U.S. patent application number 12/149044 was filed with the patent office on 2008-11-06 for method and programmable product for unique document identification using stock and content.
This patent application is currently assigned to BOWE BELL + HOWELL COMPANY. Invention is credited to Walter S. Conard, Roger Spitzig.
Application Number | 20080272585 12/149044 |
Document ID | / |
Family ID | 39712078 |
Filed Date | 2008-11-06 |
United States Patent
Application |
20080272585 |
Kind Code |
A1 |
Conard; Walter S. ; et
al. |
November 6, 2008 |
Method and programmable product for unique document identification
using stock and content
Abstract
The present application relates to a method for authenticating
and tracking of documents. More specifically the present
application relates to authenticating and tracking of a document
throughout its lifecycle without reliance upon or requirement for
any unique identification characters, barcodes and/or objects that
were added to the document specifically for the purpose of
identification.
Inventors: |
Conard; Walter S.; (Lake
Villa, IL) ; Spitzig; Roger; (Ontario, CA) |
Correspondence
Address: |
MCDERMOTT WILL & EMERY LLP
600 13TH STREET, N.W.
WASHINGTON
DC
20005-3096
US
|
Assignee: |
BOWE BELL + HOWELL COMPANY
|
Family ID: |
39712078 |
Appl. No.: |
12/149044 |
Filed: |
April 25, 2008 |
Related U.S. Patent Documents
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Application
Number |
Filing Date |
Patent Number |
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60908000 |
Apr 26, 2007 |
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60951640 |
Jul 24, 2007 |
|
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60980621 |
Oct 17, 2007 |
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Current U.S.
Class: |
283/67 |
Current CPC
Class: |
G06K 2209/01 20130101;
G07B 2017/00491 20130101; G07B 2017/00443 20130101; G06K 9/52
20130101; G07B 17/00467 20130101; G06K 9/00577 20130101 |
Class at
Publication: |
283/67 |
International
Class: |
B42D 15/00 20060101
B42D015/00 |
Claims
1. A method of preparing a document for later authentication, the
document printed on identifiable stock, the method comprising steps
of: acquiring stock identification data from a printed hardcopy of
the document by a first sensor coupled with document processing
equipment; obtaining content data for the document; associating the
content data with the stock identification data; and storing the
content data and stock identification data in a database.
2. The method according to claim 1, wherein the obtaining step
includes obtaining content data from electronic data or from an
image of the printed hardcopy of the document by a second sensor
coupled with the document processing equipment.
3. The method according to claim 1, wherein the acquiring step
includes acquiring the stock identification data by way of the
first sensor selected from a coherent light beam interrogator, a
RFID interrogator/analysis tool, or a high magnification imaging
system.
4. The method according to claim 1, wherein the acquiring step
includes acquiring stock identification data selected from embedded
conductor or semiconductor devices, material deposited or printed
on the document, or fibers embedded in the document.
5. The method according to claim 1, wherein the obtaining step
includes obtaining the content data by the second sensor selected
from an imaging system coupled with optical character recognition
and symbol/picture analysis features.
6. The method according to claim 1, wherein the document processing
equipment includes a scanner, copier, facsimile device, or
kiosk.
7. The method according to claim 1, wherein the storing step
includes storing the content data and stock identification data in
a data storage medium and file structure capable of storing
searchable data accessible locally or over WAN.
8. A method of authenticating a document printed on identifiable
stock, the method comprising steps of: acquiring stock
identification data from a printed hardcopy of the document by a
first sensor coupled with document processing equipment; obtaining
content data from an image of the printed hardcopy of the document
by a second sensor coupled with the document processing equipment;
comparing the content data and stock identification data with
associated content data and stock identification data stored in a
database; and returning an authentication result indicating whether
or not the content data and stock identification data matched with
the stored content data and stock identification data in the
database.
9. The method according to claim 8, wherein the acquiring step
includes acquiring the stock identification data by way of the
first sensor selected from a coherent light beam interrogator, a
RFID interrogator/analysis tool, or a high magnification imaging
system.
10. The method according to claim 8, wherein the acquiring step
includes acquiring stock identification data selected from embedded
conductor or semiconductor devices, material deposited or printed
on the document, or fibers embedded in the document.
11. The method according to claim 8, wherein the obtaining step
includes obtaining the content data by the second sensor selected
from an imaging system coupled with optical character recognition
and symbol/picture analysis features.
12. The method according to claim 8, wherein the database further
includes metadata associated with the document, the metadata
including information selected from a document creation date and
document classification information.
13. The method according to claim 8, wherein the document is
selected from a stock certificate, will, contract, check, mortgage
or coupon.
14. A method of generating a plurality of mailpieces containing
inserts on document processing equipment for later authentication
of the inserts, the method comprising steps of: associating
addressee and/or address data with each of a plurality of inserts
printed on identifiable stock; acquiring stock identification data
from each of the plurality of inserts with a sensor; obtaining
insert classification data for the plurality of inserts; storing
the associated address and/or addressee data, acquired stock
identification data and obtained insert classification data in a
database; and generating the mailpieces containing the insert on
the document processing equipment.
15. The method according to claim 14, wherein the obtaining step
includes obtaining insert classification from a control system of
the document processing equipment or a second sensor with imaging,
optical character recognition or barcode reading capability.
16. The method according to claim 14, wherein the storing step
includes storing the address and/or addressee data, stock
identification data and insert classification data in a data
storage medium and file structure capable of storing searchable
data accessible locally or over WAN.
17. The method according to claim 14, further comprising a step of
delivering the mailpieces to the address and/or addressee listed on
each respective mailpiece.
18. The method according to claim 14, wherein the plurality of
inserts are selected from redeemable coupons, credit cards or
driver's licenses.
19. The method according to claim 14, wherein the document
processing equipment is an inserter, scanner, copier, facsimile
device, or kiosk.
