AUTOMATIC MICROPARTICLE MARK READER

FIELD OF THE INVENTION

The present invention generally relates to articles having concealed or covert yet revealable information using marks incorporating a multiplicity of microparticles applied on or in the articles. More particularly, the present invention relates to automatic microparticle reader system, apparatus, ' and method for identifying and authenticating articles using information obtained from a mark incorporating a multiplicity of microparticles on or in articles, article packaging, or article labeling

BACKGROUND OF THE INVENTION

Counterfeiting, tampering, and product diversion account for nearly a half-trillion dollars in worldwide business losses every year. While these business losses are staggering, public trust is also declining as a result of these problems. News stories documenting problems such as black market fraud, theft, gray market goods, and product tampering contribute to the dwindling public trust in the authenticity of goods and services.

Marks incorporating a multiplicity of microparticles ("microparticle marks") have been used in the past to combat counterfeiting, tampering, and product diversion. Microparticles have been used for identifying and authenticating many types of materials and objects, including the use of microparticles directly in bulk materials (e.g., fertilizer, chemicals, paints, oils, plastics, pigments, clays, fertilizers, and explosives), the use of marks incorporating a multiplicity of microparticles on or in containers for prepackaged materials (e.g., shampoo, conditioner, lotion, motor oils, and pharmaceuticals), and the use of marks incorporating a multiplicity of microparticles on individual product units (e.g. stereos, cameras, computers, videocassette recorders (VCRs), furniture, motorized vehicles, and livestock). Since the late 1970's, multi-layered color-coded microparticles specifically have been used to covertly mark materials and objects. U.S. Patent Nos. 4,053,433 and 4,390,452 and GB Patent No. 1,568,699 describe multi-layered color coded particles for marking articles. Specifically, U.S. Patent No. 4,053,433 describes a method of marking a substance with microparticles encoded with an orderly sequence of visually distinguishable colored segments detectable with a microscope or other magnifying device. GB Patent No. 1,568,699 describes systems for making microparticles of layered colored material, which have generally parallel flat surfaces with irregular broken edges there between, enabling visualization of the code.

Other examples of multi- layered color-coded microparticles are described in U.S. Patent Nos. 6,647,649 and 6,455,157, wherein each describes methods for generating unique codes from sets of multi-layered color-coded microparticles. Additional types of microparticles are described in DE Patent No. 19,614,174 and U.S. Patent No. 4,606,927. DE Patent No. 19,614,174 describes a process for producing multi-layered microparticles by forming a laminate sheet of colored layers and crushing the sheet. The individual marking layers are applied by a printing process, by bronzing, by spray painting, or by roll coating. U.S. Patent No. 4,606,927 describes microparticles encased in a transparent solid matrix obtained by hardening a liquid adhesive. While the use of multi-layered color-coded microparticles is generally known, the interrogation of marks generated with these particles has been done manually. Thus, the mark is either observed directly by an individual through magnifying optics (e.g., microscope) or an image of the mark is captured and subsequently observed by the individual. In both of these cases, the mark or image of the mark is interpreted by the individual, who then determines the microparticle code. This process can suffer from being expensive, time-consuming and also presents the potential of human error in the identification of the microparticle code. As a result, the process is not practical for real time, larger volume applications, such as credit cards, passports, drivers' licenses, high-value branded products, and any tickets.

Automated reader systems have been developed for single expression microparticles, such as the readers for thermal or laser activated microparticle powders as described, for example, in PCT Pub. No. WO2005/104008A1. These single expression microparticle readers generally rely on both the "invisibility" of the microparticle until the microparticle is activated by the reader and the random location of the microparticles dispersed relative to a registration mark to create a unique code for the security and authentication purposes. Although such automated reader systems for identifying random patterns of single expression microparticles can be useful, the significantly higher level of complexity associated with automatically reading anything other than the presence and/or location of single expression microparticle marks has so far stymied the development of automated readers for multi-layer multi-color microparticle marks. While the microparticles, including multi-layered color-coded microparticles, can represent a level of security that is generally useful in protecting against counterfeiting, tampering, and product diversion, it can be anticipated that a day will come in which counterfeiters will attempt to create two-dimensional images depicting marks incorporating a

multiplicity of microparticles and place the counterfeit images on counterfeit or diverted products. Although a human may easily distinguish such two-dimensional replica images from a genuine three-dimensional multi-layer multi-color microparticle mark when viewing a magnified presentation of the actual microparticle mark, two-dimensional replica images create challenges for automated readers that rely on detecting the existence and location of single expression microparticle marks or powders.

There is therefore a need for an automatic microparticle reader system, apparatus, and method that can overcome the inherent deficiencies with conventional marking systems and methods.

SUMMARY OF THE INVENTION

The present invention overcomes the deficiencies with conventional anti-counterfeiting and anti-fraud marking systems by providing an automatic reader system, apparatus, and method for the identification and authentication of articles. The automatic reader system, apparatus, and method enable automatic collection and processing of mark data associated with color-coded microparticle marks, automatic determination of the code from the mark data associated with color-coded microparticle marks, and automatic retrieval of reference information associated with the code.

