Patent Publication Number: US-2006020803-A1

Title: Systems and methods for authentication of items or documents

Description:
CROSS REFERENCE TO RELATED APPLICATIONS  
      This application claims the benefit of the filing date of U.S. provisional application No. 60/585,612 filed Jul. 6, 2004 and entitled “Systems and Methods for Authentication of Documents”. 
    
    
     FIELD OF THE INVENTION  
      The invention pertains to systems and methods usable to authenticate documents. More particularly, the invention pertains to systems and methods which can be used to make documents self-authenticating.  
     BACKGROUND OF THE INVENTION  
      Numerous types of documents are targets of attempted duplication and/or modification. Currency counterfeiters present well known and long term problems in this regard. Other types of documents such as identification documents, product designation documents, documents of value such as airline tickets, transit tickets, packaging and the like are all potential targets of improper modification. Packaging can include shipping labels, model plates, government required compliance labeling, care instructions on a label or hang tag, all without limitation.  
      A variety of techniques are known to try to minimize the likelihood of successful counterfeiting or modification. However, while known techniques may be useful and effective in certain circumstances, none of them are known to be full proof.  
      There continues to be an ongoing need for systems and methods of securing documents of various types. Preferably, such systems and methods could be used cost effectively with a wide variety of documents and would not be limited to documents of high intrinsic value. Also preferably, such systems and methods can be configured so as to provide multiple levels of security encompassing both the authenticity of the document as well as the authenticity of the information carried on a particular document.  
     SUMMARY OF THE INVENTION  
      A method of providing an authenticable item or document includes obtaining variable information for the item or document. A physical characteristics of an item can be sensed. A physical characteristic of a blank for the document can be sensed. At least some of the variable information is combined with a representation of at least a portion of the scanned physical characteristic to form an authentication element. The authentication element and at least part of the variable information are incorporated into the item or the blank to at least partly form the document. 
    
    
     BRIEF DESCRIPTION OF THE DRAWINGS  
       FIG. 1  is a block diagram of a printer in accordance with the invention;  
       FIG. 1A  is a representative document in accordance with the invention;  
       FIG. 2  is a block diagram of a reader in accordance with the present invention;  
       FIG. 3  is a method of securing a document in accordance with the invention;  
       FIG. 4  is a method of evaluating authenticity of a document in accordance with the invention;  
       FIG. 5  is yet another method in accordance with the invention. 
    
    
     DETAILED DESCRIPTION OF THE EMBODIMENTS  
      While embodiments of this invention can take many different forms, specific embodiments thereof are shown in the drawings and will be described herein in detail with the understanding that the present disclosure is to be considered as an exemplification of the principles of the invention and is not intended to limit the invention to the specific embodiment illustrated.  
      Systems and methods in accordance with the invention can be used to implement brand protection programs. Such programs seek to counteract product counterfeiting as well as product diversion. Alternately, systems and methods in accordance with the invention can be used to implement multi-level medium, item, or, document and information authentication programs.  
      In one embodiment, an output device can incorporate a sensor or scanner of a physical characteristic of an item or a document such as a magnetic characteristic, a translucent characteristic, a fluorescent characteristic, a reflective characteristic, or an RF activated characteristic all without limitation. Sensing or scanning the physical characteristic produces a unique, item or document specific, signature that is unaltered by normal use of the respective item or document.  
      The output device can also, optionally incorporate a scanner of images or information which are either carried in some fashion on an item or a document or can be obtained from another source. The output device can include circuitry, including for example, a programmable processor, to combine the item or document characteristic information, the item or document signature, with selected variable information associated with the item or document to produce an authentication key. Processing can include hashing, encryption or encoding all without limitation. In a disclosed embodiment, the output device can include a printer to apply the key to the item or document.  
      The authentication key along with additional information can be applied to or printed on the item or document using any convenient technology such as thermal, optical or ink-based methodologies. Graphics can be combined with the authentication key and other information on the item or document. Alternately, a radio frequency responsive identification (RFID) tag can be embedded into the item or document. The signature can be encoded into the RFID tag for later retrieval.  
      In another aspect of the invention, the authenticity of an item or document can be evaluated. The document characteristic or signature of a given item or document can be read or sensed. Information carried on the document including a previously applied authentication key can be read or sensed. The information from the document can be combined with the respective signature information to provide a current authentication key.  
