A Path to the Next Generation of U.S. Banknotes Keeping Them Real (2007) / Chapter Skim
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4 Innovative Counterfeit-Deterrent Features
4 Innovative Counterfeit-Deterrent Features
Pages 59-86
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From page 59... ...
The chapter also discusses the process used by the committee to assess the value of proposed features and to rank a subset of them for inclusion in this report. The next chapter summarizes the longer-term, disruptive feature platforms.
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From page 60... ...
Of the many potential fea ture concepts that emerged from the committee's brainstorming during the course of the study, a subset was ranked for presentation in the report by the feature assessment process described below. The features evaluated were subsequently TABLE 4-1 Summary of the Committee's Analysis of the Feature Requirements for the Deterrence of Counterfeiting, by Class of Counterfeiter Class of Counterfeiter Technology Used in Counterfeiting Deterrence Concepts Opportunist Commercial home/office digital Move beyond the reflected image: image technology transmitted light, active features, new materials and devices Petty criminal Commercial digital technology, Require expertise: features that challenge special materials and processes digital reproduction, active features, non print-based features, novel substrate Professional criminal Printing technology, special Raise the stakes: features that require materials and processes substantial investment to reproduce State-sponsored Advanced and capital-intensive Use irreversible engineering: proprietary technology, forensic features technologies, forensic features that cannot be reverse-engineered
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From page 61... ...
Handling speed is critical. Central bank machine Beyond authentication: features that provide added information as notes reader recirculate through the Federal Reserve Banks.
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From page 62... ...
First, because every selected feature was TABLE 4-3 Demonstration of the Committee's Evaluation Process for Proposed Innovative Features for Banknotes Validation Efficacy by Type of Currency User Deterrence to Counterfeiting by: Use Unassisted Use Assisted by Device or Machine Counting, Sorting, Fitness Retail Automated Cashier Cashier (point-of-sale) Cashier (point-of-sale)
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From page 63... ...
Features that did not meet this criterion were eliminated from further consideration. Features were ranked in the matrix exemplified in Table 4-3 on a continuing basis, and as feature ideas evolved, some features dropped off the list and some new features were added.
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From page 64... ...
Table 4-8 evaluates the feature concepts against the emerging digital counterfeit technologies that were discussed in Chapter 3. Box 4-2 groups the features by manufacturing technology (printed, substrate, composite additions)
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From page 65... ...
• Key Development Risks and Issues -- A discussion of the durability challenges, fea ture aesthetics, anticipated social acceptability, and description of the key technical challenges that must be addressed during the first phase of the development process to demonstrate the feasibility of the feature idea; that is, to demonstrate feature ca pabilities and determine the usefulness of the feature in counterfeit deterrence. (The development phases are defined in Chapter 6.)
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From page 66... ...
Teller (bank-level) Counting, Sorting State-Sponsored Central Bank -- General Public General Public Petty Criminal Opportunist Blind User Blind User Forensic Innovative Feature Concept Color image n n n ✔ ✔ ✔ ✔ ✔ ✔ saturation Grazing-incidence s s ✔a n n n optical patterns High-complexity s n n n ✔ ✔ spatial patterns Metameric ink s ✔b ✔ n n n ✔ ✔ ✔ ✔ ✔ patterns Nanocrystal s ✔b ✔ n n n ✔ pigments Nanoprint s s ✔c ✔ n n n n See-through s s n n ✔ registration feature Thermoresponsive optically variable s s s s n n n ✔ devices NOTE: "n" indicates features excellent in deterring simulation; "n," good in deterring simulation; "✔," easy to validate; "s," somewhat easy to validate; and "blank," no value for deterring the counterfeiter class or for authentication by user.
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From page 67... ...
Counting, Sorting State-Sponsored Central Bank -- General Public General Public Petty Criminal Opportunist Blind User Blind User Forensic Innovative Feature Concept Fiber-infused s s ✔a ✔ n n n n ✔ ✔ ✔ ✔ substrate Microperforated s s s ✔b ✔ n n n substrate Plastic substrate for low-denomination n n ✔ ✔ ✔ ✔ notes Tactile variant n n n ✔ ✔ ✔ ✔ ✔ substrate NOTE: "n" indicates features excellent in deterring simulation; "n," good in deterring simulation; "✔," easy to validate; "s," somewhat easy to validate; and "blank," no value for deterring the counterfeiter class or for authentication by user. aTransmitted feature detectable using a device that could range from an LED light source to sophisti cated but low-cost instrumentation.
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From page 68... ...
