U.S. patent application number 09/994399 was filed with the patent office on 2003-05-29 for validation and verification apparatus and method.
Invention is credited to Kuklinski, Theodore T., Monk, Bruce C..
Application Number | 20030099379 09/994399 |
Document ID | / |
Family ID | 25540631 |
Filed Date | 2003-05-29 |
United States Patent
Application |
20030099379 |
Kind Code |
A1 |
Monk, Bruce C. ; et
al. |
May 29, 2003 |
Validation and verification apparatus and method
Abstract
Apparatus and a method are disclosed for automatically
identifying and validating a document, for validating the identity
of a bearer of a document, for verifying that the bearer has
authorization to participate in an activity represented by the
document, and for comparing information on the document against
information databases to determine if there are known concerns
about the document or its bearer. A document type is narrowed by
initially determining the size of the document, and is then
identified from amongst a group of documents by looking for colors
or other characteristics at specific locations on the document only
until the document is identified. The order in which document
locations are looked at is dependent upon a history of the types of
documents that have been identified. An identified document is
verified by first looking up reference information about the
document type and using that information to read specific contents
and check only specific security and other features utilized on the
document. The contents of a document are checked against a database
to verify its contents, and other databases are checked for stolen
documents, known valid documents, and prohibited travel or entry.
Biometrics in databases, on documents and directly from the
document bearer are compared to verify the bearer.
Inventors: |
Monk, Bruce C.; (Hudson,
NH) ; Kuklinski, Theodore T.; (Weston, MA) |
Correspondence
Address: |
Joseph E. Funk
PO Box 661
Londonderry
NH
03053
US
|
Family ID: |
25540631 |
Appl. No.: |
09/994399 |
Filed: |
November 26, 2001 |
Current U.S.
Class: |
382/115 ;
382/165; 382/218 |
Current CPC
Class: |
G06V 30/40 20220101 |
Class at
Publication: |
382/115 ;
382/165; 382/218 |
International
Class: |
G06K 009/00 |
Claims
What we claim is:
1. A method for identifying and verifying documents to determine if
they are genuine, counterfeit or altered, the method comprising the
steps of: determining a first characteristic of a first document to
be verified, the first characteristic being common to a first group
of documents that is less than all documents; retrieving a set of
second characteristics for the first group of documents, where
individual documents in the first group of documents have ones of
the second characteristics; comparing characteristics found in the
first document with each of the second characteristics to identify
the first document; retrieving a set of reference information
unique to the first document; and comparing characteristics found
in the first document with each of the set of reference information
to determine if the first document is genuine, counterfeit or
altered.
2. The method in accordance with claim 1 further comprising the
step of providing an indication that the first document is genuine,
counterfeit or altered based upon the results of the reference
information comparing step.
3. The method in accordance with claim 1 wherein the first
characteristic is the size of the first document, all documents are
divided into size ranges and the first group of documents are those
documents within one of the size ranges, and the second
characteristics are found at specific locations on individual
documents of the first group of documents.
4. The method in accordance with claim 3 wherein the second
characteristics include color patterns at specific locations on the
documents.
5. The method in accordance with claim 1 further comprising the
steps of: keeping track of each type of document identified in the
first group of documents; selecting second characteristics for use
in the second characteristic comparing step starting with second
characteristics for the most commonly identified type of document
in the first group of documents.
6. Apparatus for identifying and verifying documents to determine
if they are genuine, counterfeit or altered, the method comprising
the steps of: means for determining a first characteristic of a
first document to be verified, the first characteristic being
common to a first group of documents that is less than all
documents; means for retrieving a set of second characteristics for
the first group of documents, where individual documents in the
first group of documents have ones of the second characteristics;
means for comparing characteristics found in the first document
with each of the second characteristics to identify the first
document; means for retrieving a set of reference information
unique to the first document; and means for comparing
characteristics found in the first document with each of the set of
reference information to determine if the first document is
genuine, counterfeit or altered.
7. The apparatus in accordance with claim 1 further comprising
means for providing an indication that the first document is
genuine, counterfeit or altered based upon the results from the
reference information comparing means.
8. The apparatus in accordance with claim 6 wherein the first
characteristic is the size of the first document, all documents are
divided into size ranges and the first group of documents are those
documents within one of the size ranges, and the second
characteristics are found at specific locations on individual
documents of the first group of documents.
9. The apparatus in accordance with claim 8 wherein the second
characteristics include color patterns at specific locations on the
documents.
10. The apparatus in accordance with claim 6 further comprising:
means for keeping track of each type of document identified in the
first group of documents; means for selecting second
characteristics for use by the second characteristic comparing
means starting with second characteristics for the most commonly
identified type of document in the first group of documents.
11. A method for identifying and verifying documents to determine
if they are genuine, counterfeit or altered, the method comprising
the steps of: determining the size of a first document to be
verified, the size being common to a first group of documents that
is less than all documents; retrieving a set of first
characteristics for the first group of documents, where individual
documents in the first group of documents have ones of the first
characteristics; comparing characteristics found in the first
document with each of the first characteristics to identify the
first document; retrieving a set of reference information for the
first document based upon the identity of the first document; and
comparing characteristics found in the first document with each of
the set of reference information to determine if the first document
is genuine, counterfeit or altered.
12. The method in accordance with claim 11 further comprising the
steps of: keeping track of each type of document identified in the
first group of documents; and selecting first characteristics for
use in the first characteristic comparing step starting with first
characteristics for the most commonly identified type of document
in the first group of documents.
13. The method in accordance with claim 12 further comprising the
step of providing an indication that the first document is genuine,
counterfeit or altered based upon the results of the third
characteristics comparing step.
14. The method in accordance with claim 13 wherein the second
characteristics include color patterns at specific locations on the
documents.
15. Apparatus for identifying and verifying documents to determine
if they are genuine, counterfeit or altered, the apparatus
comprising: means for determining the size of a first document to
be verified, the size being common to a first group of documents
that is less than all documents; means for retrieving a set of
first characteristics for the first group of documents, where
individual documents in the first group of documents have ones of
the first characteristics; means for comparing characteristics
found in the first document with each of the first characteristics
to identify the first document; means for retrieving a set of
reference information for the first document based upon the
identity of the first document; and means for comparing
characteristics found in the first document with each of the set of
reference information to determine if the first document is
genuine, counterfeit or altered.
