Note: Descriptions are shown in the official language in which they were submitted.
CA 02391018 2002-05-09
WO 01/35343 PCTIUS00/42109
Proof of postage digital franking
Technical field
The invention relates generally to postage meters, also called franking
machines, and relates
more particularly to electronic postage meters printing digital postal
indicia.
Background art
Postage meters are well known. The present assignee has been designing and
manufacturing
postage meters for many, many decades. After these decades of experience,
postage meters
are extremely reliable and cost has been reduced to a minimum. A typical
postage meter prints
its postage by means of an intaglio-type metal or strong plastic printing
plate or die plate,
using specified fluorescent inl~
Most postage meter customers never have reason to call for repair of their
postage meters.
Postage meters are simple to operate and there is little to go wrong. They
have been accepted
by nearly all the post o~ces of the world. Postage meters benefit post offices
by reducing the
need for retail sales of postage stamps, and by making it easy for postal
patrons to adjust to
changes in postage rates. Present-day postage meters are able to accommodate
mail pieces of
varying thickness, and are able to print their indicia even if the surface of
the mail piece is
uneven.
Nothwithstanding the reliability, low cost, and ease of use of present-day
postage meter
designs, it has been suggested by some postal authorities that all postage
meters presently in
use be removed from service and that postage be printed instead by common
computer
printers using ordinary ink. This means that anyone with an ordinary computer
printer can
readily generate a plausible-looking postal indicium at any time and in any
desired ouantity.
The only possible approach for reducing fraud, when ordinary computer printers
are used, is
to incorporate cryptographically secure information into the postal indicium,
and to read and
verify that information on each and every mail piece. The present invention
~is-directed to
system configurations in which such cryptographically secure information is
generated for use
1
CA 02391018 2002-05-09
WO 01/35343 PCT/US00/42109
in printing such indicia. To be commercially viable, such system
configurations must not only
satisfy the requirements ofthe postal authorities, but must also provide user
function more or
less approximating that of present-day postage meters.
Disclosure of invention
A proof of postage generating system wherein funds, application of those
funds, the
replenishment of those funds and the auditing of those funds are secure
against attempts at
fraud. The system may either be a Closed System (CS) wherein the proof-of
postage printing
means are housed within the system computational means or within a
cryptographically secure
boundary. Further, the system my be an Open System (OS) wherein the proof of
postage
printing means are external to the system computational means.
Brief description of the drawing
The invention will be described with respect to a drawing in several figures,
of which:
Fig. 1 is a functional block diagram of a first embodiment of a closed-system
type of postage
meter,
Fig. 2 is a functional block diagram of a second embodiment of a closed-system
type of
postage meter;
Fig. 3 is a functional block diagram of a third embodiment of a closed-system
type of postage
meter;
Fig. 3A is a functional block diagram of a variant of a closed-system type of
postage
meter;
2
CA 02391018 2002-05-09
WO 01/35343 PCT/US00/42109
Fig. 4 is a functional block diagram of a first embodiment of an open-system
type of postage
meter;
Fig. 5 is a functional block diagram of a second embodiment of an open-system
type of
postage meter;
3
CA 02391018 2002-05-09
WO 01/35343 PCT/US00/42109
Fig. 6A is a functional block diagram of a third embodiment of an open-system
type of postage
meter, with an internally mounted postal security device (PSD);
Fig. 6B is a functional block diagram of a third embodiment of an open-system
type of postage
meter, with an externally mounted PSD;
Fig. 7A is a functional block diagram of a fourth embodiment of an open-system
type of
postage meter, with an internally mounted postal security device (PSD);
Fig. 7B is a functional block diagram of a fourth embodiment of an open-system
type of
postage meter, with an externally mounted PSD;
Fig. 8 is a functional block diagram of a fifth embodiment of an open-system
type of postage
meter;
Fig. 9A is a functional block diagram of a first embodiment of a hybrid of a
closed-system and
open-system type of postage meter; and
Fig. 9B is a functional block diagram of a second embodiment of a hybrid of a
closed-system
and open-system type of postage meter.
Modes for carrying out the invention
A proof of postage generating system is described wherein funds, application
of those funds,
the replenishment of those funds and the auditing of those funds are secure
against attempts at
fraud. The system may either be a Closed System (CS) wherein the proof of
postage printing
means are housed within the system computational means or within a
cryptographically secure
boundary. Alternatively, the system may be an Open System (OS) wherein the
proof of
postage printing means are external to the system computational means.