20. A method of authenticating a mailpiece insert printed on
identifiable stock, the method comprising steps of: obtaining stock
identification data from the mailpiece insert; comparing the stock
identification data with associated stock identification data
stored in a database; gathering address and/or addressee data
stored in the database based on a result of the comparing step;
acquiring insert classification data associated with the plurality
of mailpieces from the database; and compiling a report associating
the insert classification data with the obtained address and/or
addressee data.
21. The method of claim 20, wherein the compiling step includes
compiling a marketing report including marketing information
regarding the address and/or addressee.
22. The method according to claim 20, wherein the obtaining step
includes obtaining the stock identification data by way of a sensor
selected from a coherent light beam interrogator, a RFID
interrogator/analysis tool, or a high magnification imaging
system.
23. The method according to claim 20, wherein the obtaining step
includes obtaining stock identification data selected from embedded
conductor or semiconductor devices, material deposited or printed
on the document, or fibers embedded in the document.
Description
RELATED APPLICATIONS
[0001] This application claims the benefit of U.S. Provisional
Application No. 60/980,621, filed Oct. 17, 2007 entitled "Method
and Programmable Product for Unique Document Identification Using
Stock and Content," U.S. Provisional Application No. 60/908,000,
filed Apr. 26, 2007 entitled "Apparatus, Method and Program Product
for Identification of a Document with Feature Analysis" and U.S.
Provisional Application No. 60/951,640, filed Jul. 24, 2007
entitled "Document Processing System Control Using Document Feature
Analysis for Identification", the disclosures of which also are
entirely incorporated herein by reference.
TECHNICAL FIELD
[0002] The present subject matter relates to a method for
authentication and tracking of documents. More specifically the
present subject matter relates to authenticating and tracking of a
document throughout its lifecycle without reliance upon or
requirement for any unique identification characters, barcodes
and/or objects that were added to the document specifically for the
purpose of identification.
BACKGROUND
[0003] The need to have technology for authentication and tracking
of a paper document is becoming a higher priority as security
issues abound and technology improves in areas that enhance the
ability of criminals to make high quality forgeries. Numerous
techniques have been employed to authenticate a document such as
barcodes, water marks, holographic images, or embossed or raised
seals. These techniques do not easily offer a different value for
each document or each page of a multiple page document and are more
easily defeated.
[0004] Radio frequency identification (RFID) technology, other
inhomogeneous media capable of being interrogated by way of
detecting optical scattering from the material, or optical scanners
capable of detecting paper fiber orientation can yield arbitrarily
random results that are extremely improbable to be repeated. RFID
is a broad field of technology covering material or devices that
respond to radio frequency illumination. These devices may include
but are not limited to active devices that radiate a result when
interrogated or passive devices that re-radiate a result when
illuminated, wherein the passive devices may include but are not
limited to semiconductor devices, material deposited on a
substrate, printed material or fibers contained in the paper. For
instance, paper stock may be embedded accordingly with RFID fibers
for unique identification purposes. However, the identification of
the paper stock as originated from an authenticated source is
insufficient to validate a document as the original if the actual
content to be marked upon the document is not known. An example is
the fraudulent activity known as check washing, wherein a check
marked by a remitter with valid amount payable data is washed off
using chemical ink removal techniques; the valid amount payable
data being subsequently replaced with higher (fraudulent) amount
payable data. Even a check having an assigned RFID signature would
not be protected against instances wherein the hardcopy document is
indeed authentic, but the original content data as marked thereon
is not.
[0005] Thus, there is a need in the existing art for improved
methods for maintaining secure tracking and authentication of
documents.
SUMMARY
[0006] The teachings herein alleviate one or more of the above
noted problems with document security and tracking and
authentication of documents.
[0007] One object of the present subject matter is to provide a
method of preparing a document for later authentication. The
document is printed on identifiable stock. The method includes
acquiring stock identification data from a printed hardcopy of the
document by a first sensor coupled with document processing
equipment. Content data is obtained for the document and associated
with the stock identification data. The content data and stock
identification data is stored in a database.
[0008] Another object of the present subject matter is to provide a
method of authenticating a document printed on identifiable stock.
The method includes acquiring stock identification data from a
printed hardcopy of the document by a first sensor coupled with
document processing equipment. Content data is obtained from an
image of the printed hardcopy of the document by a second sensor
coupled with the document processing equipment. The content data
and stock identification data are compared with associated content
data and stock identification data stored in a database. An
authentication result is returned indicating whether or not the
content data and stock identification data matches with the stored
content data and stock identification data in the database.
[0009] Yet another object is to provide a method of generating a
plurality of mailpieces containing inserts on document processing
equipment for later authentication of the inserts. The method
includes associating addressee and/or address data with each of a
plurality of inserts printed on identifiable stock. Stock
identification data is acquired from each of the plurality of
inserts with a sensor. Insert classification data is obtained for
the plurality of inserts. The associated address and/or addressee
data, acquired stock identification data and obtained insert
classification data are stored in a database. The mailpieces
containing the insert are generated on the document processing
equipment.
[0010] Still yet another object of the present subject matter is to
provide a method of authenticating a mailpiece insert printed on
identifiable stock. The method includes obtaining stock
identification data from the mailpiece insert. The stock
identification data is compared with associated stock
identification data stored in a database. Address and/or addressee
data stored in the database is gathered based on a result of the
comparing step. Insert classification data associated with the
plurality of mailpieces is acquired from the database. A report
associating the insert classification data with the obtained
address and/or addressee data is generated.
[0011] Additional advantages and novel features will be set forth
in part in the description which follows, and in part will become
apparent to those skilled in the art upon examination of the
following and the accompanying drawings or may be learned by
production or operation of the examples. The advantages of the
present teachings may be realized and attained by practice or use
of various aspects of the methodologies, instrumentalities and
combinations set forth in the detailed examples discussed
below.
BRIEF DESCRIPTION OF THE DRAWINGS
[0012] The drawing figures depict one or more implementations in
accord with the present teachings, by way of example only, not by
way of limitation. In the figures, like reference numerals refer to
the same or similar elements.