      The authentication key read from the item or document can be compared to the current authentication key. Where the two keys are substantially identical, the item or document can be regarded as authentic.  
      In yet another aspect of the invention, an authentic document can be processed further by reading or sensing the variable information carried by the document as well as the authentication key. Some or all of that information can be compared to information retrieved from a secure database to establish that the authentication information, and/or the variable information has been properly associated with the documents.  
      In another embodiment, a reader which embodies the invention, can incorporate control circuitry coupled to a document signature or characteristic scanner as well as a document information or image scanner. A document can be authenticated by exposing it to the scanners in the reader. The reader in turn processes the information obtained from the document to produce a current authentication key.  
      The current authentication key can be compared to an authentication key previously applied to or stored on the document. The authentication key can incorporate not only the document signature, but also at least some of the variable information carried by the document, all without limitation.  
      Document signature sensors or readers can be magnetic or optical without limitation. Sensors of other types of information could also be magnetic or optical.  
      In a brand protection embodiment of the invention, systems and methods can be provided for use with various types of security media, such as security paper for currency, bank note paper or other uses. In this embodiment, a designator for a product such as discrete sheets, or, a roll of the medium can be entered and a signature for label stock read and combined (by encoding, encrypting, hashing) with the roll designator so as to produce a label based authentication key. The key can be recorded on the label which in turn can be attached to the medium for subsequent authentication and tracking.  
      The label carried on the medium can be subsequently scanned at various points in the supply chain. The signature of the label can be sensed as well as other information thereon concerning the medium that carries the label. The label&#39;s signature and the other information thereon can be encoded, hashed or encrypted as required, all without limitation, to establish a current authentication key. This key can be compared to an authentication key carried on the label. Where the authentication key carried on the label is substantially identical to the current authentication key, a conclusion can be drawn that the medium is authentic.  
      A method in accordance with the invention includes reading or sensing a physical characteristic of an item or document, producing a signature, combining the signature with other information specific to the document to produce an authentication key. The authentication key as well as the item or document specific information can be printed on or permanently affixed to the document.  
      An authentication method includes sensing the signature of the item or document as well as other information carried by the item or document and combining same to form a current authentication key. The current authentication key can be compared to an authentication key carried on the item or document. An authentic item or document can be expected to exhibit an authentication key which is substantially identical to the current authentication key. The other information carried on an authentic item or document can be subsequently compared to data from a secure database to confirm that not only is the item or document itself authentic, but that it has been properly issued.  
       FIG. 1  illustrates a printer  10  in accordance with the present invention. The printer  10  incorporates control circuitry, which might include a programmable processor  12 , coupled to storage  14  which might incorporate programmable read-only memory, such as flash memory  14   a  for substantially permanent storage of control programs as well as read/write memory  14   b  for data storage.  
      The control circuitry  12  receives signals from a document characteristic sensor  18 . The sensor  18  could sense magnetic, optical or RFID tags. It can also receive signals from a document image or information sensor  20 , which could be magnetic, optical or RF.  
      The control circuits  12  are additionally coupled to a print head  24  for applying or printing, information to or on a subject document. The print head  24  can be implemented with a variety of technologies including, optical, thermal or mechanical printing, all without limitation. In addition, as an alternate, any type of transducer which could in some way couple information to an item or document could be used, for example, signals could be used to write to an RFID-type tag.  
      Control circuitry  12  is also coupled to document feed/supply mechanism  30  which can be configured to supply labels, cards, sheets, tickets, tags or the like, all without limitation to receive information from print head  24 . Control circuitry  12  can also be coupled to a keyboard/display element  32  which can be used for bi-directional communication with an operator. Additionally, control circuitry  12  can be in bi-directional communication with remote processors or systems via interface circuitry  36  and one or more computer networks  40 .  
      Printer  10  can be used to associate authentication information with a document D 1  from the document feed/supply element  30 . It will be understood that the exact nature and characteristics of the document D 1  are not limitations of the present invention. Nor, are the characteristics or structure of the document feed/supply element  30  limitations of the present invention.  
       FIG. 1A  illustrates an exemplary document D 1 - 1  which could be prepared using printer  10 . Document D 1 - 1  has a planar base member  44  which might be fed via supply element  30 . Base number  44  carries a unique signature providing characteristic in region  46 - 1 .  
