Method and apparatus for authentication of postage accounting reports

[0002] This application is a continuation of application No. 08/561,662, filed Nov. 22, 1995 now U.S. Pat. No. 5,778,066.

[0003] The following three commonly-owned copending applications, including this one, are being filed concurrently and the other two are incorporated by reference into this application:

[0004] C. Shah and D. T. Gilham, entitled “Method and Apparatus for Authentication of Postage Accounting Reports” (Attorney Docket 6969-117);

[0005] C. Shah and K. Robertson, entitled “Method and Apparatus for Authentication of Postage Accounting Data Files” (Attorney Docket 6969-118); and

[0006] C. Shah and K. Robertson, entitled “Method and Apparatus for a Modular Postage Accounting System” (Attorney Docket 6969-119).

[0007] The present invention relates generally to a method and apparatus for authentication of postage accounting reports. More specifically, the present invention allows the authentication of reports generated from postage accounting data maintained in a general purpose computer.

[0008] Historically, postage meters have been dedicated, stand-alone devices, capable only of printing postage indicia on envelopes or labels (in the case of parcels), and resided at a user's site. As such, these devices could provide postage metering only for that particular site and required the user to physically transport the device to a post office for resetting (increasing the amount of postage contained in the meter). These were secure devices which contained mechanical (later, electronic digital) accounting registers that dispensed postage in isolation from other systems (computer and otherwise). An advance over this system was the ability to reset meters via codes communicated to the user. These codes were provided by either the manufacturer or the postal authority, once payment by the customer had been made.

[0009] In contrast, modern electronic meters are often capable of being reset directly by an authorized party, on-site (at the user's location) via a communications link. A system which performs meter resetting in this manner is known as a Computerized Meter Resetting System (or “CMRS”). The party having authority to reset the meter and charge the customer (usually the manufacturer or the postal authority) thus gains access to, and resets the meter. Mail accounting data, i.e., detailed accounting of postage expenditures (for example, reports of postage expended by different departments in a company) may be accumulated and read from the more sophisticated electronic meters, but at best the user must still download data in a batch mode or enter it manually into a general accounting system. Moreover, such systems provide no means for authenticating the postage accounting information with regard to the actual values held in the meter.

[0010] According to the present invention, an apparatus and method are described for authentication of postage accounting reports. Postage accounting report data is authenticated by first assembling authentication mark data from the postage accounting report data and secure metering device (SMD). The system then encrypts the resultant information to form an authentication mark. A physical representation of that authentication mark is subsequently affixed to a postage accounting report, which is generated by the postage accounting report system. The postage accounting report may subsequently be authenticated by communicating the authentication mark to a responsible party (for example, a postal authority or manufacturer) for purposes of decrypting the authentication mark and authenticating the postage accounting report. The validity of the information in the report is thus verified, along with information as to the party originating the information, the computer system used and other data pertinent to identifying sources of fraudulent postage accounting data.

[0011] The present invention supports departmentalized accounting, centralization of remote postage accounting and identification of fraudulent reports. The presence of a valid authentication mark identifies a report as having been generated by the accounting program, which in turn confirms that it is based on authenticated data held in the system. A counterfeit can be detected by decrypting the authentication mark, as the authenticating details will be incorrect or missing if the report is fraudulent.

[0012] A further understanding of the nature and advantages of the present invention may be realized by reference to the remaining portions of the specification and the drawings.

[0013] FIG. 1 is a diagram showing an example of a modular postage accounting system;

[0014] FIG. 2 is a flowchart showing a specific embodiment of the present invention, specifically the maintenance of parallel postage accounting files;

[0015] FIG. 3 is a flowchart showing a specific embodiment of the present invention, specifically the creation of an authentication mark; and

[0016] FIG. 4 is a flowchart showing a specific embodiment of the present invention, specifically the authentication of a postage accounting report using an authentication mark.