In another embodiment, the automatic reader system, apparatus, and method of the various embodiments of present invention can be used for identifying and authenticating articles using expression codes based on signature strings generated relative to attributes of valid individual microparticles.

In a further embodiment, the automatic reader system, apparatus, and method of the various embodiments of present invention can be used for authenticating marks on or in articles, article packaging, or article labeling, whereby the marks are verified to have authentic, three- dimensional objects such as microparticles.

BRIEF DESCRIPTION OF THE DRAWINGS

The invention may be more completely understood in consideration of the following detailed description of various embodiments of the invention in connection with the accompanying drawings, in which:

Fig. 1 is an image of a microparticle mark according to a first embodiment of the present invention;

Fig. 2 is a cross-sectional view of the microparticle mark of Fig. 1;

Fig. 3 is a cross-sectional view of a microparticle mark according to a second embodiment depicting the structure of the microparticle mark;

Fig. 4 is a cross-sectional view of a microparticle mark according to a third embodiment depicting the structure of the microparticle mark;

Fig. 5 is a cross-sectional view of a microparticle mark according to a fourth embodiment depicting the structure of the microparticle mark;

Fig. 6 A is a cross-sectional view of a microparticle mark according to a fifth embodiment depicting the structure of the microparticle mark; Fig. 6B is a cross-sectional view of a microparticle mark according to a sixth embodiment depicting the structure of the microparticle mark;

Fig. 7 is a schematic diagram of a reader apparatus according to an embodiment of the present invention;

Fig. 8 is a block diagram of a microparticle code identification/authentication method according to an embodiment of the present invention;

Fig. 9 is a software diagram for an automatic microparticle reader according to an embodiment of the present invention.

Figs. 10A-D are top, rear, side, and front views, respectively, of an automatic microparticle reader according to an embodiment of the present invention. Figs. 1 IA-D are a top view (without light guard), top view (with light guard), side view, and two front views, respectively, of an automatic microparticle reader according to an embodiment of the present invention.

Fig. 12 depicts an automatic microparticle reader according to an embodiment of the present invention. Figs. 13 and 14 are diagrams showing relationships between expression codes, signature strings, and microparticle codes.

Fig. 15 is an illustrative example of patterns that could be used to derive signature strings from a multiplicity of microparticles.

Figs 16, 17, and 18 are process diagrams that show how embodiments of the invention can be used to generate and use expression codes and signature strings.

While the invention is amenable to various modifications and alternative forms, specifics thereof have been shown by way of example in the drawings and will be described in detail. It

should be understood, however, that the intention is not to limit the invention to the particular embodiments described. On the contrary, the intention is to cover all modifications, equivalents, and alternatives falling within the spirit and scope of the invention as defined by the appended claims.

DETAILED DESCRIPTION OF THE PREFERRED EMBODIMENTS This invention relates to the automation of the process for identification and/or authentication of articles using microparticle marks, which has historically been a manual process. The capture, processing, searching, and reporting steps of the identification/authentication processes described below can be conducted automatically using an automatic reader apparatus. The reader apparatus enables a user to place an article to be identified/authenticated in the field of view of the automatic reader. In one embodiment, the reader can manage the remainder of the process and provide the results. The automatic reader system, apparatus, and method enable automatic collection and processing of mark data associated with color-coded microparticle marks, automatic determination of the code from the mark data associated with color-coded microparticle marks, and automatic retrieval of reference information associated with the code.

The microparticle marks are adaptable to a wide range of products, including but not limited to the use of marks incorporating a multiplicity of microparticles on containers for prepackaged materials (e.g., shampoo, conditioner, lotion, motor oils, and pharmaceuticals), and on individual product units (e.g. stereos, cameras, computers, videocassette recorders (VCRs), furniture, motorized vehicles, livestock, auto and aircraft parts, pharmaceuticals, luxury products, credit and debit cards, identification (ID) cards, compact discs (CDs) and digital video discs (DVDs), agricultural seeds, and textiles). The microparticle marks can be placed on or in the product itself, the product packaging, or the product labeling so long as the microparticles are effectively frozen or locked in location as part of the microparticle mark.

Microparticle Mark Structure

As described herein, the various embodiments of the present invention relate to a system and method for identifying and authenticating articles using codes obtained from marks incorporating one or more microparticles on or in articles, article packaging, or article labeling.

Except where as noted, for purposes of the present invention, microparticles are any relatively

* small particles comprising sizes, shapes, and other features described below. "Microparticles" as used herein is not limited to multi-layered multi-colored particles unless expressly indicated.

Referring to Figs. 1 and 2, an authentic microparticle mark 10 according to a first embodiment generally comprises a carrier material 12 and microparticles 14 dispersed in the 5 carrier material and presented on a substrate 16.