[0013] FIG. 1 Exemplary diagram for collecting document ID data at
the point of origin.
[0014] FIG. 2 Exemplary diagram for authenticating a document when
it is subsequently observed.
[0015] FIGS. 3a and 3b Exemplary flow diagrams for document data
collection and document authentication respectively.
[0016] FIG. 4 Exemplary diagram for preparing mail pieces that
contain identifiable paper stock such as a coupon or plastic card
and creating a mailpiece.
[0017] FIG. 5 Exemplary diagram for processing inserts with stock
ID and tracking the addressee that received the items.
[0018] FIG. 6 Exemplary flow chart of tracking inserts with stock
ID.
DETAILED DESCRIPTION
[0019] In the following detailed description, numerous specific
details are set forth by way of examples in order to provide a
thorough understanding of the relevant teachings. However, it
should be apparent to those skilled in the art that the present
teachings may be practiced without such details. In other
instances, well known methods, procedures, components, and
circuitry have been described at a relatively high-level, without
detail, in order to avoid unnecessarily obscuring aspects of the
present teachings.
[0020] Reference now is made in detail to the examples illustrated
in the accompanying drawings and discussed below. FIG. 1
illustrates the start of the authenticated high value document
creation process 100. All of the documents are printed 105 on paper
stock that can be uniquely identified using sensors and analysis
tools of various types 122 such an RFID interrogator/analysis tool
capable of detecting and analyzing embedded conductors, using an
inhomogeneous media which is interrogated by a coherent light beam
or high magnification imaging capable of recognizing paper fibers.
RFID is a broad field of technology covering material or devices
that respond to radio frequency illumination. These devices may
include but are not limited to active devices that radiate a result
when interrogated or passive devices that re-radiate a result when
illuminated, wherein the passive devices may include but are not
limited to semiconductor devices, material deposited on a
substrate, printed material or fibers contained in the paper. The
completed high value document 118 can be any of numerous types such
as certificate 110, and contract 112, a check 114 or a coupon 116.
If the printed content is not known from step 100, an imaging
sensor 120 coupled with an extractor module 140 is used to capture
an image of and subsequently interpret the contents of the printed
material using standard or advanced OCR technology. Concurrently,
the paper stock identification is read using the stock ID sensors
122 (e.g., RFID analysis tool). Sensors 120 and 122 are integrated
into a document processor including, but not limited to, a scanner
or copier. Other document processing devices are contemplated and
readily understood by those skilled in the art. The output of the
extractor module 140 is information about the content of the
document 132 and its stock ID 130. This information is sent to the
central data warehouse management system 145 where it is combined
with metadata about the document 134. The metadata typically
contains information about the document such as when it was created
and what type of document was created (a will, deed, stock,
mortgage). If the printed content is known and is transferred to
the central data warehouse management system 145, this data may be
used instead of the OCR data 132. The process is not dependent on
the data transfer 134 from the document generation system 100, but
added metadata is valuable and OCR errors are eliminated. All of
the collected data 130, 132, 134 is stored in the central data
warehouse 150 for later use during the authentication process shown
in FIG. 2.
[0021] FIG. 2 illustrates the document authentication process
starting with a document user 200 who has been presented with a
document 218 to process and authenticate. In this exemplary
example, the document 218 as received is one of the high value type
as described respective to document 118 of FIG. 1 above. When
presented with a document, the document user 200 does not know if
the document 218 presented matches the original 118 or not. With
this in mind, the document 218 is first processed by a document
processing system such as a scanner 205 that is equipped with an
imaging sensor 220 and a stock ID sensor 222. Coupled to the
extractor module 140, the stock ID sensor 222 and imaging sensor
220 process the data accordingly, to generate its unique stock ID
230 and content data 232, respectively. The central data warehouse
management system 145, which includes an identification, matching
and authentication techniques commonly used by those skilled in the
art to match data with entries in a database, such as the central
data warehouse 150 which is used to process the stock ID 230 and
content data 232 and attempt to find a match in the central data
warehouse 150. Since both the stock and content information can be
validated--as such data was placed accordingly into the database
during the time of document creation--it is possible to certify
that the document is an original and has not been modified. If
modifications to the content are detected, however, these
discrepancies will be reported to the document user 200 by way of a
user interface (not shown). If all data is confirmed, the document
user 200 may receive the authentication indication along with any
metadata 210 relevant to said document 218.
[0022] Numerous configurations are possible to accomplish the
document processing and authentication tasks described above
respective to FIGS. 1 and 2. All items and/or processes depicted in
exemplary FIGS. 1 and 2 can be located centrally (e.g., a
government office) or the items and/or processes may be distributed
across a wide geographic area (e.g., one or more of a city, state
or country). If the process is distributed, each element 100 or 200
would be connected over a WAN or a secure internet connection to a
remote central processing system running on a server and able to
handle numerous document authentication requests
simultaneously.
[0023] Also, the central data warehouse 150 as presented herein is
intended to apply to any system, source or type of electronic data
that is searchable or accessible by one or more computers and/or
computer executables, and is not intended to be limited by any
particular hardware or software implementation. The central data
warehouse 150 may be implemented in centralized or distributed
fashion (e.g., as a collection of one or more computer or server
systems in accord with various models and design methodologies for
achieving varying operational and functional purposes. Furthermore,
the central data warehouse 150 may be managed by a management
system 145, wherein various hardware, software and network system
configurations may be employed. Storage mediums upon which the
central data warehouse 150 may be implemented or maintained may
include, but are not limited to, disk storage such as DASD, RAID,
or other mediums of varying volatility. The central data warehouse
150 may be implemented upon such mediums in accord with varying
database file structures, languages or methodologies, including but
not limited to Structured Query Language (SQL), Extensible Markup
Language (XML), ordered/unordered flat files, Indexed Sequential
Access Method (ISAM), heaps, hash buckets or Quaternary trees (B+
Trees). Those skilled in the art will select the combination of
hardware and software according to their architectural
requirements.