      While visible for exemplary purposes in  FIG. 1A , the characteristic in region  46 - 1  could be invisible. It could be formed as an optical element, for example a bar coded but invisibly printed signature. It could be formed as an embedded magnetic thread(s) or a deposited magnetic layer without limitation. Other types of characteristics could be used without limitation including RFID-type tags.  
      Region  46 - 2  carries a machine readable 2 dimensional bar code. The bar coded information includes an authentication key applied by printer  10 . It might also include bar coded versions of other information  46 - 3  printed on base member  44  in human readable form by printer  10 .  
      The other information  46 - 3  can be supplied to printer  10  via network  40  and circuits  36 . Alternately, it can be supplied from another document (using sesnor  20 ). A representation of a photograph  46 - 4  (applied by printer  10 ) can also be included in region  46 - 2  and used as described subsequently for authentication.  
      As discussed in more detail subsequently, control circuits  12  in combination with the control program prestored in memory  14   a  can sense both an inherent characteristic of document D 1 , the document&#39;s signature, using sensor  18  as well as variable information associated or to be associated with document D 1  via sensor  20 . It will be understood that the source of the variable information to be associated with document D 1  could include document D 1  itself, other documents, local or displaced databases, or a local input device such as a keyboard  32  all without limitation.  
      The control program and circuits  12  can in turn combine the document characteristic or signature with variable information to produce an authentication key to be applied to document D 1 , via print head  24 , in combination with other variable information to be associated with document D 1 . The way in which the document signature is combined with other information to be associated with or placed on the respective document is not a limitation of the invention. For example, a checksum can be created for use as a key. Other types of encoding, encryption or hashing can be used without limitation.  
       FIG. 2  is a block diagram of a reader  50  which can be used to determine the authenticity of documents such as the document D 1  or D 1 - 1 . The reader  50  can include control circuitry  52 , which could include a programmable processor and one or more storage elements indicated generally at  54 . The storage elements  54  can include program storage such as programmable read-only memory  54   a  as well as read/write memory for data storage  54   b . Those of skill in the art will understand that the type of storage elements  14   a ,  14   b ,  54   a ,  54   b  are not limitations of the present invention.  
      The reader  50  can also include a magnetic, optical or RF-type data sensor  58  as well as a magnetic, optical, or RF-type document characteristic sensor  60 . The reader  50  can also include a keyboard/display element  62  in order to provide bi-directional communication between control circuits  52  and a user. The element  62  could be implemented as a simple switch combination and binary output such as a visual or audible output device if desired. Additionally, the reader  50  can incorporate interface circuits  66  so as to place the reader  50  in the bi-directional communication via one or more computer networks  40 - 1  with displaced processors or systems, as desired.  
      The reader  50  can be used to authenticate a document such as document D 2  (or D 1 - 1 ) by sensing a document characteristic, using sensor  60 , as well as sensing information carried on document D 2  via sensor  58 . Control circuitry  52  in combination with the prestored control program can process the sensed information to form a current authentication key.  
      The current authentication key formed by control circuitry  52  can be compared to an authentication key precorded on document D 2 , or such as in region  46 - 2  of document D 1 - 1 . Substantial identity between the two keys leads to a conclusion that document D 2 , or D 1 - 1 , is authentic.  
      Subsequently, control circuitry  52  can transmit sensed information to or receive additional information from one or more remote databases, via network  40 - 1  and interface circuitry  66  to determine that document D 2  has been either properly issued or not modified. For example, had document D 2  been stolen and improperly processed to form a counterfeit, it might appear to be an authentic document until information from a remote database was examined. Such information could confirm, for example, that document D 1 - 1  had never been properly issued. Alternately, document D 1 - 1  could have been modified to carry a different photograph, and be otherwise authentic. In this instance, the modified photograph could be detected using information from a remote database indicative of the original photograph.  
       FIG. 3  illustrates an exemplary method  90  in accordance with the invention. In a step  100  a blank is provided. In a step  102  information for a document is obtained. The information could be already present on the document or it could be obtained elsewhere, for example from a database. The information  102  is variable information which is application or document-type dependent.  
      In a step  104  a physical characteristic, the document signature, is read or sensed off the document. In a step  106  the variable information, at least in part, is combined by encoding, encryption, hashing or the like with the document signature to form an authentication key. In a step  108  the authentication key is written to the document. In step  110  other information and/or graphics can be written to the document. The document can then be issued, step  112 .  