16. The apparatus in accordance with claim 15 further comprising:
means for keeping track of each type of document identified in the
first group of documents; and means for selecting first
characteristics for use by the first characteristic comparing means
starting with first characteristics for the most commonly
identified type of document in the first group of documents;
17. The apparatus in accordance with claim 16 further comprising
means for providing an indication that the first document is
genuine, counterfeit or altered based upon the results of the third
characteristics comparing means.
18. The apparatus in accordance with claim 17 wherein the second
characteristics include color at specific locations on the
documents.
19. A method for identifying and verifying documents to determine
if they are genuine, counterfeit or altered, the method comprising
the steps of: determining a first characteristic of a first
document to be verified, the first characteristic being common to a
first group of documents that is less than all documents;
retrieving a set of second characteristics for the first group of
documents, where individual documents in the first group of
documents have ones of the second characteristics; comparing
characteristics found in the first document with each of the second
characteristics to identify the first document; keeping track of
each type of document identified in the first group of documents;
selecting first characteristics for use in the first characteristic
comparing step starting with first characteristics for the most
commonly identified type of document in the first group of
documents; retrieving a set of reference information for the first
document based upon the identity of the first document; and
comparing characteristics found in the first document with each of
the reference information to determine if the first document is
genuine, counterfeit or altered.
20. The method in accordance with claim 19 further comprising the
step of providing an indication that the first document is genuine,
counterfeit or altered based upon the results of the third
characteristics comparing step.
21. The method in accordance with claim 20 wherein the first
characteristics include color patterns at specific locations on the
documents.
22. Apparatus for identifying and verifying documents to determine
if they are genuine, counterfeit or altered, the apparatus
comprising: means for determining a first characteristic of a first
document to be verified, the first characteristic being common to a
first group of documents that is less than all documents; means for
retrieving a set of second characteristics for the first group of
documents, where individual documents in the first group of
documents have ones of the second characteristics; means for
comparing characteristics found in the first document with each of
the second characteristics to identify the first document; means
for keeping track of each type of document identified in the first
group of documents; means for selecting second characteristics for
use in the second characteristic comparing step starting with
second characteristics for the most commonly identified type of
document in the first group of documents; means for retrieving a
set of reference information for the first document based upon the
identity of the first document; and means for comparing
characteristics found in the first document with each of the set of
reference information to determine if the first document is
genuine, counterfeit or altered.
23. The apparatus in accordance with claim 22 further comprising
means for providing an indication that the first document is
genuine, counterfeit or altered based upon the results of the
reference information comparing means.
24. The apparatus in accordance with claim 23 wherein the first
characteristics include color at specific locations on the
documents.
25. A method for identifying and verifying documents to determine
if they are genuine, counterfeit or altered, the method comprising
the steps of: determining the size of a first document to be
verified, the size being common to a first group of documents that
is less than all documents; retrieving a set of first
characteristics for the first group of documents, where individual
documents in the first group of documents have ones of the first
characteristics; comparing characteristics found in the first
document with each of the first characteristics to identify the
first document; keeping track of each type of document identified
in the first group of documents; selecting first characteristics
for use in the first characteristic comparing step starting with
first characteristics for the most commonly identified type of
document in the first group of documents; retrieving a set of
reference information unique to the first document based upon the
identity of the first document; and comparing characteristics found
in the first document with each of the reference information to
determine if the first document is genuine, counterfeit or
altered.
26. The method in accordance with claim 25 further comprising the
step of providing an indication that the first document is genuine,
counterfeit or altered based upon the results of the reference
information comparing means.
27. The method in accordance with claim 26 wherein the first
characteristics include color at specific locations on the
documents.
28. Apparatus for identifying and verifying documents to determine
if they are genuine, counterfeit or altered, the apparatus
comprising: means for determining the size of a first document to
be verified, the size being common to a first group of documents
that is less than all documents; means for retrieving a set of
first characteristics for the first group of documents, where
individual documents in the first group of documents have ones of
the first characteristics; means for comparing characteristics
found in the first document with each of the first characteristics
to identify the first document; means for keeping track of each
type of document identified in the first group of documents; means
for selecting first characteristics for use by the first
characteristic comparing means starting with first characteristics
for the most commonly identified type of document in the first
group of documents; means for retrieving a set of reference
information unique to the first document based upon the identity of
the first document; and means for comparing characteristics found
in the first document with each of the reference information to
determine if the first document is genuine, counterfeit or
altered.
29. The apparatus in accordance with claim 28 further comprising
means for providing an indication that the first document is
genuine, counterfeit or altered based upon the results of the
reference information comparing means.
30. The apparatus in accordance with claim 29 wherein the first
characteristics include color at specific locations on the
documents.
31. A computer readable medium containing executable instructions
for identifying and verifying documents to determine if they are
genuine, counterfeit or altered, the executable program
instructions comprising program instructions for: determining a
first characteristic of a first document to be verified, the first
characteristic being common to a first group of documents that is
less than all documents; retrieving a set of second characteristics
for the first group of documents, where individual documents in the
first group of documents have ones of the second characteristics;
comparing characteristics found in the first document with each of
the second characteristics to identify the first document;
retrieving a set of reference information unique to the first
document; and comparing characteristics found in the first document
with each of the reference information to determine if the first
document is genuine, counterfeit or altered.
32. A computer readable medium containing executable instructions
for identifying and verifying documents to determine if they are
genuine, counterfeit or altered, the executable program
instructions comprising program instructions for: determining the
size of a first document to be verified, the size being common to a
first group of documents that is less than all documents;
retrieving a set of first characteristics for the first group of
documents, where individual documents in the first group of
documents have ones of the first characteristics; comparing
characteristics found in the first document with each of the first
characteristics to identify the first document; keeping track of
each type of document identified in the first group of documents;
selecting first characteristics for use in the first characteristic
comparing step starting with first characteristics for the most
commonly identified type of document in the first group of
documents; retrieving a set of reference information unique to the
first document based upon the identity of the first document; and
comparing characteristics found in the first document with each of
the second characteristics to determine if the first document is
genuine, counterfeit or altered.