[0024] FIGS. 3a and 3b, which highlight an example of a process
flow for document authentication, are now explained. FIG. 3a
illustrates the steps associated with collecting data associated
with a document. In step 505, a print file is generated which
contains the contents to be printed on the stock or added to
pre-printed stock as maybe the case for documents such as
certificates, deeds or other similar documents. Key document
contents are extracted from the print data and merged with
metadata. The content data alternately maybe extracted from the
source documents used to generate the print file. This information
is then printed on stock that has characteristics that enable
unique identification. An alternate approach for content extraction
is used if the data was not obtained from electronic files (step
510). If content data is not available (step 515) the document will
be imaged and the content is extracted using optical character
recognition techniques. In either case the document is scanned to
acquire the unique stock identification (step 520). The combined
data of unique stock ID 130, content data 132 and metadata 134 are
compiled by the central data warehouse management system 145 and
stored in the central data warehouse 150 for later recall for
recognition and authentication of the document (step 525).
[0025] FIG. 3b illustrates the steps associated with authenticating
a document on subsequent observation. In step 540, the
authentication job is set up using metadata such as the type of
document (deed, certificate, will or other high value documents)
and the date when the document was created. The setup needs to
collect and enter sufficient data for the central data warehouse
management system 145 to locate the correct data file that contains
the data which relates the document or group of documents to be
authenticated. Selecting the correct file depends on how the
metadata becomes available. However, if insufficient metadata is
available to identify the correct file, a broad search for the
records in the central data warehouse 150 will be done to acquire
the correct file as part of step 550 after the document is scanned.
In step 545, the document is imaged with sensor 220 and then the
image is processed to extract the content. In addition, the stock
ID sensor 222 is used to obtain the stock unique identifier. With
both the content data and the stock ID, the central data warehouse
management system will search a specific group of files, if
metadata was available or the whole central data warehouse 150 to
find a match to the document, step 550. If a match was found for
the stock identifier (step 555) and for the content (step 560), the
document can be certified as authentic (step 565). Otherwise, if
the stock identifier matches, but the content does not match the
original document, the document may have been modified and maybe a
fraud (step 575). Similarly, if the content matches, but the stock
identifier does not match, the document is a copy and, therefore,
can not be authenticated (step 575).
[0026] FIGS. 4 in association with FIG. 5 illustrate the process of
preparing mailpieces that contain identifiable paper stock, such as
a document of one or more pages, a coupon or plastic card, and for
creating a mailpiece. One objective of this process is to enable
association of a mailpiece insert 305, which may be a coupon 310,
311 or a plastic card such as a credit card 312, driver's license
313 or other high value inserts, with the addressee and/or address
on the mailpiece. The process allows for the association of the
addressee and/or address with the insert 305 FIG. 5 when it is
present for use. For example, this includes authenticating the name
and address on a driver's license 313 or authenticating the name on
a credit card 312. Both authentications are performed by scanning
the stock ID of the presented item against data in the central data
warehouse 150. If a match is found between the stock ID and the
database, metadata can be retrieved containing such items as name,
address, security questions, DOB and other information that those
skilled in the art deem useful. Another objective is to recognize a
coupon 310, 311 based on matching the stock ID for the coupon
against the central data warehouse 150. By utilizing a central data
warehouse 150 to access the addressee and insert identification
data, based on the stock ID match, the addressee that used a coupon
can be determined at the redemption center or at the point of sale.
If data is collected at the point of sale (POS), each POS will be
connected to the central data warehouse management system so that
the stock identification can be made and collected metadata can be
returned. The resulting data can be used for marketing research and
to verify the coupon owner, the value of the coupon service, point
of sale, item purchased and any other data that those skilled in
the art may find useful for analysis. These data items maybe added
to the central data warehouse 150 as metadata for later analysis or
compiled into a separate printable report or added to separate data
structure.
[0027] The exemplary computer processing architecture of FIG. 4 can
be configured in numerous ways without affecting the concept
functionality. The key processors are the Data Center Processor 300
which is the source of print files 320 that are used to control the
document printer 322 and to provide inserter control data 301 to
the mail processing system 350 control and computer 414 of FIG. 5.
The data center processor 300 also communicates 302 with the
central data warehouse management system 145 to provide document
and insert metadata, addressee data and captured unique stock ID
130 and content data 130. Alternately, the document and insert
content data may come directly from data files in the data center
processor 300. The extractor module 140 may be a separate processor
which is used to read the content information 132 that is derived
from an imaging sensor 120 and to read the stock ID with the
appropriate sensor such as a RFID analysis tool 122. The
identification code is processed by the extractor module 140 to
produce the stock ID 130. The inserts 305, coupons 310, 311,
plastic cards 312 and driver's licenses 313 are all created by a
separate process (not shown) where information is printed on paper
stock or plastic material that can be uniquely identified by the
appropriate sensor 122. One method is to embed conductive fibers in
the material that can then be read with an RFID sensor to produce a
unique identification number or identification signature that will
not be repeated in a prescribed period of time, as defined by the
postal authority or business process. For example, value documents
may have to be unique for hundreds of years while coupons may only
require months of uniqueness. The inserter control computer 414
will control the addition of the inserts to a given document that
contains both custom printed material 330 and inserts both of which
are stuffed into the same envelope 362. Alternately, the finished
envelope 361 may contain only coupons. The net result is finished
mailpieces 360 that are provided to the postal authority for
delivery to a postal customer.
[0028] The exemplary process steps are as follows. The data center
processor 300 provides a print file 320 to the printer 322 to
control content and addressee printing. If document identification
is required the paper stock will contain unique identification
features. When the document is printed 324 imaging 120 and stock ID
122 sensors verify the printing, capture content and addressee, and
associate the printed document with its stock identification using
the extractor module 140. This data will be provided to the central
data warehouse management system 145 where it is correlated with
additional data from the mail processing system 305 which is
derived during the mailpiece production (FIG. 5). The data is
stored in the central data warehouse 150 for later reuse.
