WO1998010943A1

WO1998010943A1 - Combination of protection systems for security documents

Info

Publication number: WO1998010943A1
Application number: PCT/IT1997/000226
Authority: WO
Inventors: Salvatore Polverino
Original assignee: Poligrafico Calcografia & Cartevalori S.P.A.
Priority date: 1996-09-13
Filing date: 1997-09-12
Publication date: 1998-03-19
Also published as: ATE230678T1; DE69718329D1; ITRM960199V0; AU4396897A; EP0925197A1; IT240173Y1; ITRM960199U1; ES2189976T3; EP0925197B1; DE69718329T2

Abstract

A combined protection system for documents comprising one or more protections selected among an OSI (Overt Security Image) group with apparent security images and/or a CSI (Covert Security Image) group with latent security images, wherein said OSI group comprises: (I) protection against falsifications and colour photocopies based upon adoption of printing processes that, in combination with particular patterns and engravings, utilize the light reflection phenomena to impart different evidence to different particulars of the patterns; (II) protection of the modifiable data by printing different portions of said modifiable data upon portions of the document provided with said different light reflection characteristics; and wherein said CSI group comprises: (I) drawing or embossing those portions of the document it is desired to protect from erasures, particularly those containing numeric data, according to particular patterns; (II) inserting an additional magnetically readable letter or numeral upstream of the standard magnetic band, the letter or numeral being variable according to a personalized algorithm; (III) applying a 'sympathetic' ink invisible to the naked eye, adapted to become permanently visible upon contact with particular activating materials; (IV) for documents the negotiability of which should be restrained, irreversibly removing a predetermined portion thereof.

Description

COMBINATION OF PROTECTION SYSTEMS FOR SECURITY DOCUMENTS

This invention broadly relates to security and protection systems for documents subject to counterfeiting or falsification attempts and, more particularly, it relates to a combined synergistic system which, by exploiting the combination of various protection systems, each individually valid and effective, at least to a certain extent, enables a finished product to be obtained with an absolute security level or, anyway, a security level much higher than the security level achievable as a sum of the security levels of the individual systems.

As it is known, the documents subject to falsification or counterfeiting, such as the bank cheques, the banknotes and broadly all so-called value-papers are protected against counterfeiting and falsification attempts by various systems.

Employment of watermark is one of said systems. A further system provides for incorporating metal wires with the thickness of the paper.

Usually, for instance in printing banknotes as well as bank cheques, they try to realize certain combinations of drawings or patterns as well as of particular colors, the duplication of which should be difficult and almost impossible.

The above mentioned systems are specifically aimed at preventing counterfeiting attempts, for instance the production of false banknotes.

As the requirements of modem life increase and as also the printing and duplicating techniques become more sophisticated, as well as in view of the ever developing inventiveness of the criminal underworld, it can be said that a real hurdle-race is presently being run between the civil authorities, on one side, who endeavour to organize novel and more sophisticated means and expedients to prevent counterfeitings and falsifications and the criminal underworld, on the other side, that has even more versatile and effective means available to counterweight the effects of such expedients A problem to be solved, for instance, is to prevent the amount written upon a bank cheque from being erased and/or modified.

It is an object of this invention to propose a particular set or combination of expedients that, when individually considered, exhibit a high validity, but, particularly when they are in certain manners combined together, furnish an almost absolute security level to any papers that could be subject to counterfeitings or falsifications.

This invention specifically suggests to provide the concerned documents with two protection systems: a so-called OSI (Overt Security Image) system for "apparent" protections and a so-called GSI (Covert Security Image) system for hidden protections, the details of which will now be comprehensively explained to a suitable extent so as to be comprehensible and applicable by persons skilled in the art. OSI Protections: Overt Security Images

This protection system comprehends the protection against falsifications and colour photocopies as well as the protection of the data amenable to be modified.

I. The protection against the falsification and the colour photocopies is realized, according to this invention, by adopting printing processes that, combined with particular drawings and particular etched patterns, utilize the light reflection effects in order to impart a differentiated evidence to some details of the drawing, in such a manner that, by means of small movements, a detail that initially appears to be optically positive becomes negative and vice versa.