The microparticle mark 10 according to this first embodiment generally comprises a single carrier layer 12 presented on a substrate 16, the microparticles 14 being substantially homogenously dispersed therein. In the various embodiments described herein, the substrate can comprise the article to be authenticated directly, its packaging, its labeling, etc. Alternatively,

10 the substrate may include other security divides, such as a hologram, RFID tag, a bar code, or any other identification or reference indicia adapted to be affixed to an article, for example.

Referring to Fig. 3, an authentic microparticle mark 20 according to a second embodiment generally comprises microparticles 24 dispersed on an adhesive or coating material 22 and generally presented on a substrate 26. The microparticles 24 in this second embodiment

15 can be dispersed generally uniformly but randomly located and oriented on the carrier material 22. Alternatively, at least some of the microparticles 24 may be intentionally located at specific positions on the carrier material 22 or the microparticles 24 may be located in a pseudorandom manner.

Referring to Fig. 4, an authentic microparticle mark 30 according to a third embodiment

20 generally comprises microparticles 34 dispersed directly on a substrate 36. The microparticles 34 can be projected towards the substrate 36 with a low, medium, or high velocity, such that the microparticles 34 are at least partially embedded into or onto the substrate material. The velocity of the projection can depend upon the relative hardness of the substrate. The microparticles 34 in this third embodiment can be dispersed generally uniformly but randomly located and oriented

25 in or on the substrate 36. Alternatively, at least some of the microparticles 34 may be intentionally located at specific positions on the substrate 36 or the microparticles 34 may be located in a pseudorandom manner.

Referring to Fig. 5, an authentic microparticle mark 40 according to a fourth embodiment is similar to that of the microparticle mark 30 according to a third embodiment, except that the

30 microparticles 44 can be partially or fully covered with carrier material 42 to retain the microparticles 44 dispersed on the substrate 46. Such a carrier material 42 can include an adhesive, varnish or similar securing arrangement. In another embodiment, the coating material 42 may be one or more layers of film or laminate that generally secure the microparticles 44 in

position relative to each other and in some embodiments the adhesive may be on the laminate of the coating material 42, on the substrate 46 or both. The microparticles 44 in this fourth embodiment can be dispersed generally uniformly but randomly located and oriented in or on the substrate 46. Alternatively, at least some of the microparticles 44 may be intentionally located at specific positions on the substrate 46 or the microparticles 44 may be located in a pseudorandom manner.

Referring to Figs. 6A and 6B, authentic microparticle marks 50, 60 according to fifth and sixth embodiments generally comprises microparticles 54, 64 dispersed in a substrate 56, 66, respectively. In one embodiment, the microparticles in the fifth and sixth embodiments can be dispersed generally uniformly and randomly throughout the thickness of the substrate 56 as depicted in Fig. 6A or within a layer of the substrate 66 as depicted in Fig. 6B. It will be understood that the layer containing the microparticles may be sandwiched between other layers of the substrate without microparticles, or the layer may be adjacent a surface of the substrate, or there may be multiple layers. Alternatively, at least some of the microparticles of microparticle marks 50, 60 may be intentionally located at specific positions on the substrates 56, 66 or may be located in a pseudorandom manner.

In any of the embodiments described above, the microparticles can be dispersed generally uniformly but randomly located and oriented throughout the carrier material or substrate. Alternatively, in other embodiments at least some of the microparticles may be intentionally located at predetermined locations and/or patterns within the carrier material or substrate. Such intentionally positioned microparticles can form a registration and/or identification pattern to be used in conjunction with the scanning of other randomly oriented microparticles as part of the microparticle mark, or can be comprise the microparticles of the microparticle mark. In still other embodiments, at least some of the microparticles may be pseudo randomly positioned in the carrier material or substrate, such as preferentially doping some areas/volumes with higher concentration of microparticles than other areas/volumes.

While not limited to such, the microparticles used for the microparticle marks according to the various embodiments of the present invention can comprise multi-layered color-coded microparticles. Examples of such multi-layered color-coded microparticles capable of expressing a first-level microparticle code are described in U.S. Patent Nos. 4,053,433, 4,390,452, 4,606,927, 6,309,690, 6,455,157, 6,647,649, 6,620,360, Great Britain Patent No. GB 1,568,699, and German Patent No. DE 19614174, all of which are incorporated herein by reference in their entirety. It will be understood that for purposes of the present invention,

existing microparticles are considered capable of generating a first-level code if the microparticles mark method and system in which these microparticles are being utilized enables observation, viewing or reading of each microparticle in such a way as to express more than a binary state of that single microparticle. For example, a multi-layer, multi-color microparticle coding system having 4 particles and each having 3 layers and formulated with 12 color possibilities would be capable of expressing up to 9,834,496 unique combinations of color arrangements, each of which would represent a different code from that individual microparticle coding system.