As will be described in more detail below, what is provided is a Postal
Security Device (PSD)
4
CA 02391018 2002-05-09
WO 01/35343 PCT/US00/42109
within which is housed physically secure, as well cryptographically secure
funds and associated
accounting registers, said PSD itself being utilized within a dynamic system
which provides for
the interchange of data between a funds provider source, a computational funds
tracking and
maintenance source and a printing source. Each embodiment described below,
whether an
Open System (OS) or Closed System (CS), provides all necessary security
against fraudulent
attacks against the system. This invention is intended to provide a customers
with a number of
alternative approaches to optimize the customer's use, tracking, and
replenishing of the
customer's franking funds within the environment surrounding the dispensing of
postal funds
for proof of payment for the services required. In all cases, the proof of
postage (postal
indicium) is digitally generated data. Said digital data is represented as an
image (generally, a
printed image) on the mailpiece requiring said proof of postage. Said proof of
postage may be
represented as a graphical image, human readable information, various bar
codes (both 1-
dimensional or 2-dimensional codes), OCR characters, etc., or any combination
thereof.
The Postal Security Device (PSD) will support methods of applying postage in
lieu of the
present-day approach, which is typically a self contained electromechanical or
mechanical
postage meter which imprints indicia on mailpieces. Described below are a
number of system
integration designs wherein said PSD is a small element of both large and
small systems
capable of supporting the needs of both large and small businesses, as well as
the private
citizen.
The first embodiments set forth herein relate to Closed Systems (CS) which may
take the form
of three different embodiments, dependent upon the needs of the customer. This
CS approach
provides a printing means within the franking device or within a
cryptographically secure
boundary as executed by a vendor. Said franking device is dedicated to the
imprinting of
proof of postage (said proof of postage will take the form and aesthetics
required by the
regulating body) and other related information (at times referred to as audit
information and
reports). In all cases and embodiments, the cryptographic content of the
printed indicia image
contains information unique to that transaction and specific PSD.
In the first embodiment of this closed system arrangement, the Postal Security
Device (PSD)
S
CA 02391018 2002-05-09
WO 01/35343 PCT/US00/42109
22 is attached as a "dongle" (an adaptive interfacing device which connects to
and uses a
communications port while still allowing the port to be used by other devices)
to the self
contained franking device 24 (see Figure 1 ). The cryptographic data content
between the PSD
22 and franking device 24 is ver;fied for authenticity (e.g. signature
certificate) whereupon the
printing mechanism 25 within the franking device 24 delivers the appropriate
image to the
mailpiece, letter or invoice. Crediting new funds to the PSD is managed by an
interface
(modem) 21 adapted to the franking device 24 which communicates
cryptographically with a
host Data Center 20 which provide funds for the PSD through the franking
device 24. The
communications between the franking device 24 and Data Center 20 or between
the franking
device 24 and PSD 22 are cryptographically encoded with all transactions being
verified by the
crypto-code structure and certificate authorization schema as required by the
regulating body.
Said PSD 22 may be moved from one franking device 24 to another so long as
each franking
device 24 is authorized/keyed to function with said PSD 22. In all cases the
PSD 22 has the
ability to account for funds and history as related to the franking device 24
to which it has
been attached.
Those skilled in the art will appreciate that the communications channel 31
between the
franking device 24 and the data center 20 need not be secure. The channel 31
may be a dialed
voice telephone call over the public switched telephone network, with modems
at each end of
the line. Alternatively, the channel 31 may be an ISDN telephone call, or may
be a TCP/IP
session placed over any suitable physical medium and underlying protocol, such
as frame relay.
The communications between the franking device 24 and data center 20 may
desirably be
carried out as set forth in U.S. Pat. No. 5,237,506, assigned to the same
assignee as the
assignee of the present invention.
Those skilled in the art will also appreciate that the postal security device
22 contains an
accounting register indicative of postage value, and contains cryptographic
means, said
cryptographic means disposed for secure communications with a remote host 20
for
adjustment of the contents of said accounting register, said cryptographic
means further
disposed for generation of data to be included in said postal indicia, said
postal security device
22 disposed to account within said accounting register for postage value
provided in said
6
CA 02391018 2002-05-09
WO 01/35343 PCT/US00/42109
postal indicia and to fail to generate such data when said accounting register
satisfies a
predetermined condition. In a typical arrangement, the accounting register of
the PSD 22 is a
descending register, and postal indicia are printed only if the value stored
in the descending
register is greater than the amount of postage value desired to be printed. In
this way the
postage printing system employing the PSD 22 mimics the well-known behavior of
a present-
day postage meter in which the meter refuses to print more postage if it is
empty or almost
empty.