Processing steps as described herein may be adapted accordingly by
those skilled in the art.
[0029] FIG. 5 illustrates the processing steps associated with the
utilization of stock identification to track items in a mail
processing environment through a coupon redemption center. In some
cases the redemption center may not process the physical coupons,
but use a distributed process which uses point of sale devices to
recognize the coupon type and read the unique stock ID If the
document which is included in the envelope with tracked coupons or
tracked plastic cards is being tracked, a process similar to that
described for FIGS. 1 and 2 will be utilized. In a mail processing
system 350, such as an inserter, one or more analysis tools,
sensors, or a suite of various sensors/tools, depicted as 120, 122,
416, 404-404n and the like may operate upon a document being
processed. The analysis tools may be positioned inline at various
points along the inserter 350 for analyzing the documents in
real-time, or alternatively offline for post-inserter processing
analysis. For example, the analysis tools 120, 122, 416 and
404-404n are high speed imaging devices (e.g., readers, cameras,
etc.) for acquiring and/or interpreting the content markings that
appear on a scanned document and high speed paper stock or plastic
card stock identification sensors. Coupled to the inserter 350 is a
control computer 414, which may provide a user interface that
enables an operator of the inserter 350 to interact with inserter
control software that runs the inserter. Alternatively, the
inserter control computer 414 may also be coupled to an extractor
module 140, which may be further coupled to additional analysis
tools--i.e., high resolution cameras and radio frequency analysis
devices 120, 122, 416, 404-404n--for detecting stock data
respective to hardcopy documents being processed. Those skilled in
the art will recognize of course, that various implementations may
be employed other than that depicted herein. It should be noted
that the inserter computer 414 is typically in control of all
elements of the inserter 350 so that assembly of the finished
mailpiece 360 is correctly preformed and each step is verified as
it is accomplished. The inserter control computer 414 tracks the
location of all the material that is being assembled to form a
mailpiece 361, 362. As a result the components of the mailpiece can
be tracked to the address and addressee and associated with the
insert type that was added to a mailpiece by each insert feeder
402-402n. The stock ID detectors (scanners) 404-404n obtain the
stock ID for each insert as it is added to the material being
assembled for a mailpiece. The insert type, stock ID and addressee
and/or address are collect with the inserter control computer 414,
the extractor module 140 and transferred to the central data
warehouse management system 145 for storage in the central data
warehouse 150.
[0030] As a first exemplary point of observation, the analysis
tool/sensing device may observe a document as it is engaged in
front-end inserter processing activities. Such activities may
include loading the printed material 330 into the document input
section 400 of the inserter 350, wherein the printed material may
be cut or folded accordingly to construct a document of desired
size. Generally, the roll of paper is printed in advance by one or
more printer modules (not shown) to display the various objects
and/or characters that comprise the human or machine readable
content of the document. In the case of a camera being employed as
the analysis tool 120, image data pertaining to the document may be
compiled and translated into content data by the extractor module
140. Likewise, a radio frequency analysis system (stock ID sensor
122 coupled with the extractor module 140) may be utilized
correspondingly for acquiring stock identification data. An
extractor module 140 may be integrated with and/or communicable
with the suite of analysis tools/sensors 120 and 122. As before,
stock and content data may be persistently stored by the extractor
module 140 during the time of document analysis. This data is then
aggregated and packaged into a data structure, which may
subsequently be analyzed against data maintained in the central
data warehouse 150.
[0031] Also, as indicated before, various content data elements of
interest may include word count per page, tab spacing and
indentation lengths, margin lengths, number of paragraphs, number
of lines, character and/or object coordinate information, and any
other data descriptive of the physical appearance of the hardcopy
document. Fold and/or cut line location data may also be stored,
such as by determining the distance from an edge of the paper to a
point of contact with a cutter as measured from an image depicting
this point of contact. Stock data associated with the structural
composition of the document may include radio frequency data as
emitted by intentionally embedded conductive fibers which will
reradiate a unique signature when interrogated by a RFID sensor.
Alternatively, reflectance and contrast data, paper density, or
paper texture information may also be employed as stock
identification data. Also, in association with the stock and
content data, the extractor module 140 may compile metadata
information created by the imaging device 122 as it processes a
document. In particular, the metadata may include timestamp
information, machine ID, machine location components assembled into
a mailpiece, etc. By associating the metadata with the stock and
content or insert type data collected during inserter processing, a
historical account of the activities involving document or insert
is maintained.
[0032] The data collection process continues at the other analysis
points along the inserter 350, including during accumulation and
merging of the various inserts 305 with a document and envelope
insertion--as performed by the transport 401 and insert feeders
402-402n and envelope inserter 405. In the case of accumulation and
document merging and envelope insertion by the envelope feeder 418,
this involves the association of varying inserts 305 with a given
document being transported through the transport system in order to
compile a distinct mailpiece. For example, when the inserts are one
or more coupons 305, different documents intended for differing
recipients may require different coupons (i.e., target marketing).
One or more analysis tools 404-404n may be employed for performing
analysis upon documents at this stage of inserter processing. These
devices may be physically placed in proximity to the insert feeders
402-402n so as enable acquisition and/or extraction of content and
stock identification data pertinent to the inserts being merged
with an associated document. In this way, a correlation between the
document being processed plus addressee through the inserter 350
and the inserts may be achieved, which may provide further tracking
or analysis implications.
