US20100017851A1 - System and process for registering and later confirming a written or printed document is genuine and unaltered, while mitigating the risk of its loss - Google Patents

Abstract

A method for authenticating a document including: radio frequency scanning at least a portion of the document; optically scanning the document; generating a document data dependently upon the radio frequency scanning and optical scanning; comparing the generated data to stored data, the stored data being previously generated dependently upon a prior radio frequency scanning of the portion of the document and prior optical scanning of the document; and providing an output indicative of the document being authentic if the generated data is sufficiently identical to the stored data as determined by the comparing.

Description

FIELD OF THE INVENTION
• This invention relates to the field of document management.
BACKGROUND OF THE INVENTION
• Certain written or printed documents (hereinafter referred to as “documents”) are important and/or valuable. It may be desirable in certain circumstances to independently confirm that such a document is genuine, and not fraudulent. It may also be desirable in certain circumstances to confirm that such a document has not be altered in an unauthorized manner.
• Embodiments of the invention provide for document authentication that confirms that a document is genuine. Embodiments of the invention provide for document authentication that confirms that a written or printed document is genuine, and has not be altered in an unauthorized manner. Embodiments of the invention provide for document authentication that not only confirms that a written or printed document is genuine, and has not be altered in an unauthorized manner, but also mitigates the risk of losing the document, such as by fire or theft.
SUMMARY OF THE PREFERRED EMBODIMENTS
• A method for authenticating a document including: radio frequency scanning at least a portion of the document; optically scanning the document; generating a document data dependently upon the radio frequency scanning and optical scanning; comparing the generated data to stored data, the stored data being previously generated dependently upon a prior radio frequency scanning of the portion of the document and prior optical scanning of the document; and providing an output indicative of the document being authentic if the generated data is sufficiently identical to the stored data as determined by the comparing.
BRIEF DESCRIPTION OF THE DRAWINGS
• Understanding of the present invention will be facilitated by consideration of the following detailed description of the preferred embodiments of the present invention taken in conjunction with the accompanying drawings, in which like numerals refer to like parts:
• FIG. 1 illustrates a plan view of a substrate according to an embodiment of the present invention;
• FIG. 2 illustrates a block-diagram view of a system according to an embodiment of the present invention;
• FIG. 3 illustrates a plan view of a substrate and scan track according to an embodiment of the present invention;
• FIG. 4 illustrates a plan view of a substrate and multiple scan tracks according to an embodiment of the present invention;
• FIG. 5 illustrates a diagram of an RF signature of resonators positioned within a scan track in accordance with an embodiment of the present invention;
• FIG. 6 illustrates a block diagram view of a system according to an embodiment of the present invention;
• FIG. 7 illustrates a block diagram of a process for enrolling a document to be authenticated according to an embodiment of the present invention;
• FIG. 8 illustrates a block diagram of a process for authenticating an enrolled document according to an embodiment of the present invention;
• FIG. 9 illustrates a plan view of an enrolled document according to an embodiment of the present invention.
DETAILED DESCRIPTION OF THE PREFERRED EMBODIMENTS
• It is to be understood that the figures and descriptions of embodiments of the present invention have been simplified to illustrate elements that are relevant for a clear understanding of the present invention, while eliminating, for the purpose of clarity, many other elements found in typical document processing systems and methods. Those of ordinary skill in the art may recognize that other elements and/or steps are desirable and/or required in implementing the present invention. However, because such elements and steps are well known in the art, and because they do not facilitate a better understanding of the present invention, a discussion of such elements and steps is not provided herein.