[0017] I. Introduction

[0018] In the near future, systems will allow the use of existing general purpose computing resources to provide postage delivery at a user's site, allowing efficient, economical printing of postage indicia. Such systems will furnish postage at a user's location upon request, and are exemplified by the system described in the copending application (filed concurrently with this application) entitled “Method and Apparatus for a Modular Postage Accounting System,” by C. Shah and K. Robertson, the disclosure of which has already been incorporated herein by reference. Using well known techniques for the encryption of data within what are known as “trusted systems,” such postage delivery systems use ordinary computers and printers to print encrypted postage indicia while maintaining and updating postage accounting data within the general purpose computer's memory. By isolating the three basic postage registers within a separate device (the SMD), all functions other than overall postage accounting can then be performed in a general purpose computer. Security of SMD register data and validation of postage printing transactions will depend on standard encryption techniques and physical security.

[0019] II. An Example of Postage Metering Using an Open System

[0020] FIG. 1 is a diagram showing an example of an Modular Postage Accounting System (MPAS). A secure communications means 30 connects a secure metering device (SMD) 10 to a general purpose computer (GPC) 20. Secure communications means 30 may be any means of transferring information that is impervious to unauthorized interception, such as an RS-232C serial communications line or a direct internal connection to GPC 20 (i.e., resident on the data/address bus of GPC 20). These techniques may be combined with encryption of the postage information. SMD 10 contains two battery augmented memories (BAMs, not shown) for providing non-volatile storage of postage accounting information. This postage information, as is well known in the art, typically consists of an ascending register, a descending register and a control total register (none of which are shown). As is also well-known in the art, an ascending register holds a value equal to the amount of postage used, a descending register holds a value equal to the amount of postage which remains unused and a control total register holds the sum of the ascending register and descending register. SMD 10 may also contain a real-time clock and memory (neither of which is shown). Encryption may be performed by a hardware encryptor or by software algorithm (for instance, the DES or RSA algorithms). SMD 10 may contain postage accounting information for one or more departments within a customer's organization, which may be widely dispersed geographically. SMD 10 performs the accounting functions generally associated with the traditional postage meter and generates encrypted postage indicia. GPC 20 is also connected to a communications interface device 50, which provides access to a computerized meter resetting system (CMRS) 105 via a communications medium 110. A resetting station computer 120 communicates with GPC 20 and SMD 10 to perform resets (add postage value to SMD 20), accounting/auditing operations and other functions as required.

[0021] Communication between GPC 20 and SMD 10 is bi-directional. GPC 20 sends control commands and information requests to SMD 10. SMD 10, in return, may send human-readable data (in response to information requests), postage indicia (in response to postage requests and which are encrypted) or both. For example, postage is requested by a user (not shown) by the user's entering postage information into GPC 20. GPC 20 sends this information, together with mail class/service, any other values required (e.g., insurance) and the destination ZIP-code to SMD 20. In turn, SMD 10 responds by generating a secure (via encryption) postage indicia file together with a license number and transmitting that information to GPC 20. GPC 20 takes the information provided by SMD 10 and constructs a postage indicia print file comprising a two-dimensional code, graphical information and human-readable data. The postage indicia print file, together with optional information (such as address information, ZIP-code barcoding and any user-defined information) is transmitted to printer 60 for printing. Printer 60 then imprints the postage indicia and other information onto an envelope (mailpiece 100), a label (not shown) or other means of affixation of postage. GPC 20 may also access CMRS 105 for resetting SMD 10, auditing by postal authorities and other purposes. This allows for resetting (the entry of postage credit) in a manner similar to conventional electronic postage meters.

[0022] III. Authentication of Postage Accounting Reports

[0023] The present invention uses the above described interface between SMD 10 and GPC 20 to maintain postage accounting information, which may subsequently be used to create reports. A record of each transaction, running totals or both are maintained by comparing accounting information stored on the GPC to the running totals residing in the SMD. Postage accounting reports may then be authenticated by an encrypted “authentication mark”, which contains (in encrypted form) the serial number, post office license number and running totals of the SMD, along with any other identifying data, such as the operator's identity, date and time, and so on, that the user may require.