Description
FIELD OF THE INVENTION
[0001] This invention relates to apparatus and a method for
automatically identifying and validating a document, for validating
the identity of a bearer of a document, for verifying that the
bearer has authorization to participate in an activity represented
by the document, and for comparing information on the document
against information databases to determine if there are known
concerns about the document or its bearer.
BACKGROUND OF THE INVENTION
[0002] Over time there has been an increase in counterfeiting and
alterations to identity, travel and other documents, such as
drivers licenses, passports, identification cards, and passes. In
addition, there has been an increase in counterfeiting and
alterations to documents having value, such as negotiable
instruments, bonds and other similar documents. This has caused
concern to the governments and companies who issue such identity
and travel documents; and much financial loss where such
counterfeit and altered documents are documents of value.
[0003] To hinder such counterfeiting and alterations to identity,
travel and similar documents, and documents having value, many
innovations have been proposed or introduced. One solution has been
the development and implementation of new materials for producing
such documents that has made counterfeiting and alterations more
difficult, and the detection of counterfeit and altered documents
easier and faster. Such new materials include the use of holograms
and retro-reflective layers in laminating material, invisible
information that only appears when illuminated by certain
wavelengths of invisible light or other energy, and different types
of inks that are seen as one color under normal ambient light but
are seen as a different color when illuminated by certain
wavelengths of invisible light or other energy (chemical taggants).
In addition, magnetic and radio frequency (RF) taggants that are
invisible to the eye are added to base materials and laminating
materials but may be detected using special equipment. Further,
micro-miniature smart chips and memory chips are embedded in such
documents, just as they are in smart cards, and may be used to
identify, read and validate documents in which they are embedded,
and to identify and validate the bearer of such documents.
[0004] One example of a security laminating material used for
anti-counterfeiting of passports is 3M's Confirm.RTM. security
laminate described in U.S. Pat. No. 5,658,41 1. Another example of
a 3M security laminating material used for anti-counterfeiting of
passports is described in U.S. Pat. No. 5,631,064 and utilizes
retro-reflective glass microspheres.
[0005] An example of an identity card using smart-card technology
has recently been introduced in Malaysia where an embedded computer
chip and memory allows the card to be used as a combination
identity card, driver's license, cash card, national health service
card, and passport.
[0006] Coupled with the increase of new materials and new
techniques to produce documents that are more difficult to
counterfeit or alter, there has been an increase in the demand for
new equipment and systems for automatically identifying and
validating documents, for validating the identity of a bearer of a
document, for verifying that the bearer has authorization to
participate in an activity represented by the document, and for
comparing information on the document against information databases
to determine if there are known concerns about the document or its
bearer. This demand has risen because it has become virtually
impossible for a person, by themself, to analyze and validate
documents using such new materials and other techniques.
SUMMARY OF THE INVENTION
[0007] The present invention provides new apparatus and a
method-for automatically identifying and validating documents, for
validating the identity of a bearer of a document, for verifying
that the bearer has authorization to participate in an activity
represented by the document, and for comparing information on the
document against information databases to determine if there are
concerns about the document or its bearer.
[0008] The use of the new apparatus and methods speeds the process
of checking documents, and achieving more accurate verification of
a document and its bearer because individual examiners cannot be
expected to remember or know all information concerning a plurality
of document types. In addition, individuals get tired, distracted
or careless and they make mistakes.
[0009] The new apparatus and method automatically identifies and
authenticates existing, issued documents of different kinds, by
checking the intrinsic characteristics of the document and its
security features to verify that the documents are not
counterfeited and have not been altered. The document's properties
may also be used to query the authority that issued the document to
confirm its validity.
[0010] In addition to identification and validation of the
document, information contained in the document may be retrieved
and used to validate the identity of a bearer of the document.
Also, the current status of a bearer's authorization to engage in a
particular activity indicated by the document may be verified, such
as to cross a border, check-in to a flight, cash a check, rent a
car, purchase a controlled substance, buy hazardous materials, or
to enter a secure area. Further, a photo on the document may be
captured with sufficient quality to be used for facial matching by
machine or human. A picture, signature, fingerprint, iris scan or
other biometric information stored on the document may be compared
to biometric information received directly from the bearer of the
document, and/or compared to biometric information retrieved from a
central database. Also, the information obtained from the document
and the bearer of the document may be checked against information
stored in other local or distributed databases, such as "watch"
lists, "wanted" lists, and prohibited entry lists. In this manner,
both false identities and identity theft are detected. The
certainty of detection then becomes a major deterrent to such
crimes.
[0011] Finally, real-time auditing and reporting is done relative
to the activity that is taking place and all information required
to assess the risk of individual patterns of behavior. This
information may be stored in a database and used by specific
authorities as related to their jurisdictional responsibilities.
Protection of the privacy of an individual is protected unless the
bearer voluntarily forgoes such protection for added security or as
an exception process in the case of a missing document. If there is
sufficient reason to suspect illegal activity or the strong
likelihood of a future threat, then the appropriate law enforcement
agencies may over-ride the normal privacy protection features.
[0012] There are several steps involved in implementing the
processes described in the previous paragraphs.
[0013] The first critical step is to identify the type of document
presented. Several examples of documents that can be identified are
passports, visas, driver licenses, alien residence cards, and
INSPASS cards. The first step in the process uses an image of the
presented document to determine the physical size of the document.
All documents that may be processed are classified into a plurality
of physical size ranges. Upon determining the size of the document
from the first image the document type is thereby narrowed down to
a smaller set of documents. To further narrow the search the
presence of information at specific locations, i.e. test regions,
on the document is looked for. For example, the presence of a
certain pattern of colors in the test regions is looked for. Using
the information found in the test regions on the document the type
of document is identified with a high degree of probability.