• Referring now toFIG. 1, there is shown a plan view of asubstrate1 according to an embodiment of the present invention.Substrate1 may be suitable for being written or printed on using conventional marking technology, such as ink or toner.Substrate1 may be akin to a conventional sheet of paper. In the illustrated embodiment,substrate1 incorporates a plurality ofpassive resonators5a,5b, . . .5n. In the illustrated embodiment, resonators5a-nare randomly disposed. In the illustrated embodiment,resonators1a-nare depicted as line segments each indicative of a thin dipole antenna or dipole, such as an elongated metal or metalized article. Such a dipole is resonant at an interrogating frequency at which the dipole is ½ wavelength in length. A wide variety of lengths may be used depending on the resonant frequency desired and the nature of the reader. In a particularly preferred embodiment,resonant articles1a-nare formed of thin dipoles having a thickness from about 100 angstroms to 2 millimeters, and a length of about 0.5 millimeters. The density of diploes5a-nmay be on the order of about 2 to 5 dipoles per square cm of surface area. Metalized glass fibers may also be used as the thin dipoles; such fibers may be on the order of 0.001 inches in diameter.Substrate1 can be manufactured in any suitable manner, including that discussed in U.S. Pat. No. 6,471,878 issued to the inventor hereof, and entitled METHOD FOR FORMING A RADIO FREQUENCY RESPONSIVE TARGET AND APPARATUS FOR VERIFYING THE AUTHENTICITY OF THE SAME, the entire disclosure of which patent is hereby incorporated by reference as if being set forth in its entirety herein.
• Referring now also toFIG. 2, there is shown a block-diagram view of asystem10 according to an embodiment of the present invention. In the illustrated embodiment, resonators5a-nare responsive to radio frequency (RF)transmitter20, which impinges them with an interrogatingRF signal26. AnRF receiver30 detects the resonators'5a-nresponse36 to interrogatingsignal26. In the illustrated embodiment,transmitter20 includes asignal generator22 coupled to anantenna24 for generating radiofrequency interrogating signals26 in a desired target field.Receiver30 receives radiofrequency response signals36 atantenna34 coupled tosignal processor32.Signal processor32 produces anoutput38 indicative of the resonators5a-n, and hence thesubstrate1, within the target field in response tosignals36 received byantenna34. In the illustrated embodiment,output38 is supplied to aninformation processing system39. In certain embodiments of the present invention,transmitter20 andreceiver30 may be physically associated in a single transceiver unit, and the functions ofantennas24 and34 may be performed by a single antenna.System10 may be designed to detect radio frequency responses in the near field of the antenna(e), in the far field of the antenna(e), or both.
• In the illustrated embodiment,information processing system39 includes a computing device, e.g., a computer. “Computer”, as referred to herein, refers to a general purpose computing device that includes a processor. “Processor”, as used herein, refers generally to a device including a Central Processing Unit (CPU), such as a microprocessor. A CPU generally includes an arithmetic logic unit (ALU), which performs arithmetic and logical operations, and a control unit, which extracts instructions (e.g., code) from memory and decodes and executes them, calling on the ALU when necessary. “Memory”, as used herein, refers to one or more devices capable of storing data, such as in the form of chips, tapes, disks or drives. Memory may take the form of one or more random-access memory (RAM), read-only memory (ROM), programmable read-only memory (PROM), erasable programmable read-only memory (EPROM), or electrically erasable programmable read-only memory (EEPROM) chips, by way of further non-limiting example only. Memory may be internal or external to an integrated unit including a processor. Memory may be internal or external to the computer. Such memory may typically store a computer program, e.g., code or sequence of instructions being operable by the processor.