In the second embodiment of this closed system employment, as shown in Fig. 2,
the Postal
Security Device (PSD) 22 is internal to the franking device 24 and is disposed
to the same
security requirements of the first embodiment. Crediting new funds to the PSD
is managed by
an interface (modem) 21 adapted to the franking device 24 which communicates
cryptographically with a host Data Center 20 which provide funds for the PSD
22 through the
franking device 24. The communications between the franking device 24 and Data
Center 20
or between the franking device 24 and PSD 22 are cryptographically encoded
with all
transactions being verified by the crypto-code structure and certificate
authorization schema as
required by the regulating body. The communications between the franking
device 24 and data
center 20 may desirably be carried out as set forth in U.S. Pat. No.
5,237,506, assigned to the
same assignee as the assignee of the present invention. Said PSD 22 is not
accessible for
removal from the franking device 24. Attempts to do so or to modify PSD
contents will be
met with its fail safe ability to secure itself and its internal registers as
required by the
regulatory authority.
In the third embodiment of this closed system employment, the Postal Security
Device (PSD)
22 is interfaced to a personal computer 26 as is shown in Figure 3.
The PSD 22 is credited with funds via communications (typically modem) between
the
personal computer (PC) 26 and associated Data Center 20. The communications
between the
PC 26 and Data Center 20 follow the cryptographic security rules and signature
verifications
required by the regulatory body. The communications between the PC 26 and data
center 20
may desirably be carried out as set forth in U.S. Pat. No. 5,237,506, assigned
to the same
7
CA 02391018 2002-05-09
WO 01/35343 PCT/US00/42109
assignee as the assignee of the present invention. Further, the secure
communications betwecn
the PSD 22 and the remote franking device 24 are likewise assured.
The PC 26 is programmed so that it can receive a request from a user for the
printing of
postage, and forward information about the request to the PSD 22. The PSD 22
provides
cryptographically secured data which will be contained in the postal indicium,
and this data is
provided eventually to a printer for printing.
In a variant of this closed system, as shown in Fig. 3A at least two closed
system
printers 24 (each a dedicated printing mechanism 25, preferably in a secure
housing)
are networked to a Postal Security Device 22. In some prior-art systems the
PSD is in
the same secure housing as the printing mechanism. Here, a cryptographic
boundary
102 is established which contains the PSD and each of the at least two closed
system
printers 24. Another way to describe this is that the communications channel
that
networks the PSD and the printers is a channel which passes messages each of
which
is cryptographically authenticated so as to provide the equivalent of a secure
physical
housing containing the PSD and the printers. The PSD is desirably in a
personal
computer, connected by modem 21 via a communications channel 31 to a remote
data
center 20.
Those skilled in the art will appreciate that it may not be necessary that the
passed
messages be encrypted. Instead, it may suffice that they are merely
cryptographically
signed or otherwise cryptographically authenticated.
The printers can be used for any of a number of franking applications,
including: mail
transporting and franking, a static franking system, a semi-automatic franking
system
(e.g. insert mailpiece-eject mailpiece), or combinations thereof.
8
CA 02391018 2002-05-09
WO 01/35343 PCT/US00/42109
It should be appreciated that the particular cryptographic standards employed
in generating the
data for the indicium are specified by the postal authorities, and thus that
the particular
cryptographic standard employed is not critical to the invention. Likewise,
the form of
indicium (e.g. 1-D or 2-D bar code and other aspects of layout) are also
specified by the postal
authorities and thus are not critical to the invention.
The PSD device 22, evident in the first and third embodiments (Figs. 1 and 3),
present the
opportunity for physically relocating said PSD 22 from a system configuration
evidenced in
Figure 1 to a different system configuration evidenced in Figure 3, or vice
versa. Said PSD 22
has the capability of optionally containing pertinent information regarding
the system
adaptation to which it is incorporated, including such parametric data as host
serial numbers,
register readings, and the like. The PSD 22 noted in Figure 3 could be located
in or on the
Franking Device 24, to wit, the PC 2b would communicate to the Franking
Machine's PSD
via any PC compatible communications Iink (e.g. RS232, parallel, etc.).
The Open System (OS) arrangement, which may take the form of five different
embodiments,
will now be described. The selection of the particular embodiment is
determined by the needs
of the customer. This employment provides a printing means 23 outside a
franking device.