In addition to comprising a multi-layer color-coded structure, the microparticles can comprise additional characteristics that are further usable in generating a expression of information. Such additional characteristics include, for example, text or other indicia on one or more of the microparticle surfaces, reflectivity, shapes, refractive index, surface geometry or finish, dynamic crystal lattice properties (such as magneto-electrooptic properties, mechanical- electrooptic properties or thermal-electrooptic properties associated with lattice structures such as LCD or piezoelectric materials), and various optical properties including polarization. For example, the index of refraction of the microparticles and carrier material can be selected to optimize the ability to distinguish and sharpen the visual distinction between the microparticles from the carrier material when using a reader.

In embodiments comprising multi-layered color-coded microparticles or in other embodiments, the microparticles used for the microparticle marks can comprise one or more reflective layers and/or one or more non-reflective surfaces. For example, the multi-layered color-coded microparticles can include a reflective layer at one end thereof and a non-reflective layer at the other end thereof, with one or more intermediate multi-colored layers there between. In other embodiments, the microparticles can include a reflective layer at one end thereof and a non-reflective layer at the other end thereof, with no multi-colored layers there between.

In the embodiments in which the microparticles comprise reflective surfaces, the reflective properties of the microparticles can be such that any reflection off of the reflective surfaces is not detectable by a naked eye, but is detectable under magnification to retain the covertness of the microparticle mark. In other embodiments, the reflective properties of the microparticles can be detectable by a naked eye or under any type of low magnification. This can be used in marks in which it is desirable to warn any potential counterfeiters that the product, packaging, or labeling contains a microparticle mark as depicted and described herein. In these embodiments, the microparticles comprising reflective surfaces can be arranged to form words,

marks, or other indicia that can be detectable by a naked eye or under any type of low magnification.

In further embodiments, the microparticles used for the microparticle marks can comprise one or more generally clear or lucid (transparent or translucent) layers therein. The clear or lucid layers can further aid in identifying and authenticating a mark.

In other embodiments, the microparticles used for the microparticle marks can comprise one or more generally dynamic crystal lattice layers or components. The dynamic crystal lattice layers or components can further aid in hiding, identifying and/or authenticating a mark.

For many applications, microparticles are about 0.1 micron to about 500 microns at their average cross section dimension, preferably about 0.1 micron to about 100 microns, and optimally in ranges of about 1 micron to about 10 microns, about 10 microns to about 20 microns, about 20 microns to about 40 microns, and about 40 microns to about 100 micrometers.

The size of the microparticles can depend upon the applications, for example, in printing applications it can be desirable to have microparticles of less than about 10 microns. A person of ordinary skill in the art will recognize that additional ranges within the explicit ranges given above are contemplated and are within the present disclosure.

The microparticles can have various aspect ratios. In an embodiment, the microparticles have an aspect ratio of approximately 1 :1. By having such an aspect ratio, the microparticles may be more easily applied and randomly oriented within or on a carrier, adhesive, or coating or on a substrate. This may become important when verifying that a mark has three-dimensional objects, such as microparticles, therein, or when generating expression codes based on signature strings. In other embodiments, the microparticles have an aspect ratio of approximately 1 :2. In further embodiments, the microparticles have an aspect ratio of approximately 1:4, 1 :8, or 1:16.

A person of ordinary skill in the art will recognize that additional aspect ratios within the explicit aspect ratios given above are contemplated and are within the present disclosure.

The concentration of microparticles used to identify an object can also vary. For example, the microparticles might be incorporated directly into the article, its packaging, or its labeling at a concentration of 0.0001 to 10 parts by weight for every 100 parts by weight material, and in another embodiment at a concentration of 0.001 to 3 parts by weight for every 100 part by weight material. Alternatively, the microparticles can be combined with an adhesive or carrier at a concentration of 0.0001 to 10 parts by weight for every 100 parts by weight material, and in another embodiment at a concentration of 0.001 to 3 parts by weight for every 100 part by weight material. A person of ordinary skill in the art will recognize that additional

ranges within the explicit ranges given above are contemplated and are within the present disclosure.

The overall area and volume proportions in the various cross sections of the mark (e.g., % area carrier or substrate to % area microparticles) can be selected to optimize the detection capability of a reader to pick up the unique characteristics of a mark. Based upon the uniqueness of the marks, the overall area and volume proportions (e.g., % volume carrier or substrate to % volume microparticles) in the various cross sections of the mark can also be selected to optimize the ability to serialize articles using the unique codes generated from the mark.

In an embodiment, a mark comprises about 99.009 % area carrier or substrate to about 0.001 % area microparticles. In another embodiment, a mark comprises about 99.09 % area carrier or substrate to about 0.01 % area microparticles. In another embodiment, a mark comprises about 99.9 % area carrier or substrate to about 0.1 % area microparticles. In still another embodiment, a mark comprises about 99 % area carrier or substrate to about 1 % area microparticles. These levels can enable optimization of the detection capability of a reader to pick up the unique characteristics of a mark and the ability to serialize articles using the expression codes generated from the mark, but also can cut down on microparticle costs. A person of ordinary skill in the art will recognize that additional area ratios within the explicit area ratios given above are contemplated and are within the present disclosure.

