ASTM F1448-1993a(2006) Standard Guide for Selection of Security Technology for Protection Against Counterfeiting Alteration Diversion Duplication Simulation and Substitution (CADDS.pdf

1、Designation: F 1448 93a (Reapproved 2006)Standard Guide forSelection of Security Technology for Protection AgainstCounterfeiting, Alteration, Diversion, Duplication,Simulation, and Substitution (CADDSS) of Products orDocuments1This standard is issued under the fixed designation F 1448; the number im

2、mediately following the designation indicates the year oforiginal adoption or, in the case of revision, the year of last revision. A number in parentheses indicates the year of last reapproval. Asuperscript epsilon (e) indicates an editorial change since the last revision or reapproval.This standard

3、 has been approved for use by agencies of the Department of Defense.INTRODUCTIONAny product or document of value has a high risk level of being counterfeited, altered, diverted,duplicated, simulated, or substituted (CADDSS). Counterfeiting of brand names, designer clothes,accessories, jewelry, and i

4、ntellectual property is presently assessed as a 60-billion-dollar per yearproblem worldwide. This dollar figure does not include the losses in the financial community,including banknotes, stocks and bonds, etc., which are unknown and unreported. Just as counterfeitingand alteration of documents are

5、severe problems in the financial sector, the counterfeiting, alteration,diversion, duplication, simulation, and substitution (CADDSS) of products are life threatening whenthey relate to aeronautical parts, auto parts, pharmaceuticals, life support equipment, and Departmentof Defense material. The pr

6、oblem cannot be eliminated, but it can be controlled by usinganticounterfeiting technology selected to fit the users requirements. A check list is needed to specifythe users requirements for anticounterfeiting technology to control one or all of the above-mentionedpotential fraudulent problems. Whic

7、hever technology, or combination of technologies, is used, thefrequency of authentication and the education of personnel or the public using the technology arevitally important in controlling counterfeiting, alteration, diversion, duplication simulation, andsubstitution (CADDSS) of products and docu

8、ments.1. Scope1.1 This guide is intended to assist the user in the selectionof anticounterfeiting technology as follows:1.1.1 By determining what the users requirements are asrelated to product or document by completing the usersspecific CADDSS versus parameters matrix, and1.1.2 By comparing the use

9、rs requirements matrix to asecurity technology feature matrix prepared by a knowledge-able person using the CADDSS versus parameters matrix.1.2 This guide does not address or evaluate specific tech-nologies, but rather provides a path when utilizing the matrix inTable 1 that allows proper evaluation

10、 of features of technolo-gies available for use in the application.1.3 This guide provides a procedure to accomplish theproper selection of a security system. Specific technologies arenot addressed, nor is any technology recommended. There aremany security systems available in the public marketplace

11、today. Each has limitations and must be carefully measuredagainst the parameters presented in this guide. Once thiscareful analysis is done, the user will be in a knowledgeableposition to select a security system to meet his needs.2. Referenced Documents2.1 ASTM Standards:2F 1156 Terminology Relatin

12、g to Product Counterfeit Pro-tection Systems33. Terminology3.1 DefinitionsFor definitions of terms used in this guide,refer to Terminology F 1156.1This guide is under the jurisdiction of ASTM Committee F12 on SecuritySystems and Equipment and is the direct responsibility of Subcommittee F12.60 onCon

13、trolled Access Security, Search, and Screening Equipment.Current edition approved Feb. 1, 2006. Published February 2006. Originallyapproved in 1993. Last previous edition approved in 1999 as F 1448 93a (1999).2For referenced ASTM standards, visit the ASTM website, www.astm.org, orcontact ASTM Custom

14、er Service at serviceastm.org. For Annual Book of ASTMStandards volume information, refer to the standards Document Summary page onthe ASTM website.3Withdrawn.1Copyright ASTM International, 100 Barr Harbor Drive, PO Box C700, West Conshohocken, PA 19428-2959, United States.3.1.1 alterationthe modifi

15、cation of a document or articlewith the intent that it will pass as genuine with minimum riskof detection in circumstances of ordinary use.3.1.2 counterfeita reproduction of a document, article, orsecurity feature that is intended to deceive the close scrutiny ofa qualified examiner.3.1.3 diversiont

16、he distribution and sale of legitimateproducts through unauthorized dealers.3.1.4 duplicationthe reproduction of a document or partthereof by means of a photoreproductive device.3.1.5 simulationthe imitation of a document or article,including similar security features, in a form that is intended top

17、ass as genuine in circumstances of ordinary use.3.1.6 substitutionthe act of putting or using one documentor item in place of another; within this context, the substituteddocument or item often is of lesser quality or value.4. Summary of Guide4.1 The six steps in selecting anticounterfeiting technol

18、ogyare as follows:4.1.1 Define the CADDSS problem,4.1.2 Determine requirements by using the CADDSS matrix(see Table 1),4.1.3 Select one or more appropriate matrix technologies bycomparison of users matrix with a technology matrix,4.1.4 Test by a qualified individual or forensic laboratory foreffecti

19、veness,4.1.5 Implement technology, and4.1.6 Institute educational program to use technology effec-tively.5. Significance and Use5.1 This guide is the first known attempt to focus on securityrequirements and compare them to available and knowntechnologies capable of meeting these requirements. Thisgu

20、ide provides for the following three steps:5.1.1 The user develops a detailed matrix analysis (seeTable 1) to identify specific security requirements.5.1.2 The user obtains a similar matrix that identifies thecapabilities of available technologies to satisfy specific securityrequirements. This matri

