New Digital Anti-Copy/Scan and Verification Technologies

George K. Phillips Verify First Technologies, P.O. Box 7001, Paso Robles, CA 93447 USA
ABSTRACT
This white paper reviews the method for making bearer printed information indistinguishable on a noncopyable substrate when a copied attempt is made on either a analog or digital electrostatic photocopier device. In 1995 we received patent number 5,704,651 for a non-copyable technology trademarked MetallicSafe. In this patent the abstract describes the usage of a reflective layer, formed on a complex pattern region and having graphic or font size shapes and type coordinating to particular patterns in the complex pattern region. The technology used in this patent has now been improved and evolved to new methods of creating a non-copyable substrate trademarked CopySafe+. CopySafe+ is formed of a metallic specular light reflector, a white camouflaged diffused light reflector, and the content information light absorption layer. The synthesizing of these layers on a substrate creates dynamic camouflaged interference patterns and the phenomena of image chaos on a copy. In short, the orientation of a plurality of spectral and diffused light reflection camouflaged layers, mixed and coordinated with light absorption printed information, inhibits the copying device from reproducing the printed content. Keywords: CopySafe+, Specular Light, Diffuse Light, Spectral Absorption, Dynamic Camouflage, Incident Ray, Reflective Layer, Copy Evident, Non Copyable.

1. HISTORY OF COPY EVIDENT PRINTING TECHNIQUES

Unauthorized copying of sensitive information has occurred since man has been storing and tracking information on documents. Combating document fraud and especially protecting printed content is a multidisciplinary and international concern. The constant improvement of modern scanners with digital means of signal processing and color copiers has made it economically feasible to reproduce almost perfect looking reproductions of currency and fraudulent travel documents. 1 This same technology is now used every day to easily copy printed information for nefarious reasons. Many different security printing techniques have been developed to alert a casual observer of a copy attempt at the time of general inspection. We refer to these technologies in general terms as copy evident because the photocopy is produced with a warning message. While these copy evident techniques might provide some level of warning on a copy, they do not however stop a criminal from identifying, copying and sharing valuable private information. The first copy evident printing features were developed and patented in the 1970s by the Burroughs Corporation in an effort to add protection against analog photocopying. Todays improved digital photocopy equipment, particularly high resolution 600 x 600 dpi digital color photocopy equipment, as well as desktop publishing and digital scanning, has provided the unscrupulous with the means for unauthorized duplication of original documents for the purpose of passing them off, with or without alterations, as the original document. The quality of the reproductions obtainable through these means is so good that it is difficult to distinguish original copies from color reproductions. Even if the duplication is not exact, the reproduction often appears authentic in the absence of the original for comparison. This problem is well known to the issuers of such original documentation and considerable attention has been given to find improved ways and means to prevent unauthorized duplication of such documents by modern photocopiers or other electronic methods. Since the first Burroughs copy evident patents, many improved printing techniques were developed to help protect against improper reproduction of original documents. These techniques were based on the phenomenon that photographic copiers have an element value (sometimes referred to as element or
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resolution frequency) threshold above which the photocopier is unable to distinguish the individual elements of the pattern of halftone printing. In general, a pattern with a low line screen frequency value of large sized elements is more easily reproducible than a pattern with a high line screen frequency value of small sized elements. In accordance with these techniques, a hidden warning message, such as VOID or COPY, is printed in a halftone within a halftone background on a substrate. The line screen value of the hidden warning message is selected; such that the elements of the hidden warning message are reproduced when photocopied. The line screen value of the background, however, is selected, such that the elements of the background are much smaller and would not easily reproduce when photocopied. As a result, and in theory, the hidden warning message will appear on duplicates of the original document made by photocopying. This method is also sometimes used by reversing the screen values of the hidden warning message and the background, such that the elements of the hidden warning message are not reproduced, and the elements of the background are reproduced when photocopied or scanned. In addition to selecting differing line screen frequency values for the hidden warning message and the background pattern to allow them to be used to prevent duplication, it is also known to select differing tonal screen values (i.e., the percentage of element size and thus the amount of ink coverage), so that the hidden warning message more easily appears on a reproduction of the original document. Because of the disparity between the respective line screen values and respective tonal screen values of the hidden warning message and background pattern, a mere combination of these two techniques may not be effective, because the hidden warning message might normally be visible to a casual observer of the original. To minimize the visible appearance of the warning message with these combined techniques, the respective tonal screen values are selected so that they are visually more similar, and/or a camouflage pattern can be printed over, or combined with, the hidden warning message and background to help obscure the hidden warning message from a casual observer of the original document. Another copy evident printing technique was developed in the 1980s and is referred to as screen angle modulation (SAM). With this technique screen dots are replaced by minimal lines, which are printed in an orientation pattern to mis-register with the scanning frequency protocol and produce a moray pattern, which creates the hidden warning message on a copy. Increasing the disparity between the hidden warning message and background elements by overprinting a camouflaging thermochromic ink pattern has greatly improved its anti-copy capability. This technique is patented and trademarked ThermoSafe. 2 While the above techniques have provided some degree of copy-evident protection of original documents with respect to most copiers, in recent years digital scanners and color copiers continue to improve both their resolution and digital filtering capabilities substantially. These new color copiers and scanners can reproduce at a very high resolution of 600 x 1200 or higher and have made the above techniques less effective in protecting original documents. By manipulating the control and filtering settings on such devices, copies can be made of such original documents in which the hidden warning message does not readily appear on reproductions. When the contrast dark/light settings of these modern digital photocopiers is set to the different settings, or the copier is set to a built-in filter halftone setting, the resolution of the copiers is such that, depending on the effectiveness of the finished copy evident printing, it may reproduce both the lower line screen value and high tonal screen value equally. In most cases the hidden warning message does not readily appear on the reproduction of the original document, so that a casual observer of the document may not be alerted that the document in possession is not the original. A greater element disparity between the respective line screen values and tonal screen values of the hidden warning message and background pattern would allow the hidden warning message to appear on a reproduction of the original document even with the manipulation of the copier. Due to this disparity, however, most presently known camouflage techniques may not adequately suppress the visual appearance of the hidden warning message on the original document being rejected as a copy, which would not be acceptable to issuers of the original.