In general, the larger-sized particles can require a larger weight and proportion of microparticles for detection and determination capability. Accordingly, the smaller-sized particle can require a smaller weight and proportion of microparticles for detection and determination capability

In terms of quantifying the number of microparticles within a mark, a mark can have at least one microparticle and up to any number of microparticles. This number can be determined based upon the requirement for unique microparticle codes and expression codes for specific applications. In an embodiment, a mark comprises 1-10 microparticles. In another embodiment, a mark comprises 11-40 microparticles. In another example embodiment, a mark comprises 41 or more microparticles, where each multiplicity of microparticles provides a first-level microparticle code and the position and/or relationship of the individual microparticles is utilized to generate one or more signatures strings as second-level codes for the microparticle mark. In one embodiment, the signature strings and microparticle codes can be used to generate a unique expression code for that microparticle mark.

In one embodiment, the adhesive, carrier, or substrate material can be transparent or translucent to the frequency of light used to illuminate the microparticles, such that the microparticles are readily discemable. The adhesive or carrier can include solvent materials, including both organic solvent based adhesives such as lacquers, as well as water based adhesives such as latexes, hot melt adhesives, curing systems including epoxies, polyurethanes, enamels, such as, for example, acrylic and alkyds, or a UV curing material. UV curing materials can enable application of the carrier material with microparticles in high volume applications, due to the quick curing ability.

Automatic Reader

An automatic reader and method according to the various embodiments of the present invention enables a user to place the article to be identified/authenticated in the field of view of the automatic reader. In one embodiment, the reader can manage the remainder of the process and provides the results of the identification and/or authentication based on pre-programmed, predetermined or pre-selected control information as will be described. In an alternate embodiment, the user may input such control information or may make adjustments to facilitate the capture of the microparticle mark, such as adjusting focus, illumination, depth of field or the like.

Referring to Fig. 7, such a reader generally comprises software, a microprocessor, data storage, and a user interface. The automatic reader of this invention also generally includes an illuminator for illuminating the article to be identified/authenticated, optics for magnification of the applied mark, a sensor for capturing an electronic image, and a microprocessor, software, data storage, and an interface for determining and presenting the final identification/authentication result . The illumination can be obtained from a variety of illumination sources, including but not limited to incandescent lights, fluorescent lights, halogen lights, xenon lights, light-emitting diodes (LED) lamps, lasers, and other illumination sources known to those skilled in the art. LED lamps are particularly advantageous, as they can provide the ability to deliver a controlled spectrum, i.e., the colors are selectable, well defined, allow tight control of wavelengths, and do not shift. The lighting can be direct or fiber optics, mirrors, etc can be used to deliver the illumination from a remote source to the mark on the article. Preferably, the illumination is provided in a visible part of the electromagnetic frequency range. Alternatively, other portions

of the electromagnetic frequency range could be utilized in accordance with the illumination of the automatic reader of the present invention.

In one embodiment, the illumination system comprises a plurality of light sources, each of the light sources being independently and variably controllable by the processing system to dynamically illuminate the microparticle mark. In one aspect of this embodiment, the dynamic illumination consists of high-intensity LEDs, such as white, red, blue, and green individual LEDs in combination.

The optics and optics path can be constructed with lenses of various shapes, configuration, and coatings to provide the necessary magnification, field of view, and depth of field. Additionally, filtering can be used to focus/highlight colors of interest (valid color layers) or to provide a customer or application specific reader. Fixed focus with control of distance between an article and the reader, or autofocusing capabilities, can be employed in the automatic reader. Although manual focusing may be used, it may not be suitable for all users because it can introduce an additional human step and therefore variability. The optics path can also be designed for particular surfaces (e.g. multilevel or curved surfaces).

The sensor used to capture the light from the optics path can be selected from many readily available types, including, but not limited to, complementary metal oxide semiconductor (CMOS) and charged coupled device (CCD) sensors. The specific sensor chosen generally is dependant upon the application (e.g. particle size being used and magnification) and is generally chosen to provide the sensitivity and resolution necessary to complete the analysis.

The above components mentioned can be assembled to work together to capture the information from the applied mark and generate an electronic image of the mark within an integrated, single housing, such as a handheld reader. Alternatively, these components may be bundled or combined (e.g. currently available universal serial bus (USB) microscope provide illumination, optics, and electronic sensors) as separate elements of part of a reader system, such as for use in a production assembly line operation for initial capture of microparticle marks.

In an embodiment, the automated reader housing includes means for optically isolating the illumination system, the detection system and the microparticle mark from an external environment. The automated reader may include a hood, for example, a foam member generally surrounding a field of view of the detection system and adapted to interface proximate a perimeter of the microparticle mark. Examples of such hoods are shown in Figs. 1 IA-E,

Microparticle Code Identification and Authentication

Referring to Fig. 8, a block diagram of the process for an embodiment depicting multilayer multi-colored microparticle mark identification/authentication is depicted. The steps for microparticle code verification/authentication broadly include (1) original setup and (2) field reading. Original setup broadly includes storing data or algorithms for determining each microparticle code and optionally additional reference data associated with a microparticle code.. Field reading broadly includes (a) capturing information for a microparticle mark on an article in the field, (b) processing microparticle information from the microparticle mark, (c) determining the microparticle code and retrieving reference data, and (d) reporting the identification/authentication results, along with associated reference data.