[0014] To speed up document identity analysis, statistical
information is collected and used to determine the order in which
the test regions on a document are to be checked. For example, if
the apparatus is primarily used to check driver licenses and
identity cards in a state liquor store in the State of New
Hampshire, the document most likely inserted into the apparatus for
verification will be New Hampshire drivers licenses and identity
cards. Accordingly, as the apparatus is in use, over time, it
collects information that most of the time New Hampshire driver
licenses and identity cards are verified. Using this statistical
information, after a document size range determination is made and
the size range includes New Hampshire drivers licenses and identity
cards, subsequent checking for the presence of information at test
regions on a document will initially look for the presence of such
information that is found on New Hampshire documents. Thus, the
processing time is typically shortened.
[0015] In the second step, using the identified document type,
reference information for the document are retrieved. This
criterion includes document layout, security features and intrinsic
characteristics (documetric) for the identified document type.
Using the reference information, data and images are collected from
test regions on the document. Some of the data collected will be
obtained using optical/intelligent character reading technology and
bar-code reading technology. Data and images collected from the
document are from areas intended for machine-readability; from
human readable areas protected from forgery and tampering and not
intended for machine readability; and from areas that are covert
and not visible to the unaided human eye. Images are collected from
documents using a variety of excitation sources, including
infrared, visible and ultraviolet light sources, and polarized
light based on the known properties for the specific document type
as found in the reference information. Other information may be
collected using devices such as ultrasonic, RF or magnetic
sensors.
[0016] In the third step, the information and images collected from
a document are analyzed and compared with known characteristics for
the identified document type in the reference information. Images
are processed to check the composition of the document,
characteristics of the materials, and evidence of any alteration or
counterfeiting. Also, classes of documents with known forgery
characteristics are specifically examined for the forgery
characteristics. At the conclusion of this third step, certain
conclusions can be made as to the authenticity of the presented
document and a "score" representing the quality of the match
between the document and the known properties for that document is
calculated.
[0017] Above a predetermined "score" the document is considered to
be a real document in view of the level of analysis performed.
Below a predetermined "score" it can conclusively be determined
that the document is not valid. Between these scores there is
questionable authenticity, and the document bearer and document may
be subjected to closer examination.
[0018] In the fourth step the data and image information captured
from each document may be used to query relevant databases
controlled by the issuing authority of the document, or by agencies
with lists of known stolen documents, watch lists of wanted or
suspected individuals, biometric data for identity matching, data
combinations such as arrival and departure locations, suspected
combinations of travelers and travel patterns, known issued valid
documents, and other pertinent information.
[0019] In the fifth step, after the presented document has been
validated, then identity verification of the bearer is accomplished
linking the bearer to the document. This is done by matching
biometric information contained on the document with information
measured from the bearer of the document. If the quality of a
biometric on the document (such as a photo) and a biometric
obtained directly from the bearer at the apparatus are sufficient
for matching with a high degree of confidence, then no further
examination is required. Should the biometric not match with
sufficient confidence, a further match could be made by using the
biometric information captured to query the authority that issued
the document for their assessment of the match.
DESCRIPTION OF THE DRAWING
[0020] The invention will be better understood upon reading the
following Detailed Description in conjunction with the drawing in
which:
[0021] FIG. 1 is a block diagram of the novel validation and
verification apparatus used to identify, read and verify documents
and their bearers;
[0022] FIGS. 2A & 2B are a block diagram showing the steps
involved in determining a document type;
[0023] FIG. 3 is a block diagram showing the steps involved in
reading and capturing data from a document and determining if the
document is counterfeit or has been altered;
[0024] FIG. 4 is a block diagram showing the steps involved in
comparing data on a document with reference data and data in
databases, and determining if the document bearer is on a
watchlist; and
[0025] FIG. 5 is a block diagram showing the steps involved in
retrieving and comparing biometric data on a document, in a
database and directly from the document bearer.
DETAILED DESCRIPTION
[0026] In this Detailed Description the operation of our novel
validation and verification apparatus 10 in FIG. 1 is described for
reading and verifying all types of documents, but with emphasis
given to reading and verifying a passport 11. In the description
the terms document and passport are both used, often
interchangeably. The detailed description uses a passport by way of
illustration, but the same apparatus will also read the other types
of documents using the same process as described. Other types of
documents may be read and verified such as, but not limited to,
driver licenses, identity cards, alien residence cards, and INSPASS
cards. While documents of value may also be read and verified using
the teaching of the preferred embodiment of the invention described
herein, such documents of value are not specifically described in
detail hereinafter.
[0027] On the inside of a passport 11 is located a photograph,
bibliographic and possibly other information about the bearer of
the passport. This is called the "personalization page." The
information on this page includes passport number, issuance and
expiration dates, issuing authority, possibly biometric information
about the person to whom the passport 11 is issued, and other
information.
[0028] A piece of thin plastic is laminated to the surface of the
personalization page of passport 11 to seal the photograph and
information recorded thereon. This plastic laminating material may
contain security features such as holograms or retro-reflective
materials to provide a measure of security. Laminating, with or
without such security features, is done to make it very difficult
to alter a passport or to produce counterfeit passports, but
passports are still altered and counterfeited despite security
measures being taken. Other security measures include affixing
holographic seals to the document under the laminating layer, using
laminating material that has invisible images therein, use of
special inks, use of special paper and imbedded threads, and using
paper with a subdued background pattern that is damaged by attempts
to alter the passport.
[0029] To make it harder to alter or counterfeit documents, new
security measures are continually being developed to make it more
difficult, if not impossible, to alter or counterfeit documents.
Over time such new measures have included the use of chemical
taggants to produce different papers, threads, and types of inks to
imprint information. These taggants show up differently under
lights of different color, including invisible light such as
ultraviolet and infrared. These taggants may also be magnetic or
have other properties that are not apparent, but which are
detectable when using the proper excitation source and sensor.
Further, alterations made to documents containing such security
materials, that may be invisible to the naked eye, appear when
excited with certain wavelengths of light or electromagnetic
energy. Still further, special paper may be utilized that is not
visibly damaged by attempts to alter the passport, but the damage
can be detected using certain wavelengths of visible and invisible
light, or other techniques such as RF or ultrasonic detection.