[0033] Further stock and content data may be acquired and/or
identified at the output system 406 of the inserter 350. Still
further, stock and content data may be extracted by the extractor
module 140 at the point of processing by other devices 408,
including those for applying postage marks, printer marks, address
data, labels or other physical manipulations to the hardcopy
document. In the case where the mailpiece will contain only coupons
361, the address is printed at section 408 in the inserter. The
address and addressee are associated with the insert 305 stock
identifications for the items in the envelope. Inline devices may
include, but are not limited to, postage meter systems, postage
application devices, printers, or labelers. In some instances,
these other inline devices may be designated as an analysis tool,
and thus may be integrated with an extractor module 140 for
enabling the generation of stock and content data. For example, a
postage meter enabled with a sensor 120, 122 connected to the
extractor module 140 could record postage affixed data as applied
to a document as stock and content data. Doing so creates an
additional audit trail that could be useful for the user/operator
or postal authority in reconciling postage payment discrepancies.
Such content and or stock data may be acquired through usage of a
sensor or sensor suite 416 placed in proximity to said inline
processing devices, which are themselves generally positioned prior
to entry of the finished mailpieces 360 into the envelope stacker
412.
[0034] Tracking of documents from printed stock 330 and inserts 305
into a specific envelope with a known addressee and address is
required for accurate performance of the concept. This function is
performed with the inserter control computer 414 in conjunction
with the inserter control file 301 which specifies how the
mailpiece is to be assembled. A document is identified by sensors
120 and 122 when it is received in the documents input section 401
and then tracked through each step of the insertion process. When
the document reaches the first insert feeder 402, the inserter
control computer 414 will determine if that insert is required. If
it is required the sensor 404 will read the stock ID and associate
it with the known contents of that insert feeder. This data is
appended to the document data of address and addressee plus
metadata if available. This process is repeated at each insert
feeder until the last feeder is reached 402n. Therefore, when the
documents and inserts reach the envelope inserter 405, the exact
contents is known plus the stock ID for each item contained in the
envelope. The resulting data file is sent to the central data
warehouse management system 145 from a combination of the extractor
module 140, inserter control computer 414 and the data center
processor 300 as dictated by the specific design. The data is
stored in the central data warehouse 150 for later usage.
[0035] Alternately, if only coupons are being inserted into an
envelope, the document input section 400 is not required. The
inserter control computer 414 will track each insert that is added
to a group of inserts as the groups are moved through the transport
401. Hence, when the group reaches the envelope inserter 405, the
contents of each coupon is known along with its stock
identification that was read by each detector 404 through 404n.
Since the address and addressee is not yet associated with the
envelope, tracking of the envelope with its known contents must
continue until the address and addressee are printed on the
envelope at section 408. Alternate configurations of the mail
processing system 350 are common such as replacing the envelope
feeder 418 and envelope inserter 405 with a warping system that
manufactures the envelope during production. At this point all
information is known and transferred to the central data warehouse
150.
[0036] Attention is now directed towards the central data warehouse
management system 145. Once the final document is complete--i.e.,
the coupons 361 are assembled for delivery or an envelope 362
containing a document and inserts--it is ready for distribution to
the intended recipient or customer 420. When the customer utilizes
the coupons 305R at a participating store 425, the coupon is
collected at the store, and further redeemed via a redemption
center 430. The redemption center 430 may use a distributed process
to collect redemption data at the store 425 using a POS device 426
equipped with a stock ID sensor 122. A coupon identification sensor
also is required which may include an imaging system or a barcode
reader. This approach allows for collection of additional data in
regard to the sale and saves the effort of sending the coupon to
the redemption center. As an added feature, coupon reuse can be
prevented by not allowing a coupon to be reused once the stock ID
has been associated with redemption. The redemption center may be
equipped with the same types of analysis tools for acquiring stock
and content data as described above. Hence, the stock and content
data is stored as a data structure by an extractor module 140
operable in connection with the redemption center 430. This data is
then transmitted to the central data warehouse management system
145 (e.g., internal or external transmission).
[0037] The central data warehouse management system 145 extracts
the data populating each field of the data structure, performs any
decomposition/formatting of the data if required, then checks the
central data warehouse 150 to determine if it matches any existing
stock and content data. The match determination process, as
recognized by those skilled in the art, may be executed using
varying types of matching algorithms and/or logical instructions.
Furthermore, the match determination process may be performed in
accord with match sensitivity settings so as to enable
high-confidence or threshold based (e.g., specified percentage
match) evaluation of the stock and content data against data within
the minutiae database. For example, if the match
threshold/sensitivity is set to 75%, then a stock and content data
set matching less than 75% of any other data sets within the
database would be considered a non-match. Suffice to say, any
effective or known means of match determination processing is
within the scope of the teachings herein.
[0038] In transmitting the stock and content data to the central
data warehouse management system 145, it may be compared to
determine if it matches any existing stock and content data
previously associated with the document via a document
identification value. If a match is determined, an identification
alert may be transmitted to the error tracking or fraud prevention
group of the redemption center 430. Additionally, the data on
record may be updated to include additional stock and content data
not previously identified (e.g., a pen mark applied by the
recipient to the physical document 502), as well as the updating of
any metadata (e.g., time stamp data, analysis tool ID data,
recipient ID data). The central data warehouse may be implemented
via a server, wherein all document identification values and their
associated stock and content data and/or metadata information is
stored.
[0039] Referring now to FIG. 6 which is an exemplary flow cart of a
coupon redemption system where coupons are assembled into the
mailpiece 361. The document processing system inserting device is
initially setup with the data and material needed for operation in
step 605. The coupons are loaded into their respective feeders and
address data to be printed on the envelopes is loaded into the
printer. The coupons maybe loaded as packages of pre-processed
groups and fed as a group into the inserting device. In this case,
each group is identical and the stock ID for each coupon is
pre-scanned. The necessary data file also is provided as part of
setup. During the inserter production run (step 610), the mailpiece
content of coupons is assembled from the pre-processed groups, if
used, and from the insert feeders 420-402n. All feeders can add a
coupon to each mailpiece or only selected feeders can be used
depending on the inserter control file instructions. The stock ID
detectors 404-404n are used to record the stock ID of each coupon
as it is fed. The inserter control computer 414 tracks each group
of coupons as it moves through the inserting device. A temporary
document ID is often created to aid in association of the data with
each group of coupons that are being created. In step 615, coupons
are inserted into an envelope and the addressee and address are
printed on the envelope. The temporary mailpiece ID is used to aid
in the data association with the list of coupon types and stock IDs
plus address and/or addressee information. Having both address and
addressee data is the most useful for the eventual market data
compilation, but in some instances, the addressee is often
identified only as "resident". In this case the address is the
primary means of identification of the coupon user. The complete
data for each mailpiece is transferred to the central data
warehouse management system 145 for storage. The mailpiece is then
delivered by the postal service (step 620).