2. IMPROVED COPY EVIDENT PRINTING TECHNIQUE

To help overcome these problems, in 2001, we introduced a new copy-evident technology, trademarked NaNOcopy, which improves on most of the limitations of the forgoing technologies. NaNOcopy utilizes micro size nano structures to form the copy-evident warning message, which will appear on a copy of the document. For example, the nano-pattern can form either the foreground or the background of the latent message and be configured such that the foreground or background exhibits a first visual density on the original document and a second visual density greater than the first visual density on the copied document. In the preferred embodiment, the nano-structures forms a foreground of the latent warning message; and another pattern e.g., a conventional halftone or screened pattern forms the background around the latent message. The nano-pattern and the other pattern are configured, such that the foreground and background exhibit substantially similar visual densities on an original of the document and exhibit substantially different visual densities on the copied document. This can be accomplished by forming nano-structures with a plurality of adjacent elements that are configured to create digital frequency disturbances and trap printing matters such as ink or toner when electronically copied, thereby darkening the nano-pattern on the copied document. Creating digital copying frequency disturbances and trapping of the printing matter is facilitated by the structure design, modulation and miniature size of the adjacent elements, which are preferably less than two point print and most preferably, one point print or less. The modulation and plurality of adjacent elements that make up the nano-pattern can be combined into a series of nanostructures or shapes, e.g., stars, PolyGram, circles, ovals, crosses, Xs or alpha-numerical characters to produce the desired darkening effect. The series of nano-structures can either be uniformly sized or spaced, resulting in a regular nano-pattern or variably sized and spaced, resulting in an irregular nanopattern. Additionally, the variably sized and spaced nano-structures can be configured in a modulation pattern to form the variably sized and spaced nano-pattern. Using nano alpha-numerical characters also provides the security printer the ability to formulate intricate secret algorithms and/or encryptions to further enhance the documents security. This ability to use nano structures to create a secret code adds a powerful second-line verification potential. 3 (Figure 1)
Figure 1

Magnified View of Penny and NaNOcopy

3. INTRODUCTION OF NON COPYABLE SUBSTRATES

Patent number 6,171,734 Warner discloses a method of inhibiting unauthorized copying of original documents by utilizing a metallized substrate printed with a stochastic or other style screening and a matt transparent coating to protect printed information by inducing a predominately black and thus illegible copy. The security document utilizes a mirrored metallic surface for a first order diffraction phenomena and combines stochastic screening techniques to generate random interference patterns of light, which corrupt photocopying of indicia printed on the document. The stochastic or other printed screening on a metallic surface also provides a light absorption and diffraction phenomena that when printed in correct contrast and density turns a photocopy mostly black. 4 (Figure 2) We have found that the main limitation of this technology is the stochastic print must be in black ink and extremely dark to cause the copy of the printed information to be unreadable.
Figure 2