• It should be appreciated that when a substrate not incorporating responders5a-nis interrogated withsystem10,output38 will not be indicative of any particular substrate. However, when asubstrate1 incorporating responders5a-nis interrogated withsystem10,output38 will be indicative of the existence and positioning of responders5a-n, and hencesubstrate1.
• More particularly,transmitter20 andreceiver30 may be positioned to interrogate a predetermined portion ofsubstrate1. Referring now also toFIG. 3, there is shown a plan view ofsubstrate1 according to an embodiment of the present invention. Also shown inFIG. 3 is ascan track100. According to an embodiment of the present invention,transmitter20 andreceiver30 may be positioned to interrogatescan track100 ofsubstrate1 in a temporal fashion, e.g.,transmitter20 andreceiver30 may temporally scan along, e.g., be laterally displaced along,track100. For example,substrate1 may be laterally displaced over time relative totransmitter20 andreceiver30, ortransmitter20 andreceiver30 may be laterally displaced over time relative tosubstrate1.
• Referring now also toFIG. 4, there is shown a plan view of anothersubstrate1 according to an embodiment of the present invention. Also shown inFIG. 4 arescan tracks100a-100n(two in the illustrated embodiment). According to an embodiment of the present invention,transmitter20 andreceiver30 may be positioned to interrogatescan tracks100a-100nofsubstrate1 in a temporal fashion, either in serial or parallel. Certain embodiments of the present invention may use multiple scan tracks for more certain performance. Again,substrate1 may be laterally displaced over time relative totransmitter20 andreceiver30, ortransmitter20 andreceiver30 may be laterally displaced over time relative tosubstrate1.
• Referring still toFIGS. 3 and 4,substrates1 identified therein also include a printedreference identifier110. In certain embodiments of the present invention, such an identifier may be uniquely associated with the particular substrate it is printed upon. In certain embodiments of the invention, such an identifier may be associated with a finite group of substrates, such as those in a particular package or provided to a particular user, for example.
• Referring now also toFIG. 5, there is shown a diagram illustrating anRF signature200 that may be sensed byreceiver30 by illuminating resonators positioned withinscan track100 or100a-nwith an interrogating RF signal using thetransmitter20, in accordance with an embodiment of the present invention. The horizontal axis ofFIG. 5 corresponds to the position along ascan track100,100a-nbeing read, and the vertical axis is the received signal amplitude.Waveform200 illustrates a received signal amplitude, whilewaveform210 illustrates aclocking signal210, which may be stored in a magnetic stripe or stored as optical markings upon a substrate for correlating the position of the substrate with the received RF signal. Alternatively, clockingsignal210 may be provided by or toreceiver30 independently ofsubstrate1, and correlated with the lateral transposition oftransmitter20 andreceiver30 relative tosubstrate1. For example, clockingsignal210 may be correlated with movement ofsubstrate1past transmitter20 andreceiver30, such as by using a stepper motor to movesubstrate1, or a sensor to detect the relative movement there-between. Conventional approaches utilized with digital document scanners may be used, for example.
• When dipoles are randomly distributed alongscan track100,100a-n, the response created thereby results in an RF amplitude versus position waveform, as illustrated bywaveform200 ofFIG. 5. The amplitude versus position characteristics of this waveform may be used to uniquely, or at least substantially uniquely, identify or serialize a scannedsubstrate1.
• For example,RF waveform200 may be converted to a digital code word.RF waveform200 may be digitized (or sampled) to form a digitized RF response signal, and the digitized RF response signal may be normalized to produce a normalized digitized RF response signal, which may then be converted to a code word. The digitized RF response signal may be converted to a code word using the methodology discussed in the above-incorporated U.S. Pat. No. 6,471,878, for example. Such a code word may be considered to be at least substantially uniquely associated with theparticular substrate1 scanned to generate/recover it.