       FIG. 4  illustrates an exemplary authentication process  140  in accordance with the invention. In an initial step  142 , pre-stored information (region  46 - 2 ) is sensed or read off of a subject document. In a step  144  the document signature (region  46 - 1 ) is read from the document.  
      In a step  146  a previously created authentication key is obtained either directly from the document, (pre-stored information region  46 - 2 ) or from previously read document information step  142 . In a step  148  selected document information is combined with the document signature information to create a current key. In a step  150 , the current key is compared to the previously created authentication key.  
      Where the current key is substantially identical to the authentication key, the document can be regarded as authentic. Level 1 functions can be enabled at this time, step  152 .  
      Where an additional level of authentication is required or desired, master information can be obtained from a secure source, such as a remote database as in step  154 . In a step  156  some or all of the other document information can be compared to the master information. Where the document information is substantially identical to the master information, a conclusion can be drawn that the proper information is present on an authenticated document. In this instance, functions associated with a second level of authentication can be enabled, step  160 . It will be understood that variations of methods  100  or  140  come within the spirit and scope of the invention.  
       FIG. 5  illustrates an exemplary method  200  in accordance with the invention. In the method of  FIG. 5 , a printer  10 ′ comparable to the printer  10  of  FIG. 1 , is used to provide authenticatable labels for master rolls of security paper, such as the representative roll R. The method  200  could be used, for example as part of a Product, or Brand Protection program. The method  200 , or variations thereof could be used in connection with creating labels for other types of products, tickets, bank notes, or other documents of value without limitation.  
      In the method  200 , an operator O, in a secure area A, using a bar code scanner  20 ′ scans an existing bar code label L on the master roll R. The bar coded information is in turn coupled to a printer  10 ′.  
      The printer  10 ′ prepares a secure, authenticatable label L- 1  (from roll L- 2 ) which can be affixed to the roll R for the purpose of tracking the roll R through the supply chain and to authenticate roll R at any point within the supply chain. It will be understood that the security paper of the roll R could be, for example, bank notes or thermal transfer paper without limitation. Instead of rolls, discrete sheets could be used.  
      The label blanks of roll L- 2  each include a unique magnetic signature region. In the exemplary process  200 , the magnetic security region, for each blank, is formed of embedded magnetic thread(s). Deposited optical or magnetic material, optical or RF-type document characteristics could also be used.  
      The printer  10 ′ incorporates a reader  18 ′ of magnetic threads embedded in the label stock indicated generally at L- 2  and carried on a roll within the printer  10 ′. The printer  10 ′ combines a document signature for a label L- 1  read by reader  18 ′ with bar code information L read off of roll R to produce an authentication key which can be printed on the L- 1  along with the bar code L and other variable information pertaining to the application.  
      The printer  10 ′ can couple information concerning label L- 1  via a local area network to a processor  10 - 1  which is coupled to a local server  10 - 2  out of the secured area A. The server  10 - 2  can be in communication, via a computer network such as an internet or intranet  10 - 3  which is also outside of the secure area A, with a remote secure server  10 - 4 . Relevant information can be decrypted and stored at server  10 - 4 .  
      The printed label L- 1  containing the authentication key can be affixed to the master roll R for tracking and for authenticating the roll R subsequently downstream in the supply chain. It will be understood that the server  10 - 4  could be in communication subsequently with a recipient of the roll R. That recipient can use the previously discussed reader  50  for purposes of authenticating the label L- 1 .  
      It will be understood that processor  10 - 1  could encrypt information received from printer  10 ′ prior to forwarding same to server  10 - 2  (insuring that any information transmitted from secure area A is previously encoded or encrypted). This configuration has the advantage that server  10 - 2  need not be a secure server since it is only providing communication capabilities to displaced secure server  10 - 4 .  
      Those of skill will understand that details of the communications between printer  10 ′ and secure server  10 - 4  are not limitations of the present invention. Nor, are any encoding, encryption or hashing techniques used to protect the information transmitted from printer  10 ′, limitations of the present invention.  
      From the foregoing, it will be observed that numerous variations and modifications may be effected without departing from the spirit and scope of the invention. It is to be understood that no limitation with respect to the specific apparatus illustrated herein is intended or should be inferred. It is, of course, intended to cover by the appended claims all such modifications as fall within the scope of the claims.