This protection can be easily checked not only by a person skilled in the art, but also by a user having no particular training, because it is inherent in quite evident manner in the image itself.

As a matter of fact, this printing technique is quite different from the latent imaging technique as presently practiced in the value-paper field, consisting of an image hidden in the drawing (as it is implicitly comprehensible from the term "latent"), such latent image being only evidenced when it is observed under certain angles and only when it is illuminated by grazing light. In other words, the effect is hidden and it is made visible only under determined conditions, only known to persons skilled in this specific field.

The technique according to this invention can be assimilated to the technique of holograms in which the image is not hidden, but it is in any manner and under any observation angle apparent, but, when its supporting sheet is displaced, the image varies thereby exhibiting a

"holographic effect".

Such a technique can be performed by: - combining particular patterns together, so as to enhance the visible effect under any condition;

- treating the paper surface in order to increase the light reflection phenomena in such a manner as to make the inter-relationships of the patterns and of the light reflections even more evident;

- realizing patterns capable to enhance these phenomena;

- realizing in these patterns particular engravings to enhance the holographic evidence.

This technique as adopted in this invention distinguishes from the holograms which are overposed on the paper and, as such, are removable therefrom and reapplicable to another document, and it allows to obtain an effect directly incorporated with the paper itself, without any possibility that it is removed and reapplied to another document.

The above mentioned holographic effect, that is quite visible and identificable by anyone, is obtained by a printing process, namely a chalcographic printing process. It is carried out by performing engravings in the printing plates and subsequently by filling said engravings with ink, said ink being subsequently transferred to the paper by application of a very high pressure (as typically employed in chalcographic printing machines) that deforms the paper so as to force it to penetrate into the tiny engravings of the plate, with contemporaneous ink transfer. At the end of the process, the plate segments that have been filled with ink transfer the latter to the paper. These segments will have a relief that can be perceived also by the touch, provided that the engravings realized in the plate have a sufficient depth.

The behaviour of the process will be now more detailedly explained: if we consider two parallel segments, namely a set of parallel lines, a set of grooves will be observed on the plate and, consequently, upon said transfer, a set of ridges will be present on the paper, said ridges having vertical walls that are as much high as the engravings are deep. If these walls have a certain colour and the paper is of a different colour, when they are observed from above, the perceived colour is the sum of the colour of the walls (for instance, sky-blue, if a sky-blue ink has been used) and of the colour of the paper (for instance, yellow, if a yellow paper has been used), and consequently the observed colour will be green (because, in the additive colour technique, the sum of a yellow colour and of a sky-blue colour furnishes a green colour). As soon as the observation point is displaced from the vertical line on these grooves, the bottom of the grooves will be less visible and the walls will become more visible, so that in the sum of the two colours (the colour of the bottom and the colour of the walls) the relevance of the yellow colour will decrease, 5 while the relevance of the sky-blue will increase, with resulting different and varying colour. If the paper sheet is rotated in various directions, a variation of colours will be observed.

Assuming that patterns different with respect to one another are inserted, having grooves that repeatedly cross themselves and have l o varying inclinations,, then the holographic effect is assured.

Still other variations can be obtained by means of ridges of variable heights, obtained by realizing engravings of variable depths in the printing plates.

In additin, particular effects can also be obtained by treating 15 the paper bottom so as to obtain a more relevant reflection of the light, thereby making the concerned surface particularly specular with respect to the light rays, by means of printing processes.

As far as the objects of this invention are concerned, it is sufficient to specify that such kind of printing process provides for a dense 20 succession of tiny grooves that are not individually discernible and have various depths, with variously inclined flanks.

II. In the frame of the OSI protections, the protection of modifiable data, such as the serial number, according to the proposal of this invention, is obtained by causing the serial numbers, or broadly the 25 data it is desired to protect against any alteration, to be printed for one half on the positive band and for the other half on the negative band.