2
ORIGINAL

COLOR COPY

Examples of Original and Copy of Patent 6,171,734

Patent number 5,704,651 Phillips discloses a method of overprinting a high reflective layer in graphics or alphanumeric characters on top of a printed light absorbing pattern region of similar proportions and design to at least partially obscure the graphics or alphanumeric characters. This two layer approach utilizes a highly light absorbent print background layer combined with a highly reflecting metallic layer overprint which reflects specular light. Both the light absorbing and light reflecting layer are printed with coordinated graphics and patterns to cause a copy to obscure or become unreadable. 5 (Figures 3 and 4)

The limitation to this technology is the high cost to print or hot stamp large areas of metallic reflective patterns in the effort to camouflage and protect printed information on a full size 8-1/2 x 11 sheet. This problem can be circumvented by starting with a fully coated metallic substrate and then adding a white ink camouflaged diffusive light reflection pattern. This approach is not only more cost effective, but also creates a better copy preventable surface.
Figure 3 Figure 4

Original

Color Copy

4. INTRODUCTION TO COPYSAFE+
CopySafe+ comprises a novel method of producing a bearer printed substrate, which when copied using typical electronic reproduction devices of both specular and diffused illumination the printed information is non-recognizable. In accordance with the first aspect of our copy preventable paper, CopySafe+, a non-copyable substrate is comprised of a highly reflective metallic mirrored surfaced coating, which would spectrally reflect at least 90% of incident light rays. It is well known that the measure of the fraction of incident light that is reflected by a material is called its reflectance. Smooth or polished metals in general have high values of reflectance; polished silver for example, has a reflectance of approximately 96%. Because of the opacity and smoothness of the metallic surface, very little, if any, light is scattered and instead is specularly reflected. 6 Smooth metallic surfaces give specular reflection in which incident parallel light rays remain parallel after reflection. The incoming light ray is called the incident ray. Its direction is usually described by the angle of incidence, which is the angle that it makes with the normal or line perpendicular to the reflecting surface, at the point of reflection. The angle formed by the reflected light ray and the normal is called the angle of reflection and is equal to the angle of incidence. Furthermore, the reflected light ray is always in the same plane as the incident ray and this plane is perpendicular to the surface. (Figure 5)

Figure 5

Figure 6

Since specular illumination electrostatic copying devices work on the principle of capturing images at 0/45. degree specular light reflection, they have difficulty distinguishing a user printed image which absorbs most of the light that is reflected from a high luster metallic surface. Unfortunately, todays photocopiers and scanners can be manipulated to at least pick up partially printed images on a metallic surface. Also, the high gloss or glare provides poor contrast and contributes to eye fatigue when reading text printing. Additionally, since incident light reflects on a parallel plane, the two layered combination of a highly reflective metallic background protecting a highly absorbent image does not work well with diffused illumination electrocopy devices, which capture diffused reflected light rays. In accordance with the second aspect of CopySafe+, it is the objective with any photocopy attempt to create a light wave interference phenomena, which creates image chaos by providing a layer of a white printed diffusive reflective (light scatter) camouflage pattern. (Figure 6) The white diffusive reflective camouflage pattern serves six primary functions: 1. 2. 3. 4. 5. Causes reflected light to be diffused within the white camouflage pattern area. Diffused reflected light pattern coordinates in plurality with the metallic specular reflective light pattern to create camouflaged light wave interference patterns. Increases area of contrast for printed information. Acts as glare buffer for ease of reading. Diffusive reflective camouflage pattern geometrically and proportionately coordinates with size and angles of bearer printed information so as to completely distort and make target information unreadable.

The white diffusive background elements are arranged, such that the geometry of the reflective background elements matches the general geometry of the bear information intended to be printed and protected on the substrate. For example, if the intended bearer information comprises alphanumerical characters, the diffusive layer can be designed and printed to make the reflective elements appear as a pattern of vertical and horizontal rectilinear elements or a random pattern of alphanumerical characters. Or, if the intended bearer information is curved lines, such as those found in a geographical map, the diffusive layer can be designed and printed to make the reflective elements appear as a random pattern of curvilinear elements. Thus, the reflective elements when copied, will turn black on the document copy, making the overprinted indicia difficult to distinguish from the black image of the reflective elements, and thus unreadable, or at least difficult to read. The design and size of the reflective elements also preferably matches the size of the bearer information. For examples, the overprinted indicia has a 10 point font size, each reflective element also preferably has approximately a 10 point font size. (Figure 7) Specifically, the diffusive background pattern is formed of a plurality of diffusive elements between which a plurality of reflective elements on the reflective layer is exposed. The reflective elements geometrically and proportionately coordinate with the size and angles of the bearer information such that bearer information on a copy of the document is obliterated. (Figure 8) For example, if the bearer information comprises alphanumerical characters of 10 point font size, the visible size of the reflective elements preferably are designed to have a 10 point font size. Thus, when the original document is scanned or photocopied, the reflective background pattern will turn black on a copy of the document, such that the bearer information cannot be easily distinguished from the background.