[0030] In FIG. 1 is shown a block diagram of our novel validation
and verification apparatus 10. Apparatus 10 has a glass platen 12
onto which a document 11, such as a passport, is placed. The size
and shape of platen 12 is chosen according to the intended use of
apparatus 10 to accommodate a variety of different types of
identity cards, travel documents, resident alien green cards, and
other similar documents, such as drivers licenses, passports,
identification cards, ingress/egress passes; and documents of
value, such as bonds, certificates and negotiable instruments. The
CPU 14 and associated peripheral devices illustrate a fully
integrated embodiment of the apparatus. The physical apparatus may
be constructed including only the elements associated with the
camera 18, controller 15, lights 16, optics 17, display 21 and
platen 12. In this configuration the apparatus serves as a
peripheral to a processor. However, all of the functionality and
process steps remain the same.
[0031] Lights 16 comprise a plurality of visible and invisible
light sources or other excitation means of different wavelengths.
These sources include, but are not limited to, visible light, near
infrared (IR), long and short wave ultraviolet (UV), from arrays of
light emitting diodes (LEDs), RF and ultrasonic, solid-state
emitters, transducers, gas discharge, incandescent, and/or
fluorescent sources. The emission from each of which may pass
through a diffuser medium or focusing mechanism (not shown) to
illuminate the page of document 11 on platen 12. A special instance
of these lights 16 uses near-infrared (IR) and blue light from
light emitting diodes to emulate a point source of light and
illuminate a laminated page of the document. Such illumination is
done coaxially with the path the reflected light travels to camera
18. Camera 18 has an operational frequency range that is able to
image 400 nanometer to 1 micron, visible to near-IR. It can also be
enhanced with transluminance materials to shift the response range
to detect frequencies outside this range. The capabilities of
camera 18, as shown, may also be extended to add filters or include
transducers sensitive to frequencies in any range.
[0032] In addition, all light sources have programmable output
intensities and LED sources may be pulsed to achieve higher peak
power levels that provide greater illumination of the document and
to help to expose security markings and unauthorized alterations at
different levels within the passport. The frequency of pulsing the
IR and blue light LEDs is high enough that the pulsing cannot be
detected by camera 18. The light from the sequentially energized
multiple light sources 16 is reflected from the laminated page of
passport 11 on platen 12 and impinges on optics 17 which focuses
the image for camera 18. The optics 17 can also be used to split
the optical path to support multiple cameras/detectors and/or
provide filtering to band limit the spectral content reaching the
camera.
[0033] In this embodiment camera 18 is a high-resolution, color,
solid-state camera that is controlled by CPU 14, and produces a
digitized color picture. Camera 18 and near-IR light 16 are
continuously operating while apparatus 10 is powered up and
awaiting detection of a document. When apparatus 10 is to commence
functioning, the presence of a document 11 on platen 12 is imaged
by camera 18 and a first picture is sent to CPU 14 via an interface
link 27. Link 27 is a high-speed, digital interface such as
conforms to the IEEE 1394 standard, high-speed Ethernet, or a
universal serial bus (USB), or other future protocols. The color
picture is in a digitized format and CPU 14 stores it in a memory
queue. In some instances gray scale pictures may be utilized. In
other applications where color is not needed a monochrome camera
may be utilized.
[0034] A local high capacity storage device 25 may store
information such as document reference information files and image
reference files, and a program run by CPU 14 to control the
operation of validation and verification apparatus 10. Alternately,
document reference information files and image reference files and
other material may be filed in and accessed from a remote server.
As the capability to check new document types is added to apparatus
10, and new and/or updated information about existing document
types or security checks becomes available, that new or updated
information is stored on storage device 25 from either a detachable
CDROM drive 26 or from a remote server (not shown) via network port
22. Like all computers, there is memory 20 that comprises static
and dynamic memory and it functions with CPU 14 in a well-known
manner. In addition, network port 22 can be used to connect
apparatus 10 to a server on a local area network (LAN) or wide area
network (WAN) to record the time and date that the bearer of a
passport is entering or leaving a country, and transfer other
information retrieved from a document, and to communicate with
authorities responsible for databases used for verifying and
validating the document and its bearer, and to check if the bearer
of the document is on a prohibited entry or wanted list ("watch
list").
[0035] Apparatus 10 also includes a display 21, which may include a
touch-screen for response, to provide indications to the either the
operator of apparatus 10 or to a person whose document is being
checked, such as the validity or invalidity of document 11,
validating or invalidating the identity of a bearer of the
document, verifying or not verifying that the bearer has
authorization to travel using the document, and indicating
detection of an altered or counterfeit document. A separate display
may also be provided for persons whose documents are being checked.
There is also a display monitor 24 that may be used for a number of
purposes including displaying to an operator more detailed
information generated by apparatus 10, and pictures and other
information retrieved from a remote network of computers via
network port 22. In addition, there may be a keyboard 23 that is
used by the operator to manually input information to apparatus
10.
[0036] In some applications apparatus 10 is in a stand-alone
operation, such as at a point of ingress or egress, and a bearer of
a document 11 places it on apparatus 10 to be verified and granted
permission to enter or depart. If document 11 is not verified a
visual and/or audible indication may be provided to the bearer of a
document 11 to take some action, such as reporting to some other
location for verification.
[0037] Other apparatus may be provided as required by specific
applications, such as a bar code reader, a magnetic stripe reader,
iris reader, a signature capture device, gate controller, and/or a
smart card reader, all of which are not shown in FIG. 1.
[0038] In FIG. 2 is a general block diagram showing the program
steps involved in determining a document type. At block 30 it is
determined if there is a document 11 on platen 12. Camera 18 and a
light 16 (IR) remain on to detect the presence of a document on
platen 12 by a change of the digital image output from the camera.
A light 16 (visible) is energized until a first image is captured
of document 11. While the presence of document 11 is not detected
the program exits block 30 at NO and continuously cycles back to
the input of block 30. Once something is detected on platen 12 the
program exits block 30 at YES and progresses to block 31 where the
first image is captured for processing to determine what type of
document is on platen 12.
[0039] At block 32, the first picture is analyzed to locate its
edges and from this the document size is determined. All documents
that may be processed by apparatus 10 have a physical size and
apparatus 10 determines the document size to be within one of a
plurality of pre-selected size ranges, and there is a specific set
of test regions and characteristics for each stored for the
documents in each size range.