Once a set of one or more kinds of microparticles have been selected for a given set of microparticle mark to be applied to a corresponding set of articles, for example, by setting up the microparticle code associated with the set of microparticles as corresponding to the intended set of articles, the microparticle mark having the microparticle code can be applied to an article. While the microparticle codes associated with a given set of microparticles corresponding to an intended set of articles will generally be selected to be unique for a given manufacturer, article, distribution channel, in other embodiments the set of microparticles chosen for an intended set of articles may overlap. The microparticle mark can be applied manually or automatically. Manual application methods include extruding, molding, brushing, and spraying. Automatic application methods can include the techniques just mentioned, as well as, for example, roll coating and printing. The microparticle and carrier materials are described in detail above.

The following field reading process can be used to determine the identity and/or authenticity of an article and the mark on the article in accordance with some embodiments of the present invention. First, the sensor in the automatic reader apparatus is used to capture the light from the optics path and generates an electronic image of the mark. Once an electronic image of the mark has been generated, an image processing program can analyze the electronic image.

An embodiment of such an image-processing program is shown in shown in Fig. 9 and will be described, although variations and differences in other embodiments as described elsewhere may be applicable to this description of Fig. 9. A priori knowledge of the marks includes the particle size, number of layers, standard color definitions, and other distinctive aspects of the marks. The setup step includes the application of a priori knowledge to a specific application, and may also include the algorithms to be used. Calibration of the capture system is

also part of the setup step, including settings such as depth of field, white balance, gamma, and so on. The capture step includes the taking of a dataset from the sample, and may further include taking more than one frame for averaging to reduce the effects of noise.

The mark data refers to the total dataset readable from a mark as an image. A mark may be viewed as a region on an article that contains introduced microparticles in a carrier medium, where the carrier could be an additional medium or a portion of the article itself. In some embodiments, the microparticles are fixed relative to the article in the microparticle mark, while in other embodiments the microparticle mark may be flexible. In some embodiments, the microparticles are randomly introduced into the microparticle mark, where in other embodiments the microparticles are pseudo-randomly introduced or purposefully located in the microparticle mark.

At the preprocess step, the raw captured data is prepared for further processing. This may include adjustments in calibration, noise reduction (such as by averaging of multiple image frames), and data transformations (such as by transforms to other color spaces or other dimensional spaces). For example, a red-green-blue (RGB) image may be mapped other color spaces, such as Lab, Luv, HSL, HSV, etc. Information such as position, height, or color space can be added to pattern-vector information to obtain a higher dimensional space which can enhance segmentation or identification.

The step of mark segmentation includes segmentation of microparticle marks from background data. This step reduces the amount of the computations involved in reading the mark and enhances the automatic read. Many different algorithms may be used for this step, and the specific algorithm can vary depending on the application. For computational efficiency, a priori knowledge of the information readable in microparticle marks may be used. For example, in an embodiment, the microparticles in a microparticle mark are present at low levels relative to the total dataset (because most of the data is background). Here, frequency-based segmentation algorithms are useful and a captured data may be passed through various statistical functions, to create a segmented foreground or background data. Segmentation may also be done manually (by picking the background color and removing all similar colors). Further examples include simple pixel thresholding, edge detection, transform filters (Fast Fourier Transform and inverse FFT). Watershed and neural networks may also be used.

In the next step, microparticle segmentation, the foreground bin is separated into distinct regions, with each region being an identified microparticle. The foreground dataset can be

converted to microparticle region of interest by identifying collections or regions of neighboring data of proper size for the microparticles of interest.

The step of color identification involves the determination of which identified microparticles match definitions of standard microparticle colors. At this step, a transform to a desired color space may be used, if a transform was not done already. Thresholding may also be used to remap the microparticle data to standard colors. Neighboring colors may affect color recognition of both layer color and background color. Hue shifting is predictable for neighboring color and growth of a color region can be accomplished by identifying additional data shifted in the direction predicted by the neighboring color. In the step of color-layer segmentation, each microparticle is separated into distinct regions corresponding to the color layers. In an embodiment, a segmentation algorithm based on location and color thresholds can be used.

The step of identifying color layers includes the ordering of color layers identified within each microparticle region. This may be done by calculating centers of each layer region, calculating the distances between centers, and using distances to determine order. Errors that may result from this step include finding two small particles in a single identified microparticle region or splitting a single layer into a plurality of layers. Such errors may be reduced by examining vectors connecting the noted centers and requiring a linear relationship between them.

The step of determining microparticle code can be accomplished using an algorithm to generate the code or the microparticle code can be automatically looked up in a table or database to determine the code for the microparticles identified. Additionally, reference information associated with the code may also be retrieved.