Said printing means 23 is any commercially available printing means capable of
reproducing
the franked image content, makeup and resolution in accordance with regulatory
requirements
addressing said franked image content, makeup and resolution. In all cases and
embodiments,
the cryptographic content of the printed indicia image contains information
unique to that
transaction and specific PSD. In the first embodiment of this open system
arrangement, as
9
CA 02391018 2002-05-09
WO 01/35343 PCTlUS00/42109
shown in Fig. 4, the PSD 22 is interfaced to a Personal Computer (PC) 26
communication
port. Also interfaced to the same PC 26 is a printer 23 capable of reproducing
the franked
image content, makeup and resolution in accordance with regulatory
requirements
Crediting new funds to the PSD 22 is managed by an interface (modem) 21
adapted to the PC
26 which communicates cryptographically with a host Data Center 20 which
provide funds
for the PSD 22 through the PC 26. The communications between the Data Center
20 and PSD
22 are cryptographically encoded with all transactions being verified by the
crypto-code
structure and certificate authorization schema as required by the regulating
body. The
communications between the PSD 22 and data center 20 may desirably be carried
out as set
forth in U.S. Pat. No. 5,237,506, assigned to the same assignee as the
assignee ofthe present
invention. Said PSD may be moved from one PC 26 to another. Further, said PSD
22 may be
relocated to a Closed System (CS) embodiment such as that set forth in Figs. 1
and 3.
In the second embodiment of an Open System arrangement, the PSD 22 is
internally interfaced
to a Personal Computer (PC) 26 as is shown in Figure 5. Also interfaced to the
same PC 26 is
a printer 23 capable of reproducing the franked image content, makeup and
resolution in
accordance with regulatory requirements.
This embodiment of the Postal Security Device (PSD) 22 is subjected to the
same security
requirements as are applicable in the first embodiment. Crediting new funds to
the PSD 22 is
managed by interface (modem) 21 adapted to the PC 26 which communicates
cryptographically with a host Data Center 20 which provide funds for the PSD
22 through the
PC 26. The communications between the Data Center 20 and PSD 22 are
cryptographically
encoded with all transactions being verified by the crypto-code structure and
certificate
authorization schema as required by the regulating body. The communications
between the
PSD 22 and data center 20 may desirably be carried out as set forth in U.S.
Pat. No.
5,237,506, assigned to the same assignee as the assignee of the present
invention.
In the third embodiment of an Open System arrangement, the PSD 22 is
internally mounted
(Figure 6A) or externally interfaced (Figure 6B) to a networked host 27.
Networked to the
CA 02391018 2002-05-09
WO 01/35343 PCT/US00/42109
host 27 are one or more Personal Computers (PC) 26. The printing device 23 is
interfaced to
the host 27, as nught be the case in a centralized mailing application. The
printer 23 is capable
of reproducing the franked image content, makeup and resolution in accordance
with
regulatory requirements.
This embodiment of the Postal Security Device (PSD) 22 is subjected to the
same security
requirements as in the other embodiments. Crediting new funds to the PSD 22 is
managed by
interface (modem) 21 adapted to the Networked host which communicates
cryptographicaily
with a host Data Center 20 which provide funds for the PSD 22 through the
Networked host
27. The communications between the Data Center 20 and PSD 22 are
cryptographically
encoded with all transactions being verified by the crypto-code structure and
certificate
authorization schema as required by the regulating body. The communications
between the
PSD 22 and data center 20 may desirably be carried out as set forth in U.S.
Pat. No.
5,237,506, assigned to the same assignee as the assignee of the present
invention.
The Networked host 27 provides its interfaced printer 23 with the indicia
representing
addressing and postage value information requested by the local PCs 26 in
accordance with
indicia context requirements of the regulatory body. The PSD 22 depicted in
Fig. 6B may be
moved to any other Open or Closed system application interfacing the PSD 22 in
a like
manner.
In the fourth embodiment of an Open System arrangement, the printing devices
23 are
interfaced to IocaI Personal Computers 26, rather than to a Networked host 27.
Figs. 7A and
7B present the described configuration. Fig. 7A defines the Networked host 27
with its PSD
22 internally mounted while Figure 7B shows the PSD 22 externally interfaced
to the
Networked host 27. However, the PSD 22 depicted in Fig. 7B may be moved to any
other
Open or Closed system application interfacing the PSD 22 in a like manner.