• According to an embodiment of the present invention, one or more tables or databases may be stored so as to be accessible by computer39 (FIG. 2). For example, such a database may be stored in memory either local (e.g., internal or external) or remote tocomputer39. Such a database may store codewords and information associated with the codewords. In certain embodiments of the invention, the codewords may be used as an address or an index to a lookup table which stores information associated with the corresponding codeword. In certain embodiments of the invention, the reference identifiers may be used as an address or an index to a lookup table which stores information associated with the corresponding reference identifier. In certain embodiments of the invention, a separate index value may be used as an address or an index to a lookup table which stores information associated with the corresponding index value.
• Associated information may be stored in such a database so as to be correlated with the codeword, reference identifier and/or index value. For example, for each entry, associated data may include: document owner information (e.g., name, address, phone number, social security number, driver license number), document creation or registration date information, document revision date information, document descriptor information and/or other information relevant to the document.
• When a document is initially scanned and a code word identified, a user may be prompted to enter the information to be associated with the code word in the table(s)/database(s), such as by using computer39 (FIG. 2). Accordingly, such a database, or one or more tables, may be populated with codewords and the associated information, such as by usingcomputer39. Documents so scanned may be considered to be enrolled in the database for later authentication.
• Referring now also toFIG. 6, there is shown a block diagram representation of asystem500 according to an embodiment of the present invention. Like references designate like elements inFIGS. 2 and 6, such that common elements will not be again discussed.System500 additionally includes anoptical energy transmitter510 andoptical energy receiver520. In the illustrated embodiment,transmitter510 impingessubstrate1 with optical energy, whilereceiver520 receives optical signals indicative of markings onsubstrate1. In certain embodiments of the present invention,transmitter510 andreceiver520 may be incorporated in a conventional opticaldocument scanner apparatus530.Apparatus530 may be akin to those used in digital document copiers and/or scanners, for example.Apparatus530 may provide asoutput538 data indicative of an optical scan ofsubstrate1.
• For purposes of completeness,scanner530 may generally take the form of a device that can detect markings, e.g., text or illustrations, printed on a substrate, e.g., paper, and translate the information into a form a computer, e.g.,computer39, can use. Such a scanner typically digitizes the markings, dividing the markings into a grid of boxes and representing each box with a data value, depending on whether the box is marked. The resulting matrix of bits may be used to form a bit map, which can be stored.Scanner530 may not distinguish text from illustrations; as both types of markings may be represented as bit maps.Scanner530 may utilize a charge-coupled device (CCD) array, which includes a plurality of light receptors that detect variations in light intensity and frequency. Other conventional approaches, such as a photomultiplier tube (PMT) based scanner can alternatively be utilized.Scanner530 may utilize any suitable resolution, such as up to or greater than 600 dots per inch (DPI), for example.Scanner530 may be monochrome or color capable.Scanner530 may use any suitable bit depth.Scanner530 may be hand-held, page fed or page based. Where clocking signal210 (FIG. 5) is independent ofsubstrate1, movement of the page or scanner relative to the other may be correlated with the clocking signal.
• In certain embodiments of the present invention, conventional optical character recognition (OCR ) technology may be used, e.g., bycomputer39, to translate at least a portion of the bit map into ASCII characters. Such ASCII characters may be stored and associated with the scanned document for example. In certain embodiments of the present invention, reference ID110 (FIGS. 3 and 4) may be converted into ASCII characters, for example. Alternatively, more or less of a scanned bit map may be converted to ASCII characters via conventional OCR techniques.
• Referring now to Table-1, there is shown a table used to correlate data indicative ofoutput signal38 and538, according to an embodiment of the present invention.