In actual practice, the processing of the electronic image of the mark described above can present problems that generally must be overcome for effective reading of a microparticle code. While humans can look at an object or image and observe certain areas as a single color, electronic image data of these areas are generally made up of pixels of many different colors and not of a single color. This can arise for any number of reasons, including actual color variations in the object being imaged, variations in the lighting source(s), shadow variations, light scattering, substrate influences, and carrier influences. In addition, even though a microparticle set can be generated with microparticles formed from colored layers incorporating uniform, standard colors, the electronic image will generally present a multitude of various colored pixels for each of the uniform, standard colors

incoφorated in the microparticles (i.e., the pixels observed for each colored layer are not all observed to have the same RGB values).

To obtain improved recognition of the microparticle layer colors, ranges are established for the R, G, and B values, such that an exact match is not required. Thus, a level of variability for each of the R, G, and B values for any given microparticle layer color can be assigned and any pixels falling within the specified resulting ranges can then be associated with that microparticle layer color. While this enables a much improved ability to identify each of the microparticle layers and their colors, many additional pixels can be present in the image that were part of the microparticle layers but whose color was not associated with one of the standard microparticle layer colors.

Some of the difficulties associated with the analysis can result from variations in lighting (brightness) and shadowing (darkness). These lighting (brightness) and shadowing (darkness) effects can be overcome by identifying a color and looking at ratios of the R, G, and B levels, not looking at the absolute values for each of the R, G, and B levels. Thus, a pixel with R=255, G=O and B=O is recognized to be pure, bright red. Another pixel with R=I 25, G=O and B=O is still recognized as pure red, but is darker. By analyzing the image to identify pixels with ratios of their R, G, and B values that match those of one of the standard microparticle layer colors, the microparticle layer color can be effectively identified, despite variations in brightness and shadowing. In addition, despite improvements in effectively identifying the standard microparticle layer colors as described hereinabove, difficulties can be encountered due to light scattering or reflecting from the substrate. When the scattering or reflecting occurs, the microparticle layer colors can be shifted from their standard colors. This can occur because of being illuminated by light reflected or scattered off of a colored substrate. As a result, some of the illumination reaching the microparticle is no longer of the same spectrum as the light source, but now has been "colored" by reflection or scattering off of the substrate.

Thus, for each of the colors of the substrate, light of some wavelengths can be selectively absorbed by the substrate while other wavelengths are not. The resulting light scattered and reflected, with its different spectrum, can then light the microparticles and contribute to a color shift of the microparticles or can reach the sensor and change the color signature for pixels associated with a microparticle. These color-shifting effects can be corrected for by adjusting the expected R, G, and B values for each of the standard microparticle layer colors for predicted values that can be expected due to the "shifted" illumination spectrum. Similarly, the expected

R, G, and B values for each of the standard microparticle layer colors can also be corrected for the spectrum of the light source used to illuminate the mark. While the corrections made for determining a match -- due to the spectrum of the light source ~ can be made for all pixels in the image, the corrections needed due to background scattering may generally need only take into account the color of the background in the surrounding area of the microparticle (i.e., the color of the substrate in the areas scattering light onto the microparticle).

In one embodiment of an an anti-counterfeiting setting, if there is no valid three- dimensional microparticles identified of a valid unique code or match with reference data, depending upon what embodiments of the invention have been utilized, then the mark might be or is likely a counterfeit and the process can be stopped and it can be reported that the mark and/or product is not authenticated. If there is a match for the mark, the matching code can be reported. If it is ^' desired to go a next level of security, the following steps relating to microparticle mark signature authentication can be used to authenticate mark's signature code based upon the signature characteristics of the microparticle mark. This step can represent a next- level of protection against counterfeiting.

In one embodiment of an anti-product diversion setting, if there is a match for the mark, the matching code can be reported and the source and/or distribution chain of the product and mark can be identified. If it is desired to go a next level of security, the following steps relating to microparticle mark signature identification can be used to identify mark's signature code based upon the signature characteristics of the microparticle mark. This step can represent a next-level of protection against product diversion.

Using Reader of Identification/Authentication of Unique Code

In addition to providing a next level of securing against counterfeiting, tampering, and product diversion, a microparticle mark signature code can be used to provide identification and/or authentication through comparison of a calculated alphanumeric string representing the signature to a database of existing original alphanumeric strings rather than through manual comparisons of raw images directly as described in U.S. Patent No. 6,309,690. This process can therefore greatly minimize the amount of storage needed to save information about products and marks and also speed up the process by comparing alphanumeric strings rather than digital or analog images.

Reader Device

In an embodiment, a microparticle reader 110 may be configured as shown in Figs. 10A- D, 11A-E, and 12. Figs. 10A-D depict a display 111, lens assembly 112, and a main circuit board 113 connected to display 111. Six buttons 114A are connected to button-circuit board 114B. A USB plug 115 is mounted on the main circuit board. A rear spring battery contact 1 16 is connected to main circuit board 113, as is front battery 117 and lens assembly plug connector 118 and rear battery 119. The unit's housing 120 is designed to make the reader portable by hand.