The printing colours as used in this invention can have a high coverage figure or can be transparent, so as to achieve the following effects. 30 A. In the case of a high coverage colour, the erasure operations turn out to be very difficult, in view of the fact that, it the colour existing between said printing grooves is to be eliminated, it is absolutely necessary to etch the paper structure, which, of course, makes the tampering visually apparent. 35 B. In the case of a penetrating colour, it can be observed that the colour penetrates to a still deeper level into said grooves, so that the erasure difficulty still increases, thereby making any tampering even more apparent.

C. In the case of transparent colours, on the opposite side, the changing effect negative-positive is enhanced and, in addition, since this effect is due to the particular shape of said tiny grooves, any erasure attempt necessarily entails a modification of the shape of these very sensitive grooves or even their complete removal: both effects are very easily perceivable with naked eyes, without any particular training or preparation. CSI PROTECTIONS: latent security imaging.

I. This protection system according to this invention provides, in the first place, for drawing according to predetermined patterns all those parts that it is desired to protect against erasures, for instance the Serial Number of bank cheques, or any writing it is desired to make alteration resistant, and like. This drawing step, which practically entails embossing of the paper, can be carried out either before or after the serial numbers have been inserted. The latter procedure is surely more effective, in view of the fact that it deforms the characters themselves of the printed serial number according to the embossing pattern. The characters become extremely difficult to be erased, because the ink is absorbed in the depth of the deformations and it becomes unreacheable not only by abrasive mechanical means, but also by chemical solvents.

II. In the second place, this protection system based upon latent images provides for inserting, upstream of the standard magnetic band of certain documents, for instance, a letter in CMC7 characters, that can be magnetically read by means of an algorithm, possibly an intelligent algorithm, previously agreed upon with the client.

This algorithm can be inserted into electronic computers and it can be varied, for instance, according to pre-established number ranges. Only by way of exemplification, the case can be mentioned of a client with whom it has been agreed to utilize a letter as suffix 13 of the serial number, according to the following scheme, that is one of the innumerable possible schemes:

1. - when the remainder of the serial number divided by 13 is 0, it is assumed that letter A is printed,

2. - when the remainder of the serial number divided by 13 is 1, it is assumed that letter F is printed, 3. - when the remainder of the serial number divided by 13 is 2, it is assumed that letter H is printed,

4. - when the remainder of the serial number divided by 13 is 3, it is assumed that letter P is printed, up to

13. - when the remainder of the serial number divided by 13 is 12, it is assumed that letter W is printed.

In a variation of this system, the above mentioned letters can also be illegible with naked eye, so that only magnetic readers can decode them. As far as documents are concerned that are passed through readers not provided with the necessary software needed for recognition of such letters, the position of the literal or numeric algorithm is such that these documents are anyway read, without interferences or noise caused by the concerned literal suffix . C. As above mentioned, the algorithm can also be intelligent and such that it can be computed only by an electronic computer and it can be changed according to ranges previously agreed directly with the interested client. One of the innumerable intelligen algorithms can be only by way of exemplification as follows: - only the odd figures are taken from the serial number, starting from the first figure that is unity (one),

- each of these figures, starting from the first one, is multiplied by each figure of a predetermined fixed number (such as 97246), namely the first figure is multiplied by 6, the second figure is multiplied by 4, the third one is multiplied by 2, and so on,

- the results are then summed together, by summing also the even figures, without performing any operation thereupon,

- whichever the resulting number is, the complement to the subsequent ten (that, of course will be a number between 0 and 9) is considered as intelligent algorithm.

D. Aiming at avoiding any problem in respect of the inter-bank agreement connected with adoption of the CMC7 standard, the approach has been adopted to eliminate the blank space existing between the serial number and the number representing the bank code and the so-called CAB code (this blank space was necessary when the above mentioned codes were applied in successive stages and, therefore, a blank space was needed to accommodate for the tolerances and for preventing the two concerned codes from being overlapped). When said codes are applied in a single stage, this blank space in no more needed, so that the serial number can be displaced rightwardly by one figure space and the control algorithm is inserted into said blank and now available space. III. Within the frame of the CSI protections, it is proposed to adopt a particular ink invisible with naked eye, which is made permanently visible upon being contacted with particular materials, for instance bleach. This system can be very useful both for checking the validity of a document, namely to ascertain that a document is not false, and for evidencing the presence of hidden information, for instance the win or an award (a kind of so-called ^ttscrape-and-win" that, in this case, becomes "smear-and-win").