[0040] Continuing with FIG. 6, a customer receives the mailpiece
and selects coupons to redeem at the store 425 (step 625). If the
store does not have a point of sale terminal which is equipped to
identify the coupon type, i.e. read the coupon barcode, and read
the coupon stock ID (step 630), the coupon must be forwarded to the
redemption center, step 645. If the POS is equipped with the
necessary scanners, the coupon type and stock ID can be read and
the data associated with the sale also can be recorded at the store
(step 635). A coupon validity check can be made to see if the
coupon has already been used for redemption. The data associated
with the transaction is compiled and transferred to the redemption
center (step 640). In the case where the coupons are received at
the redemption center 420, the coupon type, stock ID and validity
must be checked (step 650). Finally, the coupon type and stock ID
data are used to obtain a match with the stored data in the central
data warehouse by matching systems in the central data warehouse
management system 145. When a match occurs the addressee and/or
address data can be associated with the coupon data and POS data to
build a product marketing profile of the person and/or persons at
the residence (step 655).
[0041] Data processing--i.e., stock and content data or metadata
collection--is performed by an extractor module 140, an executable
module integrated with and/or communicable with a process, device
or utility (e.g., software, hardware, or firmware processes or
tools) capable of operating upon a hardcopy document. The extractor
module 140 operates to extract stock and/or content data made
available by hardcopy documents. Moreover, the extractor module 140
is deployable for independent operation upon or integration with
the various devices or utilities usable for analysis of hardcopy
documents. In this way, a plurality of extractor modules may relay
information to each other if necessary and/or communicate with a
central data warehouse management system 145. In addition, the
extractor module 140 may also communicate with the particular
device, tool (e.g., software) or process it is operating in
association, i.e., to provide tracking information or ID
notification data.
[0042] The central data warehouse management system 145 is a device
(e.g., server), executable module or process that analyzes document
stock and content data provided by an extractor module 140 in the
form of a data structure. In other instances, the central data
warehouse management system 145 communicates relevant information
pertaining to a document to the extractor module 140. In general,
the central data warehouse management system 145 processes the
various fields of the data structure in order to access the data
contents therein, and then executes a comparison of the document
stock and content data received against existing document stock and
content data stored to a central data warehouse 150 to determine if
it is associated with a particular document identification value.
Suffice to say, when and extractor module 140 is integrated with a
document processing medium (e.g., a printer, document authoring
software, high-speed inserter device), printstream management
medium (e.g., printstream creation software) or analysis tool
(e.g., imaging device, spectrometer) that operates upon the
document, the extractor module 140 may access key information
representative of the unique elements and features of the
document.
[0043] When documents such as the stock certificate 110 are printed
from a computing device 100 by a printing device 105, various types
of analysis tools may be employed for processing the document to
obtain unique stock and content data. As a first type of analysis,
a high resolution imaging device and integrated radio frequency
analysis tool 122 may be used to perform stock analysis 216 of the
printed document. The stock analysis may include analysis of the
fiber structure in high fiber content paper, analysis of the paper
density that naturally occurs when the paper pulp is compressed, or
analysis of paper textual features that may be intentionally
introduced into the paper such as RFID (radio frequency identifier)
fibers. In performing the analysis, the entire document may be
analyzed, or alternatively, a specific region-of-interest of the
document may be analyzed.
[0044] The latter increases the speed and efficiency of the
analysis process, while the former increases the number of unique
stock data points capable of being generated. However, those
skilled in the art will appreciate that from an internal
microscopic level of perception, even two documents appearing
identical physically (e.g., same content, layout, formatting,
typesetting) will differ greatly structurally even if compared
against one another at a limited region-of-interest. As such, the
analysis tool need only observe a limited sample of the
document--i.e., analyze the rightmost bottom region of the document
to within a rectangular region of 0.25.times.0.25 inches.
Alternatively, the region-of-interest need not be symmetrical, but
rather asymmetrical (e.g., a region enclosed by a freeform object)
as defined by the operator of the analysis tool. In either way,
restricting the fiber composition analysis to a smaller defined
region-of-interest greatly increases the rate of processing of
documents for performing such analysis, and enables feasibility of
implementation within residential, commercial and industrial
settings.
[0045] Another type of analysis of the document 118, 218 for
collecting content data may be conducted using an imaging device
120. Exemplary imaging devices 120 for collecting content data may
include, but are not limited to, scanners, optical readers,
cameras, copy machines, fax machines, etc. An image of the hardcopy
document may be analyzed using resolution imaging and magnification
techniques to reveal unique content data points characteristic of
the original document 118, as depicted with respect to the
composite image. Document content data collected by the extractor
module 140 operating in association with the imaging device 120 may
include, but is not limited to: word count per page or per the
entire document, tab spacing and indentation lengths, margin
lengths, paragraph numbers, header/footer locations, image
locations, line numbers, line spacing, character and/or font
spacing, number of characters with and without spaces, textual
color properties, text string and character coordinate information,
paper stock, paper type/dimensions, and other such data descriptive
of the physical characteristics of the various objects and/or
characters that appear on the hardcopy document. Also, in
association with the document stock and content data, the extractor
module 140 may compile metadata information created by the imaging
device as it processes the document 218. As will be apparent to
those skilled in the art, the stock and content data collected by
imaging the hardcopy document to much an extent mirrors the stock
and content data collected. It will be seen later on that this is
an intentional feature of the present example, for enabling
advanced tracking and linking of the hardcopy version of a document
to its original electronic representation or representation derived
from and image and history data (via the assigned document
identification value).