As shown in Figs. 1 IA-E, in one embodiment an annular projection 121 may be fitted to lens assembly 112 for receiving a hood 122. As shown in Figs. 1 ID and 1 IE, Hood 122 may be adjustable so that both a restricted and non-restricted aperture is presented. Adjustments in hood

122 may be made depending on the amount of ambient light available when the microparticle reader is put into operation.

As shown in Fig. 12, in one embodiment the display 111 can display an enhanced image of a microparticle mark, such as the mark shown in Fig. 2. A user interface is provided by buttons 114A. Housing 110 is sized so that device 110 is relatively easy to carry by hand. Relationship between microparticle code, signature strings, and expression code

The hierarchical relationship between microparticle codes 300, signature strings 302, and expression codes 304 can be illustrated as shown in Fig. 13. The numeric abundance of unique combinations of microparticle codes, signature strings and expression codes is illustrated in Fig. 14. If the number of microparticle codes 300 is, for example, on the order of I On, then the number of signature strings 302 would be exponentially larger n ^x> while the number of expression codes would be further exponentially larger n ^λ x ² .

Figure 15 shows how the relationships between individual microparticles 202 can be used to derive signature strings. Using the centroid of each microparticle 202, 204 as a reference, the generally rectangular shape defined by lines A, B, C, and D can be formed. Using the centroids joined by lines alpha, beta, and gamma forms a triangle shape between three microparticles 202.

Another triangle shape can be formed from the centroids of microparticles 202, 204 using lines a, b, and c. These patterns are illustrative only, since the relative position of microparticles 202, 204 can be used to generate a very large number of possible patterns that can be used as signature strings. Microparticle 204 is shown to illustrate that not all microparticles used need have the same or even similar attributes.

Overall System Examples

Figure 16 is a block diagram of a process for authenticating a mark 500. Reader 502 captures an image 504 of mark 500. Image 504 includes microparticle code 506 and signature strings 508. Database 510 stores preselected microparticle codes, for example BRG for the color sequence Blue, Red, and Green that represents a valid microparticle code. Database 512 stores preselected signature strings, for example the signature strings 1, 2, and 3. Database 514 stores a predetermined coding order, for example, first the code for colors BRG, then the signature strings 1 and 2. When microparticle code 506 and signature strings 508 are sorted and/or combined as determined by databases 510, 512, and 514, an expression code results. For example, the expression code could be any of BRG 12, BRG 13, or 31 BRG, in this example.

An initial generation of expression codes may be used to generate a database of expression codes 518 to compare with expression code 516. First-time expression codes 518 may be identified, for example, with codes 520A, B, and C. In this example, these codes may be BRG 12, BRG 13, and 31 BRG, respectively, depending on the possible alternative combinations of predetermined coding order 514 and/or preselected signature strings 512. Codes 520A, B, and C are part of initial expression code generation 522. These codes are then used to populate expression code database 524.

Fig. 17 shows an embodiment of the process in Fig. A with a "challenge" process added to test the reliability of the system. An absolute-position database 600 is generated from mark 500. From the absolute-position data, challenge test 602 generates a database of challenge strings 604. Challenge strings 604 are communicated to the preselected signature-database 512 and used to generate signature strings 508 from image data 504. The resulting expression code 516 is then compared to challenge test 602. Because challenge strings 604 are generated from absolute-position data from mark 500, each of expression codes 516 produced by signature strings 508 based on image data 504 should be recognized as authentic by challenge test 602. Further, this embodiment depicts the determination of the microparticle code using an algorithm 606 rather than a database.

Fig. 18 shows an embodiment of an authentication process that relies only on signature strings to generate expression codes. Image data 504 from mark 500 is captured by reader 502. Microparticles in image data 504 are authenticated as expected microparticles by microparticle validation 700, in part by reference to database 702 of preselected valid microparticles. From the valid microparticles, signature strings 508 are identified. These signature strings 508 then produce an expression code or signature-string code 704, which may include only signature

strings, or may include other code elements. The first time the process shown in Fig. 21 is implemented, a first-time expression code or signature-string code 706 may be generated. Exemplary signature-string codes are shown at 708A, B, and C, for example 12, 13, and 31. These expression codes or signature-string codes 706 are used to generate initial expression codes or signature-string codes 710, which then are used to populate database 712, which stores expression codes or signature-string codes. Exemplary signature-string codes may include, for example, 12, 13, 31, or 123.

The embodiments above are intended to be illustrative and not limiting. Additional embodiments are within the claims. In addition, although the present invention has been described with reference to particular embodiments, those skilled in the art will recognize that changes can be made in form and detail without departing from the spirit and scope of the invention. Any incorporation by reference of documents above is limited such that no subject matter is incorporated that is contrary to the explicit disclosure herein.

For purposes of interpreting the claims for the present invention, it is expressly intended that the provisions of Section 112, sixth paragraph of 35 U.S.C. are not to be invoked unless the specific terms "means for" or "step for" are recited in a claim.