• TABLE 1
  Codeword	Reference ID
  (Signal 38)	(Signal 538)	Doc. Info. 1	. . .	DATA FILE
  0010 . . . 0001	XXYY1122	owner	1 name	. . .	xxxyyy1122.dat

• The illustrated Table-1 includes a single entry that may be generated by, or responsively to,computer39. The entry indicates a codeword of “0010 . . . 0001” corresponds to a scanned document having a marked reference identifier “XXYY1122”. Information associated with the scanned document is also stored, consistently with the above-discussion. Table-1 also includes a data file identifier. The substrate used to generate the exemplary entry may be considered to be enrolled for later authentication.
• In certain embodiments of the present invention, each identified data file includes data indicative of the markings on the corresponding document, e.g., the bitmap represented byoutput538. In certain embodiments of the present invention, the data file may include data generated by manipulating either the codeword using the markings indicative data or the markings indicative data using the codeword. In certain embodiments of the present invention, the data file may be protected such as via conventional encryption techniques. In certain embodiments of the present invention, the markings indicative data (e.g.,output538 provided bit map data) may be encrypted using the codeword as an encryption key.
• Referring now toFIG. 7, there is shown a block diagram of a process700 for enrolling a document according to an embodiment of the present invention. In the illustrated embodiment, process700 begins with providing a substrate atblock705, e.g., substrate1 (FIG. 1).Block705 may include providing one or more substrates, e.g., in the form of individual sheets or a pack of paper, for example. Atblock710, the substrate is marked in a conventional manner. Marking atblock710 may include hand-marking and/or copying or ink-jet or laser printing onto a provided substrate using a conventional document copier or printer, for example. Atblock720, the document is optically scanned, e.g., using scanner530 (FIG. 6), to provide image data, e.g., a bit map indicative output538 (FIG. 6). Atblock730, at least a portion of the marked document, e.g., one or more scan tracks100,10a-n, is RF scanned, e.g., using transmitter/receiver20,30 (FIG. 6), to provide an RF signature codeword, e.g., bycomputer39 responsively tooutput38. Atblock740, the RF signature codeword (block730) and provided image data (block720) are used to generate a data file, e.g., by encrypting the image data using the codeword. Atblock750, a record (e.g., akin to the record shown in Table-1) is generated by or usingcomputer39. The record associates information, including the generated data file (block740) with the optically and RF scanned document.
• Referring now toFIG. 8, there is shown a block diagram of a process800 for authenticating an enrolled document according to an embodiment of the present invention. In the illustrated embodiment, process800 begins with providing a registered document (e.g.,FIG. 7), atblock805. Atblock810, the RF signature is measured (analogously to block730,FIG. 7). Atblock820, the document is optically scanned (analogously to block720,FIG. 7). Atblock830, a verification data file is generated (analogously to file generation atblock740,FIG. 7). Atblock840, the record and data file for the scanned document (generated atblock750,FIG. 7) are retrieved. Atblock850 the file generated atblock830 is compared to the file generated atblock840. Atblock860, if the files are determined to sufficiently match, the document provided atblock805 is authenticated. Atblock860, if the files are determined to sufficiently differ, the document is not authenticated.
• For non-limiting purposes of completeness, file retrieval atblock840 may be achieved using any conventional manner. For example, where the table/database containing the record is indexed by codeword, the codeword generated atblock810 may be used to recover the file. Where the table/database containing the record is indexed by reference identifier (e.g.,110,FIGS. 3,4), bit map data generated atblock820 may be subjected to a conventional OCR technique to determine the reference ID and recover the corresponding file. Where the table/database is otherwise indexed, appropriate queries may be carried out (e.g., by or at the request of computer39) to determine the file to be recovered. Alternatively, a user may be requested to enter one or more items of information (e.g., akin to the associated information and/or reference identifier) usingcomputer39, which information is then used to determine the file to be recovered.
• In certain embodiments of the present invention, documents may be updated by re-enrolling or updating their enrollment. In such a case, the prior generated record may be appended or replaced, for example. In such embodiments, restrictive access/authorization techniques may be used to restrict enrollment updating. For example, when a document is enrolled, a password required to re-enroll or update the document enrollment may be associated with the record.
• It should be appreciated that stored data files represent optical images of scanned documents. The table(s)/database(s) and associated data files may be stored in memory for later retrieval for any desired amount of time. Accordingly, a copy of a scanned document may be recovered at any point during this time, even if the original is lost or destroyed, by performing suitable queries of the stored table(s)/database(s), usingcomputer39 for example.
• In certain embodiments of the present invention,substrate1 may be pre-printed with information, e.g., so as to serve a fill-able form, prior to being provided to a user. Referring now toFIG. 9, there is shown asubstrate1 according to such an embodiment of the present invention. Like references designate like elements inFIGS. 1,3,4 and9, such that common elements will not be again discussed. In the illustrated embodiment,substrate1 has been pre-printed as the first page of a United States Copyright Office Form TX, which is an application to register a non-dramatic literary work. Of course, it should be understood thatsubstrate1 may be pre-printed with any type of information, and may take the form of any form, for example. Referring still toFIG. 9, as can be readily ascertained, Form TX has a plurality of spaces to be filled in by the user. According to an embodiment of the present invention, such a Form TX printed on asubstrate1 may be enrolled and then provided to and filled out by a user. Such a form may then be authenticated, such as in accordance with the processes discussed above. Thereafter, the authenticity ofsubstrate1, and hence Form TX may be updated and/or confirmed by a third party. Further, should the form be lost, a copy may be recovered as discussed above.
• Those of ordinary skill in the art may recognize that many modifications and variations of the present invention may be implemented without departing from the spirit or scope of the invention. Thus, it is intended that the present invention covers the modifications and variations of this invention provided they come within the scope of the appended claims and their equivalents.