[0040] Upon determining the physical size of document 10 from the
first image, the physical size range in which the document is
located is identified, and apparatus 10 has thereby narrowed down
the document to be one of a smaller set of documents. To further
narrow the search, the presence of information at specific test
regions on the document are looked for. For example, the presence
of certain color patterns in specific test regions. The information
found at the specific test regions on the document is used to
identify the type of document. If, within the aforementioned
smaller set of document types, there is only a single document type
that has specific information present at a test region, and the
information is actually present at the test region in the first
picture, the document type is ascertained with a very high degree
of confidence and there is no need to check for the presence of
information at the other test regions on the document. However, if
a few document types have similar information present at a specific
test region, the number of possibilities of the document type has
been narrowed, but the document type has not yet been ascertained.
Thus, the presence of second specific information is looked for in
a second test region in the first picture. If there is only a
single document type that has the second specific information
present at the second test region, and the information is actually
detected in the second test region, the document type is
ascertained with a very high degree of confidence and there is no
need to check for the presence of additional information in the
first picture. Only if necessary, this process may be repeated for
more specific information at additional test regions on the
document, but the process is terminated as soon as the document
type is ascertained with a very high degree of confidence. In this
manner, testing to determine a document type is kept to a
minimum.
[0041] At block 33 a set of characteristics for the ascertained
document size range are read from the master document file. At
block 34, a description of the types of documents that have been
ascertained of the same size as document 11 is retrieved from
master document file. As apparatus 10 is operated at a specific
site over time certain types of documents will be analyzed more
often than others. For example, if apparatus 10 is used to check
driver licenses and identity cards at a state liquor store in the
State of New Hampshire, the probability is that documents inserted
into the apparatus for verification will be New Hampshire driver
licenses and identity cards. Accordingly, over time the apparatus
will collect information that most of the time New Hampshire driver
licenses and identity cards are ascertained and verified, and
possibly drivers licenses more often than identity cards. Using
this statistical information, after a document size range
determination is made for a document, and the size range includes
New Hampshire drivers licenses and identity cards, the subsequent
checking for the presence of information at test regions on the
document will initially look for the presence of such information
that is found first on New Hampshire drivers licenses and then on
identity cards. If a document is not ascertained to be one of these
two types of documents, processing will continue for other types of
documents in the size range. Thus, the processing time is typically
shortened.
[0042] Using the information read in blocks 33 and 34, and
following a search ordering set by the statistical information, at
block 35 the information from the first test region in the first
picture is analyzed to determine if the information matches the
retrieved characteristics for that region. If there is no very high
confidence match the program progresses to block 36 and saves the
match confidence determined.
[0043] If there is a very high confidence match, the program
progresses to block 37 where the image information in the second
test region in the first picture is analyzed to determine if the
information matches the retrieved set of characteristics for that
test region. If there is no very high confidence match the program
stores the match confidence determined at block 36. This process
repeats through a number of iterations as defined by a retrieved
set of document definitions. At block 38 the digital image
information for the last (Nth) region in the first picture is
analyzed to determine if the information matches the set of
characteristics for the Nth region. If there is no very high
confidence match the program again stores this determination at
block 36.
[0044] If there is a match the program progresses to block 39 where
the document type is ascertained to a very high degree of
confidence using the results of the image matching. Using the
ascertained document type the program progresses to block 45 and
retrieves a document definition file that is used in analyzing and
verifying the document as described with reference to FIG. 3.
[0045] At block 40 the program determines when the image matching
is complete. When complete, at block 41 it is decided if any of the
confidence reports from blocks 35, 37 and 38 exceed a predetermined
minimum threshold. If any do, then the reference documents highest
3 (configurable number) scores are checked against document 11
using the secondary characteristics and test regions as specified
in their respective document definition file. The process is the
same as steps 36-40. This procedure is followed until it has either
been determined that a document is a specific type to a very high
degree of confidence or the operator is notified that the type is
questionable.
[0046] If none of the confidence reports exceeds the minimum
threshold this means either document 11 on platen 12 is not placed
thereon in the correct orientation, the document is in too poor a
condition for recognition, or the document type is not included in
the master document file of apparatus 10. It is virtually
impossible to mis-orient a passport, however, that will not be the
usual case for the smaller ID cards. It is then determined at block
42 if the first image is not a passport-size and has already been
electronically rotated one-hundred eighty degrees.
[0047] If the image has not been previously rotated, at block 43
the image is electronically rotated one-hundred eighty degrees and
the program returns to block 35 and the analysis formed at blocks
35, 36, 37, 38, 40, 41 and 42 is repeated. If the document type
still cannot be ascertained a message is displayed "Can't Identify
Document Type". If the image has not previously been rotated, as
determined at block 42, it is clearly determined that the document
type is not included in the database, and the program progresses to
block 44 where a message is forwarded, "Can't Identify Document
Type". Thus, apparatus 10 will notify all interested parties that
other action must be taken to resolve the matter.
[0048] If after electronically rotating the first picture,
apparatus 10 can identify the document, processing of the document
continues using the rotated image. Using the ascertained document
type, the program progresses to block 45 and retrieves a document
definition file from which inspection criteria are retrieved to be
used in analyzing and verifying the document as described with
reference to FIG. 3.
[0049] FIG. 3 is a block diagram showing the steps involved in
reading and capturing data from the document, and testing to
determine if a document is valid, counterfeit or has been altered.
To simplify this figure the operation is described with reference
to three basic types of data to be obtained from documents. The
first information type is obtained from images created using
ultraviolet, infrared, direct, polarized light, etc., where one or
more additional images are obtained and then processed to derive
data therefrom. The second information type is pictorial or graphic
information on documents, such as photo, fingerprint, or seal, and
is captured directly from the document image. The third information
type is data read directly from an image on the document by optical
character reading (OCR), intelligent character recognition (ICR),
bar code interpretation, etc. In some instances data may be derived
from the other images of the document, when such information
becomes visible under a special light. There may be more than one
type of information in each of these data types, such as OCR, ICR
and bar codes being on the same document. In addition, for
information not found in any of the images, there may a magnetic
stripe read by a magnetic stripe reader, RF reader, ultrasonic
reader or a smart card reader. Different steps shown in FIG. 3
occur in parallel so the processing time is minimized.