In a fifth embodiment of an Open System arrangment, the printing devices 23
are interfaced to
either local Personal Computers 26 or a master/host workstation 27 as shown in
Fig. 8. A
single PSD 22 can support one or more indicium application sources from a
master
11
CA 02391018 2002-05-09
WO 01/35343 PCT/US00/42109
workstation 27. This embodiment is typical of a decentralized office
environment where
indicium applications occur at different workstations 26. However, only one
workstation 27 in
the local network loop 33 need have the PSD 22. All work stations 26 have the
ability to
produce secure indicia.
This embodiment of the Postal Security Device (PSD) 22 is subjected to the
same security
requirements as in the previously described embodiments. Crediting new funds
to the PSD 22
is managed by interface (modem) 21 adapted to the workstation 27 to which the
PSD 22 is
attached which communicates cryptographically with a remote host Data Center
20 which, in
turn, provides funds for the PSD through the workstation 27 to which the PSD
22 is attached.
The workstation 27 to which the PSD 22 is attached provides its interfaced
printer 23 and/or
one or more of its interfaced workstations 26 with the indicia representing
addressing and
postage value infomnation requested by the associated workstation 23 in
accordance with
indicia context requirements of the regulatory body. The PSD 22 depicted in
Fig. 8 may be
moved to any other Open or Closed system application interfacing the PSD 22 in
a like
manner.
Finally, hybrid systems may be employed in which a Closed System (CS) franking
device is
interfaced to an Open System (OS) Personal Computer-based system which may
take the form
of two different embodiments, dependent upon the needs of the customer, as
disclosed in
Figs. 9A and 9B. Such a system provides the ability for a CS, typified in Fig.
2 whose PSD
may be internal to the franking device as disclosed in Fig. 2, or external to
the franking device,
as disclosed in Fig. 1. The Fig. 9A embodiment depicts said franking device
interfaced to an
external Personal Computer (PC) 26 which requests and receives proof of
postage data from
the CS franking device 24 for application to a mailpiece being processed
through its (the PCs)
own dedicated printer 23.
Alternately as shown in Fig. 9B, said PC 24 may be networked to one or more
Personal
Computers 26 with each of those PCs 26 accessing one or more printers 23. Said
printing
means relates to any commercially available printing means capable of
reproducing the franked
image content, makeup and resolution in accordance with regulatory
requirements addressing
12
CA 02391018 2002-05-09
WO 01/35343 PCT/US00/42109
said franked image content, makeup and resolution. In each embodiments, the
cryptographic
content of the printed indicia image contains information unique to that
transaction and
specific PSD.
In summary, the following have been disclosed:
~The PSD 22 via the "dongle" or other adaptive interfacing device which
connects to and uses
a communications port while still allowing the port to be used by other
devices interface may
be connected to a device not previously predisposed to accepting installation
of said PSD 22.
~The PSD 22 can be credited with new or additional funds via a modem 21 within
or external
to the PSDs host.
~The PSD 22 can be credited with new or additional funds via a communications
port (e.g.
RS232) on the PSDs host. The host, in turn, utilizes its internal or external
modem to contact
a remote central Data Center for downloading of funds to be credited to the
PSD 22.
~The PSD 22 may be removed from its host and connected to the parallel or
serial port of a
PC 26 with modem communications ability wherein said PC would communicate with
a
remote central Data Center to download funds into the PSD. The PSD would then
be returned
to its operational host.
~The PSD may be connected directly to a PC wherein:
- A postage metering device obtains a postmark (indicium) data from said PC,
operating in a Closed System (CS) environment.
- A PC software can obtain a postmark ~indicium) data from the same PSD in
either
an OS or CS.
- A PC can be networked and share a single PSD with associated
PCs/workstations in
13
CA 02391018 2002-05-09
WO 01/35343 PCT/US00/42109
an OS.
.While a PSD is connected to a postage metering device it is able to:
- Output postmarks (indicium) data to a PC connected to the postage metering
device's communication port (e.g. RS232) when operating in an Open System (OS)
franking environment.
- The postage metering device configured as a Personal Computer (PC) is
capable of
being networked to one or more PCs to support multiple OS franking
workstations.
While the invention has been described with respect to particuiar embodiments
and figures, it
should be understood that the invention is not limited to those particular
embodiments and
figures. Indeed, those skilled in the art will readily identify numerous
obvious variations of the
invention, all of which are within the invention, as defined by the claims
that follow.
14