[0046] Those skilled in the art will recognize that various other
tools not expressly presented herein may also be utilized during
the first observation stock and content collection phase 52 for
characterizing the physical and structural qualities of the
document. For example, OCR technology may be employed for
interpreting the plurality of markings resident upon a document,
where the results of the interpretation may be further employed as
stock and content data. Such analysis may be employed on a
case-by-case basis, however, given that no single marking is
sufficient in and of itself to uniquely identify a document from
amongst a myriad of possibilities. The interpretation of a single
element of content (e.g., words, text strings, barcodes) of a
document does very little to enable one to identify a specific
instance of a document against even numerous photocopied versions
thereof having the same identical content. Indeed, practitioners of
the art may employ their own suite of sensors or analysis tools for
processing of documents in accordance with their own
requirements.
[0047] In an effort to further enhance data processing rates for
the above described analysis tools select stock and content data of
interest need only be stored into the data structure 224. In
particular, only the stock and content data most pertinent to
characterizing the physical (e.g., text coordinates, word counts)
and structural composition of the document (e.g.,
microscopic/macroscopic, fiber, chemical) within the
region-of-interest need be compiled. Of course, the number of data
points, measurements or calculations retained as stock and content
data may be customized to fit specific processing environments,
organizational capabilities or user needs. In this way, the
analysis tools may be adapted accordingly to ensure higher scan
rates, sampling speeds, timing settings, and signal processing for
analysis of the samples under analysis.
[0048] The data structure for aggregating the stock and content
data may then be communicated via a network connection to the
document minutiae processing module (not shown), which may reside
locally in proximity to the analysis tool via a local server or at
a remote server or location.
[0049] In the illustrated examples, computers or servers such as
145, 140, 300 are intended to represent a general class of data
processing device commonly used to run programming. Such a device
typically utilizes general purpose computer hardware to perform its
respective server processing and to control the attendant
communications via the network(s). Each such server, for example,
includes a data communication interface for packet data
communication. The server also includes a central processing unit
(CPU), in the form of one or more processors, for executing program
instructions. The server platform typically includes program
storage and data storage for various data files to be processed
and/or communicated by the server, although the server often
receives programming and data via network communications. The
hardware elements, operating systems and programming languages of
such servers are conventional in nature, and it is presumed that
those skilled in the art are adequately familiar therewith.
[0050] In the illustrated examples, user terminal devices are
generally illustrated as personal computers (PCs) or the like. Such
devices are intended to represent a general class of data
processing device commonly used to run client software and various
end-user applications. The hardware of such personal computer
platforms typically is general purpose in nature, albeit with an
appropriate network connection for communication via the intranet,
the Internet and/or other data networks. As known in the data
processing and communications arts, each such general-purpose
personal computer typically comprises a central processor, an
internal communication bus, various types of memory (RAM, ROM,
EEPROM, cache memory, etc.), disk drives or other code and data
storage systems, and one or more network interface cards or ports
for communication purposes. Of course, a personal computer or other
end user data device will also have or be coupled to a display and
one or more user input devices such as alphanumeric and other keys
of a keyboard, a mouse, a trackball, etc. The display and user
input element(s) together form a user interface, for interactive
control of the computer and through the computer to control other
mail processing operations. These user interface elements may be
locally coupled to the computer, for example in a workstation
configuration, or the user interface elements may be remote from
the computer and communicate therewith via a network. The hardware
elements, operating systems and programming languages of such end
user data devices are conventional in nature, and it is presumed
that those skilled in the art are adequately familiar
therewith.
[0051] Aspects of the methods outlined above may be embodied in
software, e.g. in the form of program code executable by the or
other programmable device. Such software typically is carried on or
otherwise embodied in a medium or media. Terms such as
"machine-readable medium" and "computer-readable medium" as used
herein generically refer to any medium that participates in
providing instructions and/or data to a programmable processor,
such as the CPU of a server or end user data device or in any of
the computers controlling various mail processing equipment, for
execution or other processing. Such a medium may take many forms,
including but not limited to, non-volatile storage media, volatile
storage media, and transmission media. Non-volatile storage media
include, for example, optical or magnetic disks. Volatile storage
media include dynamic memory, such as main memory or cache.
Physical transmission media include coaxial cables; copper wire and
fiber optics, including wired and wireless links of a network and
the wires that comprise a bus within a computer or the like.
Transmission media, however, can also take the form of electric or
electromagnetic signals, or acoustic or light waves such as those
generated during optical, radio frequency (RF) and infrared (IR)
data communications. Hence, common forms of machine-readable media
include, for example, a floppy disk, a flexible disk, a hard disk,
a magnetic tape, any other magnetic medium, a CD or CDROM, a DVD or
DVD-ROM, any other optical medium, punch cards, paper tape, any
other physical medium with patterns of holes, a RAM, a PROM, an
EPROM, a FLASH-EPROM, a cache memory, any other memory chip or
cartridge, a carrier wave transporting data or instructions,
physical links bearing such a carrier wave, or any other medium
from which a computer or the like can read in order to read or
recover carried information.
[0052] Various forms of machine-readable media may be involved in
carrying one or more sequences of one or more instructions to a
processor for execution. For example, all or portions of the
software may at times be communicated through the Internet, an
Intranet, a wireless data communication network, or various other
telecommunication networks. Such communications, for example may
serve to load the software from another computer (not shown) into
the server or other platform(s) that serve as the data engine.
[0053] While the foregoing has described what are considered to be
the best mode and/or other examples, it is understood that various
modifications may be made therein and that the subject matter
disclosed herein may be implemented in various forms and examples,
and that the teachings may be applied in numerous applications,
only some of which have been described herein. It is intended by
the following claims to claim any and all applications,
modifications and variations that fall within the true scope of the
present teachings.
* * * * *