21、x can be prepared by the user, by asecurity consultant, or by a technology vendor. If the userdesires, the available technologies matrix can be tested andevaluated by a forensic laboratory.5.1.3 The user compares these two matrices in order toselect one or more technologies that most closely accommo

22、-dates the users specific security requirements.6. Measuring Parameters6.1 A typical list of measuring parameters employed by theusers to detect CADDSS is found in Table 1.7. Available Technologies7.1 Traditional Security Technology:7.1.1 Watermarks.7.1.2 Intaglio printing.7.1.3 Ultraviolet ink (vis

23、ible and invisible).7.1.4 Diphenyl ink.7.1.5 Fugitive ink.7.1.6 Infrared ink.7.1.7 Biorefringent ink.7.1.8 Metameristic ink.TABLE 1 Matrix Checklist for Technology RequirementsSubstitution Simulation Duplication Diversion Alteration Counterfeit ParametersDurableImpossible to remove and transpose wit

24、hout detectionOnly screening requiredValidation without toolValidation with simple field toolValidation with central (non-field) equipmentEasy to incorporate or applyCost effective in view of risk potentialTamper resistant or evidentOvert security featuresCovert security featuresTime allowed for aut

25、henticationPoint of use authentication requiredEase of application in current systemTraining to validate requiredSimple deterrents requiredTraceability required (tracking)Variable information within security featuresHeat-activated laminate requiredPressure-sensitive adhesive requiredSpecial substrat

26、es requiredSpecial inks requiredOne security feature requiredMultiple security features requiredOne-by-one validationClosure or seal requiredExpert verification requiredCourt evidence requiredUnique technology requiredEase of detection of alterationF 1448 93a (2006)27.1.9 Hot foil stamping.7.1.10 Ra

27、inbow printing.7.1.11 Fine line printing (guilloches and lathework).7.1.12 Photochromic ink.7.1.13 Planchettes.7.1.14 Specialty papers.7.1.15 Thermochromic ink.7.1.16 Micro lettering.7.2 Patented and Proprietary AnticounterfeitingTechnologyOne source for determining where availablepatented and propr

28、ietary information may be obtained is the(non-profit) International Anticounterfeiting Coalition, Inc.(IACC).4Another source is the Register of AntiCounterfeitingand Forgery Technologies.5NOTE 1When other sources have been identified, inclusion in futurerevisions will be considered.8. Forensic Labor

29、atory Evaluation of SecurityTechnologies8.1 The following are suggested details for evaluation ofsecurity technologies by a forensic laboratory:8.1.1 Photo-mechanical evaluation.8.1.2 Laboratory simulation.8.1.3 Mass reproduction analysis.8.1.4 Testing on a variety of color copiers (including lasert

30、ypes).8.1.5 Testing on a variety of black and white copiers.8.1.6 Chemical analysis.8.1.7 Laser scanner simulation.8.1.8 Electronic simulation.8.1.9 Tamper testing.9. Procedure9.1 This guide is utilized to define the CADDSS problem asit relates to the users products or documents.9.2 By using the mat

31、rix (Table 1), the user can specify therequirements needed for CADDSS technology.9.3 The user requirement matrix is compared to matrices setup for available technologies (5.1.2).9.4 The user selects and implements a system after evalua-tion and forensic laboratory testing (see Section 8).9.5 The fin

32、al step is to initiate an educational program forproper implementation and authentication procedures to con-trol counterfeiting, alteration, diversion, duplication, simula-tion, and substitution (CADDSS) of documents or products.10. Matrix (Fig. 1)10.1 The vertical axis Y of the matrix identifies th

33、e potentialproblem. The horizontal axis X identifies the possible technicalrequirement to aid in the evaluation of available technologies.10.2 Each parameter is considered by the person responsiblefor selection of an effective security system, while keeping inmind the requirements in the application

34、.10.3 The analyst places an “X” in the appropriate locationunder the parameter and across from one of CADDSS.11. Keywords11.1 CADDSS; counterfeit protection; product protection;security; security analysisASTM International takes no position respecting the validity of any patent rights asserted in co

35、nnection with any item mentionedin this standard. Users of this standard are expressly advised that determination of the validity of any such patent rights, and the riskof infringement of such rights, are entirely their own responsibility.This standard is subject to revision at any time by the respo

36、nsible technical committee and must be reviewed every five years andif not revised, either reapproved or withdrawn. Your comments are invited either for revision of this standard or for additional standardsand should be addressed to ASTM International Headquarters. Your comments will receive careful

37、 consideration at a meeting of theresponsible technical committee, which you may attend. If you feel that your comments have not received a fair hearing you shouldmake your views known to the ASTM Committee on Standards, at the address shown below.This standard is copyrighted by ASTM International,

38、100 Barr Harbor Drive, PO Box C700, West Conshohocken, PA 19428-2959,United States. Individual reprints (single or multiple copies) of this standard may be obtained by contacting ASTM at the aboveaddress or at 610-832-9585 (phone), 610-832-9555 (fax), or serviceastm.org (e-mail); or through the ASTM website(www.astm.org).4For information, contact the IACC, 818 Connecticut Ave., N.W., Suite 1200,Washington, DC 20006.5Issued by the Counterfeiting Intelligence Bureau, Essex, United Kingdom(updated twice a year).F 1448 93a (2006)3