Teller (bank-level) Counting, Sorting State-Sponsored Central Bank -- General Public General Public Petty Criminal Opportunist Blind User Blind User Forensic Innovative Feature Concept Fresnel lens for microprinting s s s n n ✔ self-authentication Hybrid diffractive optically variable s s s s n n n ✔ ✔ ✔ ✔ devices Refractive s s s s n n n ✔ microoptic arrays Subwavelength s s ✔a ✔a n n n n optical devices Window s s n n n ✔ ✔ ✔ NOTE: "n" indicates features excellent in deterring simulation; "n," good in deterring simulation; "✔," easy to validate; "s," somewhat easy to validate; and "blank," no value for deterring the counterfeiter class or for authentication by user.
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From page 69... ...
This feature could be observed directly, or with the aid of a simple device such as a penlight. High-Complexity Spatial Patterns The high-complexity spatial patterns feature relies on a highly dense and specially designed printed pattern that exploits weaknesses in electronic printer capabilities that are not shared with the conventional analog printing methods currently used for currency production.
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From page 70... ...
With proper design and adequate intaglio printing quality, the analog system should be consistently able to frustrate a digital system's ability to duplicate the image. Metameric Ink Patterns Metamerism results when two colors appear to be the same when they are viewed using one wavelength (or color)
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From page 71... ...
Nanoprint Microprinting, currently printed on the FRN's paper substrate, can be viewed with a very sharp eye or modest optical aids. Nanoprint involves printed text, im ages, or regular arrays of patterns with critical dimensions in the submicron range, formed on smooth surfaces of components of the currency, such as the security strip.
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From page 72... ...
In the longer term, advances in reprographic technology may make this feature easier to duplicate. Thermoresponsive Optically Variable Devices Thermoresponsive optically variable devices use printed inks or other materials that change in appearance with temperature.
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From page 73... ...
The largest drawback with the use of an alternate substrate in U.S. banknotes is that the plastic substrate would have a tactile feel much different than the tra ditional Federal Reserve note.
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From page 74... ...
This would provide a significantly different tactile feel for use in denominating by the blind, and it would complicate the practice of bleaching low-denomination notes to produce a quality substrate for higher-denomination counterfeits. The improved durability of the plastic substrate would also provide a cost benefit, since low-denomination banknotes suffer the most user wear and have shorter lifetimes in the marketplace owing to higher usage rates in cash transactions.
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From page 75... ...
If the conversion to a plastic substrate is eventually made for low-denomination notes, that experience will provide useful information for the further assessment of converting all FRNs to the alternate substrate at some later time. In this chapter, the committee identifies some features that would be added to the current substrate to produce a hybrid substrate, such as the Fresnel lens and window.
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From page 76... ...
This feature would be difficult to simulate with high quality because of challenges presented by fabricating a sufficiently thin device and integrating it into the substrate. Hybrid Diffractive Optically Variable Devices Conventional diffractive optically variable devices, such as holograms, are in widespread use, as are nondiffractive components, such as optically variable inks.
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From page 77... ...
Note that substrate integra tion technology similar to that required to implement windows is also needed for the Fresnel lens, the hybrid diffractive, the microoptic array, and the subwavelength optical element features. It is envisioned that in the future a window could also be used as a platform for a wide variety of sophisticated features, as described in the section entitled "Anomalous Currency Space" in Chapter 5 and Appendix D
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From page 78... ...
+ ? variable devices Metameric ink patterns 0 Microperforated substrate 0 ● ● Nanocrystal pigments 0 Nanoprint + Refractive microoptic arrays + ?
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From page 79... ...
On the basis of this preliminary assessment, all of the intermediate-term fea tures that the committee has described appear to be viable candidates for further consideration, with the possible exception of the plastic substrate for the $1 FRN owing to the Federal Reserve's estimate of $100 million required for infrastruc ture changes.5 As discussed earlier in this chapter, the cost of implementing a plastic substrate may not be adequately offset by the added durability advantage and counterfeit-deterrence benefit provided by eliminating a counterfeiter's op tion of bleaching and printing a larger-denomination banknote on the lower denomination substrate. PRIORITIZATION OF INNOVATIVE FEATURES The features described in this chapter incorporate a wide range of potentially effective technologies.
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From page 80... ...