IV. Still in the frame of the CSI Protections and in connection with documents the circulation of which is to be strongly restrained, for instance the negotiability of bank chaques, it is suggested to provide for irreversible removal of a portion of the document, for instance a triangle portion of the top right corner of it, as it is analogously effected in the banks in the upper left corner, to indicate that the document is no more publicly negotiable, or a suitable punching, also in this case an irreversible punching. This expedient can be complemented by adding, in the portion to be cut off or removed, a value-paper pattern having lines very difficult to be re-aligned after cutting, so as to defeat any attempt to recompose the small triangular removed portion.

The preferred embodiments of this invention have been described and a number of variations have been suggested hereinbefore, but it should expressely be understood that those skilled in the art can make other variations and changes to the details and construction particulars, without so departing from the scope of the present invention.

Claims

CLAIMS 1. A combined protection system for documents comprising one or more protections selected among an OSI (Overt Security Image) group with apparent security images and/or a CSI (Covert Security Image) group with latent security images, wherein said OSI group comprises:

I - protection against falsifications and colour photocopies based upon adoption of printing processes that, in combination with particular patterns and engravings, utilize the light reflection phenomena to impart different evidence to different particulars of the patterns, II - protection of the modifiable data by printing different portions of said modifiable data upon portions of the document provided with said different light reflection characteristics, and wherein said CSI group comprises

I - drawing or embossing those portions of the document it is desired to protect from erasures, particularly those containing numeric data, according to particular patterns,

II - inserting an additional magnetically readable letter or numeral upstream of the standard magnetic band, the letter or numeral being variable according to a personalized algorithm, III - applying a "sympathetic" ink invisible with naked eye, adapted to become permanently visible upon contact with particular activating materials,

IV - for documents the negotiability of which should be restrained, irreversibly removing a predetermined portion thereof.

2. A combined protection system for documents according to claim 1 , characterized in that said different light reflection characteristics are obtained by means of tiny surface grooves having different depths and angles, so that portions treated so as to appear to be positive, upon small movements will appear to be negative and vice versa and, globally, upon moving the paper sheet, the image will change thereby exhibiting a holographic effect.

3. A combined protection system for documents according to claims 1 and 2, characterized in that said effects are obtained by means of chalcographic printing processes.

4. A combined protection system for documents according to claims 1-3, characterized in that said modifiable data items are protected by printing a portion thereof upon a portion of the document appearing as optically positive and another portion thereof upon a portion of the document appearing as optically negative.

5. A combined protection system for documents according to claims 1-4, characterized in that the inks for printing said data are selected among high coverage power inks, high penetration power inks or transparent inks.

6. A combined protection system for documents according to claim 1 , characterized in that said numeric data protected by drawing or embossing is printed before drawing or embossing.

7. A combined protection system for documents according to claim 1 , characterized in that said numeric data protected by drawing or embossing is printed after drawing or embossing.

8. A combined protection system for documents according to claim 1, characterized in that said additional letter inserted upstream of the standard magnetic band is expressed in CMC7 characters and it is variable according to an algorithm, possibily an intelligent algorithm, previously agreed with the client.

9. A combined protection system for documents according to claim 1, characterized in that said additional letter inserted upstream of the standard magnetic band can be read only by means of magnetic readers.

10. A combined protection system for documents according to claim 1, characterized in that said irreversible negotiation restrain is obtained by removal of a comer portion of the document.

11. A combined protection system for documents according to claims 1 and 10, characterized in that also a value-paper pattern is applied in the corner portion removal area, such pattern having lines very difficult to be re-aligned, so as to defeat any attempt to recompose the removed portion.

12. A combined protection system for documents according to any one of claims 1-11, characterized in that an ink is employed that is made permanently visible only upon contact with standard chemical agents, such as bleach.

13. A combined protection system for documents according to any one of the preceding claims and substantially as hereinbefore described.