[0050] Information in a standardized format is often located in
fixed machine-readable zones ("MRZ") on a document such as
established under ICAO 9303 or ISO-7501 standards. If an MRZ is
detected, CPU 14 uses an optical character reading (OCR) technology
to "read" the alphanumeric information in the MRZ field. By
analyzing information in the MRZ field, CPU 14 is able to determine
if the document is a passport, or another type of document that
includes an MRZ field. Such MRZ information may include, but is not
limited to, the name, birthday, sex, place of birth of the person
to whom the document is issued, the date of issuance and expiration
of the document, the issuing authority, issue run, and document
number. This information may also be encrypted and placed in bar
codes or on microchips on documents, and used as a double check
against visible information to verify that a document is not a
forgery and/or has not been altered. In addition, laser readable
material, invisible to the human eye, may be placed on the document
which is written and read like a CDROM, but is written and read in
rows, and may contain data visible elsewhere on the card, or
encoded fingerprints, hand-geometry, iris scans, retinal scans, and
other biometric information.
[0051] Certain inks, such as those containing carbon black, absorb
infrared light. Other inks do not absorb infrared light, but are
transparent to it or reflect it. Both may appear to be the same
color under normal light.
[0052] Printing on a document is generally in black, but MRZ items
on the document will be printed with the special near-IR absorbing
(B900) black ink to conform to international standards. When
illuminated with a near-IR source this latter printing will appear,
while all other printing disappears. CPU 14 knows where to look for
the special ink printing in a digitized image made under
illumination of the near-IR source from the retrieved document
definition file. If the near-IR responsive images are in the
specified areas, whether they are alphanumeric text or certain
patterns or images, they will be identified by CPU 14 as an
indication that the passport 11 in document reader 10 has not been
photocopied.
[0053] A long wave ultraviolet (UV-A) light causes certain inks and
fibers to fluoresce, so they are visible within the image captured
by camera 18 using this light source. A short wave ultraviolet
(UV-C) causes other special inks and fibers to fluoresce, while all
other areas on the document image disappear, including those made
with materials that fluoresce under UV-A. In addition, alphanumeric
characters and symbols may be printed on passport 11 or other
documents with inks that are not visible to the human eye, but
which appear when illuminated with a UV light source. These symbols
may be printed on the portion of the passport that is laminated, or
may be imprinted in or on the laminating material. From the
retrieved document definition file CPU 14 knows where to look in a
digitized picture captured from a document for the symbols that are
visible when illuminated under a UV light source.
[0054] Document definition files include document layout (location
of different types of information and pictures on a document),
security features (such as information visible with ultraviolet,
infrared, direct blue, and polarized light) and intrinsic
characteristics (documetric) specific to the process or materials
used to manufacture the document. Using retrieved document
definitions, only selected ones of the UV, IR and other images are
captured, and only specific regions in the images will be analyzed.
In addition, images are obtained using infrared, ultraviolet or
other wavelengths of light; or polarized, coaxial, or light
incident at specific angles at resolutions adapted to provide the
best analysis for the type of data being read. These additional
images are processed to obtain further data on the document, for
checking the authenticity of the document, and for determining if
the document has been altered or is a counterfeit.
[0055] The reason that all possible images of a document are not
captured sequentially is that all documents do not include features
that require obtaining images using all of the combinations of
excitation sources or camera resolutions available. In this way
only required images are obtained and the document processing time
is minimized.
[0056] In FIG. 3, at block 51, first data is captured by taking an
ultraviolet, infrared, polarized etc. picture of document 11 as
established by the document definition file for that document type.
Assume that at block 51 an ultraviolet image is obtained first. At
block 53 first data information made visible by the ultraviolet
light is read and stored. Merely seeing if it is visible at
specific locations on the document, or if the information made
visible may be read using another technology such as optical
character reading, barcode reading, or image recognition may check
the information. At block 54 the information obtained using the
ultraviolet picture, as described in the previous sentence, is
compared to reference information from the document definition
file. At block 55 the weighted results of the comparison are
saved.
[0057] At block 56 a decision is made if the result of the
comparison of the information obtained using the ultraviolet image
and the reference information from the document definition file
indicates the confidence level that there is a match or,
conversely, indicates the possibility that the document is a
counterfeit or has been altered.
[0058] At the same time that the ultraviolet picture is being read
and analyzed, a decision is made at block 52 if there are more
first data pictures to be obtained and analyzed. If there are more
first data pictures to be obtained the program branches back to the
input of block 51 to again capture a first data picture, such as an
infrared picture to be used, for example, to check for the use of
certain carbon based inks on the document, or for alterations to
the document. At block 53 information made visible by the infrared
light is read and saved. Merely seeing if information is visible at
specific locations on the document, or if the information made
visible may be read using another technology such as optical
character reading, and barcode reading may check the information.
At block 54 the information obtained using the infrared picture is
compared to standard reference information from the document
definition file. At block 55 the weighted results of the comparison
are saved.
[0059] When the coaxial light sources are used in the detection and
verification of retro-reflective materials contained in documents
the use of an image, if any, in the retro-reflective material may
be viewed, and the image, if any, may be compared to a reference
image from a document definition file that is retrieved from
storage, either locally or remotely. One example of such
retro-reflective materials is 3M's Confirm material that is
described in more detail in the following paragraphs.
[0060] When 3M's Confirm laminate is illuminated with coaxial IR
light the image captured is a continuous gray and an embedded logo
does not appear. It looks like a clean, gray slate. The continuous
gray is easily detected as an indication of the presence of the
Confirm material. Any alterations to and tampering with the Confirm
laminate appear as black marks on the gray background and are
easily detected. Further, at increased power levels, the light is
reflected from the bottom surface of the laminate or the surface of
the document which is laminated in a manner that reveals the use of
unauthorized laminates, and alterations to the laminate. In
addition, when viewing the Confirm material, IR coaxial
illumination is not affected by normal scuff marks and scratches,
fingerprints and dirt on the surface of the laminate.