[0024] Record keeping in the MPAS is shown in FIG. 2 and typically proceeds as follows. First, files are created in the SMD and GPC, as shown in step 200 of FIG. 2. In step 210, the SMD and GPC await a transaction request from the user. When a transaction is requested, a decision is made at step 220 as to whether the user has requested an imprint transaction or reset transaction. Other transactions may occur at this point, but are not shown for the sake of clarity. Copending application entitled “Method and Apparatus for a Modular Postage Accounting System,” by C. Shah and K. Robertson, should be referenced for a more complete listing of these communications.

[0025] If the user selects a reset transaction, funds spent to add credit to (or “reset”) the SMD are accounted for in the SMD's BAMs and also in the file residing in the GPC containing the Postage Reset Payment Record (PRRR). This transaction is reflected in steps 230 and 240. If the user selects an imprint transaction, the postage expenditure that offsets the SMD stored credit (i.e., a debit, or use of the metering system) is again accounted for in the BAMs, and also in files residing in the GPC containing the Mail Accounting Report (MAR) data, which details postage use by the department. This departmentalized accounting data is generated and stored in the SMD registers, and is also generated and stored separately in files in GPC 20. This transaction is reflected in steps 250 and 260.

[0026] Subsequently, when MARs or PRRRs are generated, they are authenticated by comparing the records residing on the SMD and the parallel records residing on the GPC. Once the data in question is authenticated, the physical report may be generated, as shown in FIG. 3. GPC data 300 and internal SMD data 310 are combined inside the SMD in step 320. These components are encrypted in step 330 and may consist of any or all of the following:

[0027] SMD's serial number

[0028] SMD's post office license number

[0029] Time and date report was generated

[0030] Computer (or main frame terminal) serial/ID number

[0031] Department number (of department initiating the report)

[0032] operator's identifying password or ID number

[0033] Summary totals of report

[0034] Other information, as deemed useful, may also be included with the above information. Once encrypted, this information forms an authentication mark 340, which is stored in the GPC (as shown in step 350). The report, having already been generated and now including the authentication mark, is then printed at step 360.

[0035] The authenticity of MARs and PRRRs may then be verified by this authentication mark, as shown in FIG. 4. An authentication mark 400 is communicated at step 410 to the party responsible for authentication of reports (the authenticating party, typically the postal authority or manufacturer). At step 420, the authenticating party enters the authentication mark data into a decryption system. The authentication mark is then decrypted (step 430), resulting in decrypted authentication mark data 440, which is then compared to human-readable data 450 (step 470). If decrypted authentication mark data 440 and human-readable data 450 differ, some or all of the data in the report has been altered (step 460). Counterfeit authentication marks will be detected by decrypting because of either incorrect or missing authentication information. Otherwise, the report data is verified as being authentic (step 480). The authentication mark's conversion to plain text by means of an appropriate decryption algorithm thus reveals the components in a readable form and authenticates the valid identity of the report document. The presence of a valid authentication mark identifies a report as having actually been generated by the accounting program, which in turn confirms that it is based on authentic data held in the SMD and GPC.

[0036] Thus, the present invention allows automatic checking of accounting report data against secure postage revenue data and produces an encrypted authentication mark for the authentication of mail accounting and reset payment record reports. Authentication thus provides insurance against tampering with the MPAS metering system and unauthorized use thereof.

[0037] Moreover, while the invention has been particularly shown and described with reference to these specific embodiments, it will be understood by those skilled in the art that the foregoing and other changes in the form and details may be made therein without departing from the spirit or scope of the invention. For example, the present invention should not be limited by any one method of affixing the authentication mark, as alphanumerics, barcodes, data matrices or other techniques may be employed. Information included in the authentication mark may likewise vary with the user's needs. Consequently, the scope of the invention should be determined with reference to the appended claims.