a document ID which is also associated with the captured image of the note.  
         [0034]    In order to maximize efficiency, several threads  610 ,  612 ,  614 , and  616  are maintained when the vignette inspection system software  604  is operating. The setup control thread  610  allows for a user to interact with the software  604 . The acquisition thread  612  controls the capture of each image and its transfer to a memory buffer  608  for processing. Once an image has been captured, the acquisition thread  612  signals the processing thread  614  to process the image. The processing thread  614  then locates and inspects the vignette feature, generates a result message and signals the serial thread  616  to transmit the message to the machine control subsystem  514 . An important point in this embodiment is that the Vignette Inspection System (i.e., host PC  502 ) does not make any decision about where or how to sort a given note, it simply reports what it found out about the note. The sorting decision is made by processing logic within the machine control subsystem  514 .  
         [0035]    It is important to note that while the present invention has been described in the context of a fully functioning data processing system, those of ordinary skill in the art will appreciate that the processes of the present invention are capable of being distributed in the form of a computer readable medium of instructions and a variety of forms and that the present invention applies equally regardless of the particular type of signal bearing media actually used to carry out the distribution. Examples of computer readable media include recordable-type media such a floppy disc, a hard disk drive, a RAM, and CD-ROMs and transmission-type media such as digital and analog communications links.  
         [0036]    The description of the present invention has been presented for purposes of illustration and description, but is not intended to be exhaustive or limited to the invention in the form disclosed. Many modifications and variations will be apparent to those of ordinary skill in the art. The embodiment was chosen and described in order to best explain the principles of the invention, the practical application, and to enable others of ordinary skill in the art to understand the invention for various embodiments with various modifications as are suited to the particular use contemplated.