[0061] A direct blue light source generated by an array of blue
LEDs is specifically used to verify that 3M's retro-reflective
Confirms.RTM. material is used as the laminate, and has not been
tampered with. Under this blue light a white logo is seen against a
gray background. This is easily detected by analysis of the image
produced, and can be read using optical character reading. Such
logos are combinations of words and graphics that are distinctive
to the country or issuer of the passport or other type of document
and are compared to words and graphics in the document definition
file for the document. The logo is invisible to the naked eye. Any
attempts to forge the 3M laminate, or to use another laminate, are
obvious.
[0062] At the same time that the image is being read and analyzed,
using the document definition file a decision is made at block 52
if there are more first data pictures to be obtained and analyzed.
If there are no more first data pictures to be captured the program
branches from block 52 to block 58 were it is determined if there
are any second data type pictures to be captured. If there are
none, the program branches directly to the input of block 62. When
there are second data type pictures to be captured, per the
document definition file, the program advances to block 59 and a
photo or other pictorial information on the document at a
specifically defined location is taken from the first picture and,
at block 60, is stored. Typically, it will be a photograph on the
document that is captured and saved for other purposes such as
comparison with the bearer of the document by an attendant or by a
computer using an image of the bearer's finger/or information in a
database using facial recognition technology.
[0063] At the same time a photograph image or other pictorial
information is being stored at block 60, using the document
definition file a determination is being made at block 61 if there
is another second data type picture to be captured, such as some
graphic located on the first image of the document. If there is,
the program cycles back to the input of block 59 to image the
graphic at its specifically defined location. At block 60 the
graphic is stored.
[0064] In the event that there are no additional second data type
pictures to be captured, the program progresses to the input of
block 62 where, using the document definition file, it is
determined if there are any Nth data type information to be
captured from the first picture, such as the OCR of characters or
reading a bar-code data, as indicated by the document definition
file. When the decision made is that there are no Nth data type
information to be saved, the program branches from block 62. Upon
the decision being made at block 62 that there is Nth data type
information to be saved, the program branches to block 63 where the
Nth data type information at a specified location on the document
is captured from the first image. At block 64 the information is
read and stored. If the information is alphanumeric text it is read
using OCR and the information saved. If the information is in
barcode form the barcode is decoded and the information derived
therefrom is saved.
[0065] At the same time that a first Nth data type information is
been retrieved from the first image, read and saved, at block 65
the program makes a determination using the document definition
file if there are any more Nth data information to be read and
saved. If there is, the program branches from block 65 back to the
input of block 63 to capture and read the Nth data information. For
example, the first Nth data information is alphanumeric text that
is read using OCR and the second Nth data information is a bar code
that is read.
[0066] When there is no more Nth data information to be read and
saved the program exits block 65. At this time all images have been
captured, all data read therefrom saved, and a decision now can be
made as to the document validity based on the scoring to the degree
to which the document matches the reference information in the
document definition file.
[0067] In FIG. 4 is a block diagram showing the steps involved in
further validating a document and verifying the identity of the
bearer by comparing data derive from the document with data in
databases, determining if the document bearer matches the
biometrics on the document (typically the photograph), if the
bearer is on a watch list, wanted list, or is on a prohibited entry
list. At block 70 the information retrieved from the document in
FIG. 3 is used to access databases related to the type of document
being verified as specified in the document definition file or
established in a master control file by the organization managing
the operation of the system.
[0068] At block 74 a determination is made if there is a match
between the two sets of information. The database information being
compared may be a positive or negative indication of the document
validity or their identity. The results are scored and used as a
part of the overall evaluation of the document and the bearer.
[0069] Completion of the match test between the sets of information
causes the program to progress to block 75 where other databases
are accessed to determine, for example, if the bearer of the
document is not in the issuing authority database, or is on a watch
list of any type. While not shown in FIG. 4 these other database
tests might include: (1) checking if the bearer of the document is
wanted for any crimes, (2) checking the document against lists of
stolen documents, (3) analysis of data combinations such as arrival
on departure locations, (4) checking for prohibited entry
individuals, and (5) matching suspected combinations of travelers
and travel patterns. If the bearer of the document is on a watch
list or wanted for any crimes, the program branches to block 77 to
notify the appropriate authorities.
[0070] In FIG. 5 is shown a block diagram of the steps involved in
comparing biometric data on a document with that received directly
from the document bearer. The purpose for this comparisons is to
validate the bearer of the document and to check against biometric
"watch lists". To implement this comparison a camera, a fingerprint
scanner, and/or an iris scanner, microphone, or signature capture
device must be located with apparatus 10. A decision is made at
block 81 whether or not there is a match. When there is a match the
program progresses to block 86 to display a message that there is a
biometric data match. The program then returns to its start in FIG.
1.
[0071] If there is no biometric data information, this
determination is made at block 81. The no match determination may
be due to an altered or counterfeit document, but may also be due
to the fact that the biometric data on the document (such as the
photo) is unusable. At block 82 a warning message is given to the
operator of apparatus 10 or the appropriate authorities. In
addition, the program progresses to block 83 to query the issuing
authority of the document or other authority requesting that they
or their appointed trust authority match the data and biometric and
return the results. The biometric data from the document and/or
from the bearer may be used, along with data from the document, and
are forwarded to the authority that will be performing the
match.
[0072] At block 84 the match results from the trust authority are
checked to determine if there is a data match. If there is no data
match, the program progresses to block 85 where an alert is given
to the operator of apparatus 10 and/or the appropriate authorities.
Upon it being determined at block 84 that there is a match, the
program progresses to block 86 to display a message that there is a
biometric data match. The program then returns to its start in FIG.
1.
[0073] In addition to biometric data matching, biometric
information retrieved directly from the document bearer and/or from
the document may be compared against a biometric "watch list". If
it is determined that the document bearer is on a biometric
"watchlist", an alert message is given to the operator of apparatus
10 and/or the appropriate authorities.
[0074] At this point apparatus 10 has verified both a document and
the bearer of the document, and has verified that the bearer has
authorization to participate in an activity represented by the
document. The program running apparatus 10 returns to its start
state in FIG. 2 and is ready to check another document.
[0075] While what has been described herein is the preferred
embodiment of the invention, it will be understood by those skilled
in the art that numerous changes may be made without departing from
the spirit and scope of the invention.
* * * * *