Claims (17)

1. A method for authenticating a document comprising:

radio frequency scanning at least a portion of the document;

optically scanning the document;

generating document data dependently upon the radio frequency scanning and optical scanning;

comparing the generated document data to stored data, the stored data being previously generated dependently upon a prior radio frequency scanning of the portion of the document and prior optical scanning of the document; and

providing an output indicative of the document being authentic if the generated document data is sufficiently identical to the stored data as determined by the comparing.

2. The method ofclaim 1, further comprising storing the stored data in a computer readable medium.

3. The method ofclaim 1, wherein the at least portion of the document radio frequency scanned is a longitudinal portion of the document.

4. The method ofclaim 3, wherein the longitudinal portion extends along substantially the entire document.

5. The method ofclaim 3, wherein the at least portion of the document radio frequency scanned comprises a plurality of longitudinal portions of the document.

6. The method ofclaim 5, wherein each longitudinal portion extends along substantially the entire document.

7. The method ofclaim 5, wherein each longitudinal portion is mutually exclusive of each other longitudinal portion.

8. The method ofclaim 1, wherein the radio frequency scanning comprises impinging a plurality of radio frequency responsive elements being substantially randomly disposed within the at least portion of the document with radio frequency energy, and detecting the response of the impinged radio frequency responsive elements.

9. The method ofclaim 1, wherein the generating document data comprises encrypting.

10. The method ofclaim 9, wherein the encrypting comprises encrypting data indicative of the optical scanning using data indicative of the radio frequency scanning.

11. A system for authenticating a document comprising:

a radio frequency document scanner;

an optical document scanner;

a memory storing document verification data associated with the document;

a computing system operatively connected to the radio frequency scanner, the optical scanner and the memory; and

computing system executable code accessible by the computing system and operative by the computing system to:

receive data indicative of a radio frequency scan of at least a portion of the document from the radio frequency document scanner;

receive data indicative of an optical scan of the document from the optical document scanner;

generate document data dependently upon the received radio frequency and optical scan data;

access the memory to recover the document verification data;

compare the generated document data to the recovered document verification data, the document verification data being previously generated dependently upon a prior radio frequency scanning of the portion of the document and prior optical scanning of the document; and

provide an output indicative of the document being authentic if the generated document data is sufficiently identical to the recovered document verification data as determined by the comparing.

12. The system ofclaim 11, wherein the memory is remote from the computing system.

13. The system ofclaim 11, further comprising:

a second radio frequency document scanner;

a second optical document scanner; and,

a second computing system operatively connected to the radio frequency scanner, the optical scanner and the memory;

wherein the second computing system is operative to execute the executable code to:

receive data indicative of a radio frequency scan of at least a portion of the document from the second radio frequency document scanner;

receive data indicative of an optical scan of the document from the second optical document scanner;

generate second document data dependently upon the received second radio frequency and second optical scan data;

access the memory to recover the document verification data;

compare the generated second document data to the recovered document verification data; and

provide a second output indicative of the document being authentic if the generated second document data is sufficiently identical to the recovered document verification data.

14. The system ofclaim 13, wherein the radio frequency document scanner, optical document scanner and computing system are locally connected to one-another.

15. The system ofclaim 14, wherein the second radio frequency document scanner, second optical document scanner and second computing system are locally connected to one-another.

16. The system ofclaim 15, wherein the first computing system and second computing system are remotely positioned from the memory and each other, respectively.

17. The system ofclaim 15, wherein the radio frequency scanning comprises impinging a plurality of radio frequency responsive elements being substantially randomly disposed within the at least portion of the document with radio frequency energy, and detecting the response of the impinged radio frequency responsive elements.

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