0 TABLE 4-8 Committee's Evaluation of Innovative Security Features in Deterring Digital Age Counterfeiting Advanced Advanced Scanners Potential for Attack Digital Color and Digital Imaging Through Internet Features Counterfeit-Deterrence Characteristic Printer Copier Cameras Software Information Exchange Printed Features ● ● ● ● ✖ Color image saturation Digital signature embedded in currency ● ● ✖ Grazing-incidence optical patterns Exploitation of three-dimensional nature of intaglio printing to emboss an optical feature ● ● ● ● High-complexity spatial patterns Challenge to all digitally addressable printing ● ● ● ● ✖ Metameric ink patterns Specialized printing dye mixtures yield indistinguishable visual color, yet easily differentiated with simple instrumentation ● ● ● ● ✖ Nanocrystal pigments Nanocrystals and dyes with brightness and unique colors and fluorescence ● ● ● ● Nanoprint Print smaller than any commercial printing methods ● ● ● ✖ See-through registration Taking advantage of dual-side printing at BEP ● ● ● ✖ Thermoresponsive optically Colors that change with temperature variable devices Modified Substrate Features ● ● ● Fiber-infused substrate Transmitted effect ● ● ● ● Microperforated substrate Transmitted effect ● ● ● ● Tactile variant substrate Patterned change in the feel of the surface
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From page 81... ...
The "✖" in the column "Potential for Attack Through Internet Information Exchange" indicates a vulnerability of the feature to the rapid information exchange, enabled by the Internet, of data, images, and methods of simulation.
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From page 82... ...
The committee forecasts that the improvements in digital printing technology will re quire less reliance on printed images for counterfeit deterrence and more reliance on composite features embedded in the substrate. These composite features would BOX 4-2 Groupings of Innovative Banknote Security Features by Manufacturing Technology • Printed Features -- Color Image Saturation -- Grazing-Incidence Optical Patterns -- High-Complexity Spatial Patterns -- Metameric Ink Patterns -- Nanocrystal Pigments -- Nanoprint -- See-Through Registration Feature -- Thermoresponsive Optically Variable Devices • Substrate Features -- Fiber-Infused Substrate -- Microperforated Substrate -- Plastic Substrate for Low-Denomination Notes -- Tactile Variant Substrate • Substrate Composite Additions -- Fresnel Lens for Microprinting Self-Authentication -- Hybrid Diffractive Optically Variable Devices -- Refractive Microoptic Arrays -- Subwavelength Optical Devices -- Window
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From page 83... ...
Readily identifiable features relying entirely on sensory perception are highly desired and were a significant focus of the commit BOX 4-3 Groupings of Innovative Banknote Security Features by Application • General Public Unassisted -- Fresnel Lens for Microprinting Self-Authentication -- High-Complexity Spatial Patterns -- Hybrid Diffractive Optically Variable Devices -- Plastic Substrate for Low-Denomination Notes -- Refractive Microoptic Arrays -- See-Through Registration Feature -- Tactile Variant Substrate -- Thermoresponsive Optically Variable Devices -- Window • General Public Assisted with Simple Device -- Fiber-Infused Substrate -- Grazing-Incidence Optical Patterns -- Metameric Ink Patterns -- Microperforated Substrate -- Nanocrystal Pigments -- Nanoprint -- Subwavelength Optical Devices • Blind Users Unassisted -- Fresnel Lens for Microprinting Self-Authentication -- Hybrid Diffractive Optically Variable Devices -- Plastic Substrate for Low-Denomination Notes -- Refractive Microoptic Arrays -- Tactile Variant Substrate -- Window • Machine Reader or Dedicated Device -- Color Image Saturation -- Fiber-Infused Substrate -- Hybrid Diffractive Optically Variable Devices -- Metameric Ink Patterns NOTE: Some features have multiple applications.
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From page 84... ...
The grouping includes the following, among other features: • General public, unassisted: Fresnel lens for microprinting self-authentication embedded in the paper substrate, high-complexity spatial patterns, refrac tive microoptic arrays, microperforated substrate, see-through registration feature, tactile variant substrate, and thermoresponsive optically variable devices. • General public, assisted with simple device: Fiber-infused substrate, grazing incidence optical patterns, metameric ink patterns, nanocrystal pigments, nanoprint, and subwavelength optical elements.
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From page 85... ...
-- Color Image Saturation -- Fiber-Infused Substrate -- Fresnel Lens for Microprinting Self-Authentication -- Hybrid Diffractive Optically Variable Devices -- Nanocrystal Pigments -- Nanoprint -- Refractive Microoptic Arrays -- Subwavelength Optical Devices -- Tactile Variant Substrate -- Thermoresponsive Optically Variable Devices -- Window With the exception of the all-plastic substrate, it is assumed that for the features described in this chapter the substrate will continue to be the current cotton-linen blend for U.S. banknotes.
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From page 86... ...
banknote applications were identified by the committee as deterrents to anticipated counterfeiting threats. Five of these features (metameric ink patterns, see-through registration features, mi croperforated substrates, plastic substrates, and windows)
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