Registers – Systems controlled by data bearing records – Banking systems
Reexamination Certificate
2002-03-08
2004-07-20
Le, Thien M. (Department: 2876)
Registers
Systems controlled by data bearing records
Banking systems
C235S380000
Reexamination Certificate
active
06764000
ABSTRACT:
BACKGROUND OF THE INVENTION
1. Field of the Invention
THIS INVENTION relates to a document authentication method and apparatus.
The invention is particularly suitable for, but not limited to, validation of financial instruments, including cash (ie., bank notes), personal cheques, traveller's cheques, credit cards, debit cards and the like.
The invention is also particularly suitable for, but not limited to, the validation of legal instruments such as letters, agreements, licences, bills, and copies (eg., photocopies) thereof.
2. Prior Art
The counterfeiting of documents, particularly currency, has been a major problem for the authorities for many years. Money issuing authorities (eg., Reserve Banks or Mints) have adopted many different methods in an attempt to overcome or minimise counterfeiting of currency and other financial documents, and examples have included features or indicia such as watermarks and holograms. Examples of papers discussing such matters include (1) “Spacial Logic Algorithms Using Basic Morphological, Anologic CNN Operations” (Zarande et al) in “The Proceedings of the 1994 Third IEEE International Workshop on Cellular Neural Networks and their Applications”, Rome, Italy, published in the “International Journal of Circuit Theory and Applications” v 24 n 3 May-June 1996, pages 283-300; (2) “Development of Embossed Holograms” (Haines) in “Proceedings of SPIE—The International Society for Optical Engineering”, v 2652, 1996, Society of Photo-Optical Instrumentation Engineers, Bellingham, Wash., United States of America, pages 45-52; (3) “Performance of Diffraction Grating on a Banknote—The Experience with the Australian Commemorative Note” (Hardwick) in “Proceedings of SPIE—The International Society for Optical Engineering”, v 1210, published by The International Society for Optical Engineering, Bellingham, Wash., United States of America, pages 20-26; (4) “Optically Variable Devices for use on Bank Notes” (Rolfe) in “Proceedings of SPIE—The International Society for Optical Engineering” v 1210, published by the International Society for Optical Engineering, Bellingham, Wash., United States of America, pages 14-19; (5) “Evaluation of Security Features for new U.S. Currency” (Church et al) in “Proceedings of SPIE—The International Society for Optical Engineering”, v 2659, 1996, Society of Photo Optical Instrumentation Engineers, Bellingham, Wash., United States of America, pages 28-36.
Whilst such authentication features or indicia can be placed in bank notes, currency or other financial or legal documents, there is a need for financial or legal instruments bearing such indicia, to be rapidly and accurately-identified and authenticated.
SUMMARY OF THE PRESENT INVENTION
It is an object of the present invention to provide a method where a document (eg., a financial or legal instrument, as hereinbefore described), can be authenticated as either valid, or identified as invalid or counterfeit.
It is a preferred object that the method can be carried out rapidly and accurately.
It is a further preferred object to provide a method which requires minimal hardware requirements.
It is a still further preferred object to provide apparatus for carrying out the method.
Other preferred objects will become apparent from the following description.
In one aspect, the present invention resides in a method for authenticating a document (including, eg., a financial or legal instrument as hereinbefore described) including the steps of:
a) scanning the document for one or more identifying features and/or indicia;
b) comparing the scanned features/indicia against stored information in a database identifying the features/indicia as authentic or otherwise; and
c) transmitting a signal confirming whether or not the document is authentic or otherwise.
Preferably, the features/indicia scanned include watermarks, holograms, serial numbers, words, devices, colours (eg., patterns, combinations) or other features or indicia printed on, embossed into, incorporated in, or otherwise forming part of, the document.
Preferably, the database contains one or more features/indicia for comparison by which the authentication of the document may be determined. The document may be authenticated when the features/indicia scanned match the criteria of one or more (but preferably a plurality) of identification components stored in the database.
Preferably, when a document is established to be authentic or otherwise, the signal is transmitted to the location at which the document is scanned to indicate whether or not the document is authentic or otherwise and/or one or more alternative locations, eg., to a security unit.
In a second aspect, the present invention resides in apparatus for authenticating a document (eg., a financial or legal document as hereinbefore described) including:
a terminal operable to scan one or more identifying features or indicia of the document;
a database containing one or more stored identifying features indicative of whether or not the document is authentic or otherwise;
comparator means to compare the scanned features/indicia with the stored identifying features;
transmission means interconnecting the scanning means and the comparator means; and
indicator means operable to receive a signal from the comparator means to indicate whether or not the document is authentic or otherwise.
Preferably, the indicator means is provided on the terminal. One or more indicator means may be provided at alternative locations, eg., a bank security unit.
Preferably, the terminal includes scanning means operable to scan the scanned features/indicia hereinbefore described and means to transport the document past the scanning means.
The scanning means may incorporate one or more scanning heads, each operable to scan one or more features/indicia on the documents.
The database may be provided on the central computer which incorporates the comparator means.
The transmission means may incorporate any suitable communication means, eg., telephony, wireless, infra-red, hardware or the like.
In a third aspect, the present invention resides in an apparatus, as described above, where the scanning means is a scanning head passed over the documents (eg., by hand).
In a fourth aspect, the present invention resides in an apparatus for authenticating a document (eg., a financial or legal instrument) including;
a receptacle to receive the document;
means to scan the document as the document enters the receptacle;
data transfer means to transfer scanned data from the scanning means;
and card means operable to receive the data; so arranged that:
the document can only be released from the receptacle when the card means is placed in, or read by, a card reader associated with the receptacle.
REFERENCES:
patent: 4418411 (1983-11-01), Strietzel
patent: 5790245 (1998-08-01), Kanesashi
patent: 5818021 (1998-10-01), Szewczykowski
patent: 5895073 (1999-04-01), Moore
patent: 6131718 (2000-10-01), Witschorik
patent: 2 605 674 (1988-04-01), None
patent: WO 99/04364 (1999-01-01), None
Accudent PTY LTD
Hess Daniel A.
Jackson Douglas E.
Le Thien M.
Stites & Harbison PLLC
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