The designed size and geometry of the diffusive elements, which coordinates in plurality with the size and geometry of the complementary reflective elements, will depend on the nature of the bearer information. For example, (Figure 7) illustrates a diffusive background pattern on which bearer information is printed. As can be seen, the diffusive background pattern comprises an alternating pattern of equally spaced horizontal and vertical rectilinear background segments. It has been found that the pattern of rectilinear background elements illustrated in (Figure 7) provides sufficient camouflage for alphanumerical characters, such as those contained in the typical bearer information, which contain many rectilinear elements. Thus, as illustrated in (Figure 8), the bearer information will not be easily distinguishable from the blackened image of the complementary reflective background elements on a photocopy.

Figure 7

Figure 8

Figures 7 and 8 - Original and Copy of Text Pattern CopySafe+

The white diffusive camouflage pattern can be printed at different densities by utilizing nano micro alphanumeric structures instead of typical printing dots. (Figures 9 and 10) This accomplishes two purposes in that it allows a range of specular light to reflect in the open areas of the alphanumeric or other micro structures and it provides a means to create custom latent algorithms and encryptions, which are nearly impossible to copy. The encrypted information can identify hidden information such as who, where, or when the noncopyable substrate was printed.
10x magnification 60x magnification

Figure 9

Figure 10

As still another example, (Figures 11 and 12) illustrate another diffusive background pattern on which bearer information is printed. The diffusive background pattern comprises a pattern of background elements that form a complementary pattern of randomly arranged curvilinear reflective elements. In this case, the bearer information exhibits a curvilinear nature. Specifically, the bearer information comprises roads on a geographical map. As a result, the curvilinear bearer information will be camouflaged by the curvilinear reflective elements. Thus, as illustrated in (Figure 12), the bearer information will not be easily distinguishable from the blackened image of the complementary reflective background elements on a photocopy.

Figure 12

Figure 11 Figures 11 and 12 Original and Copy of Map Pattern CopySafe+

5. RESULTS AND CONCLUSION

CopySafe+ is currently produced for the laser printer toner market and is adaptable to work in the ink jet market in the future. We first began testing with a lighter grade 60 lb. text sheet, but have since elected to print a heavier stock to help eliminate laser printer feeding and curling problems. The present substrate paper has a vacuum deposited aluminum surface on 80 lb. text, which is roughly 4.4 mil thick. The surface of the aluminum is coated with special primers to make the surface suitable for conventional printing operations such as UV offset, flexo and gravure. The same primer coating also facilitates laser printer toner adhesion. Additionally, the surface is treated for heat degradation caused by heat set presses and laser printers. We have tested CopySafe+ on numerous office laser printers with no adverse effects to date. Our research and development is ongoing and we expect further enhancements in the future. The main limitation of CopySafe+ is its inability to allow the easy reading of bearer printed information in direct lighting conditions. This limitation is overcome by reading in a dim, (non direct), lighting condition or simply by shading the paper. Another limitation is that there is presently no alteration protection and the toner bearer information can be removed and altered. Since CopySafe+ is not meant to be a true security paper and is only for protection of color copies and scanners, we do not see this as a major problem. In conclusion, the ultimate usefulness of CopySafe+ is to protect valuable content from being easily copied for nefarious reasons. We are reasonably confident that the particular characteristics and embodiments of CopySafe+ will do what it claims Protect Valuable Information From Easily Being Scanned or Photocopied.

6. REFERENCES
1. 2. 3. Peter W. Pfefferli Forensic Aspects of Document Counterfeit Optical Document Security Second Edition Rudolph L. Van Renesse Chapter 1 George K. Phillips Document Security System Having Thermo Activated Pantograph and Validation Mark Patents 5,873,604 and 6,665,406 George K. Phillips Combining NaNO Character Printing, Digital Watermarking and UV Coded Taggents for Optimal Machine-Readable Security Proc. SPIE Conference on Optical Security and Counterfeit Deterrence Technologies IV 23-25 January 2002, San Jose, California USA Richard D. Warner Security Printed Document to Prevent Unauthorized Copying Patent 6,171,734 George K. Phillips Method of Copy Prevention Utilizing Highly Reflective Layer Patent 5,704,651 Gary G. Field Color and Its Reproduction Graphic Arts Technical Foundation Reprinted 1992 order no. 1430 Chapters 2 and 3

4. 5. 6.