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Guardian substrate as an optical

medium for security devices

Hardwick, Bruce, Ghioghiu, Ana

Bruce A. Hardwick, Ana Ghioghiu, "Guardian substrate as an optical medium

for security devices," Proc. SPIE 3973, Optical Security and Counterfeit
Deterrence Techniques III, (7 April 2000); doi: 10.1117/12.382185

Event: Electronic Imaging, 2000, San Jose, CA, United States

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 GuardianTM Substrate As An Optical Medium
For Security Devices
Bruce Hardwick, Ana Ghioghiu

Note Printing Australia Limited, P0 Box 21, Craigiebum, Vic 3064 Australia

ABSTRACT

GuardianTM substrate is a coated polymer film that has demonstrated its suitability as a substrate for variety of printed
security documents. GuardianTM consists of a transparent flexible polymer core layer that is coated on both sides with an
opacifying coating that can be printed on using conventional printing techniques. Probably the most evolutionary feature of
this substrate architecture is that it provides the facility to create areas on a document that are either transparent or semi-
transparent, depending on how the coating is applied. Now for the first time documents can be secured using devices that
rely on transmission through a medium with high optical clarity. Guardian substrate provides the flexibility of varying
the degree of opacity to suit the device being employed. This paper discusses the benefits of this important capability, using
a number ofnew and adapted devices to demonstrate the potential ofthis new platform.

Keywords: GuardianTM banknotes, security, optical, substrate, clear window, transparent

1. INTRODUCTION

GuardianTM substrate is a novel material that is used for the printing of security documents such as banknotes. The history
of the Guardian TM substrate starts in the late 60's. It starts with the introduction of decimal currency in Australia when
counterfeiting ofthe newly released banknotes was detected and recognised as a major issue. The Reserve Bank of Australia
initiated a research program (that extended over two decades) in order to fmd suitable solutions to the problem. Diffraction
gratings were chosen as one of the answers and after many trials and evaluations a new substrate that can carry such a
device and explore its benefits to the maximum was born. Even in its infancy, the GuardianTM substrate had to satisfy all
the requirements that standard paper was conferring to the banknotes as well as provide a transparent media (window) that
will carry the diffraction grating. The current GuardianTM does provide the same basic functionality for the banknotes (and
other security documents) with the added flexibility for exploring of new ways and techniques in security devices.
GuardianTM consists of a transparent polymer core layer that is coated on both sides with opacifying coatings. This
substrate architecture provides the ability to design documents that can have transparent, semi-transparent and completely
opaque regions. Documents printed on GuardianTM substrate have the ability to combine traditional reflective security
devices with transmission-based devices that require a medium with high optical clarity. This important property of the
substrate has been utilised to develop a number of security features as well as to produce the classical features of the paper
substrate. Figure 1 represents a cross section ofthe GuardianTM based polymer banknote.

2. SUBSTRATE PROPERTIES

The core ofthe Guardian substrate is made out of BOPP (Biaxially Oriented Polypropylene). This transparent polymer will
confer on the finished product toughness and durability as well as the possibility for the incorporation of security devices
that are compatible with a transparent medium. The opacified coatings are designed to suit customer requirements
regarding design, colouration as well as carriers for some other security features.

The degree of coverage of the opacifying layers may be varied to enhance the security rating of the substrate. For example,
clear windows are created by no opacifying coverage and a shadow image is created by varying the opacifying coverage
according to the design. The functionality of the shadow image is accomplished by the use of a combination of inks and
design. A number of other security features may be designed in the opacifying layer that utilises the optical properties of
the material used.

176 In Optical Security and Counterfeit Deterrence Techniques Ill, Rudolf L. van Renesse, Willem A.
Vliegenthart, Editors, Proceedings of SPIE Vol. 3973 (2000) • 0277-786X/00/$1 5.00

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 Using this type of material as a substrate for security documents, other traditional security printing processes can be applied
in order to produce a document with a high security rating. These processes have been further developed to take advantage
of the optical properties of the GuardianTM substrate. The perfect registration of the Simultan offset process provides the
ability to print a see-through register device in the thin offset layer of a banknote (Figure 2). Intaglio printing is applied to
the GuardianTM substrate in a similar manner as it is applied to paper substrate. This raised type of printing provides the
banknote with a unique tactility and a number of security features.

The substrate is flat in comparison to the conventional paper substrate. The flatness can provide the banknote printer with
unique opportunities such as the use of highly reflective metallic inks that can enhance some of the standard security
features and at the same time provide the background for new security features such as the TIDE feature (Figure 3).

The polymer banknotes are covered with two clear overcoat layers to protect the note from soiling and provide a feel.
These extra layers provide the opportunity for a number of extra security features to be incorporated into the design.

The complex structure of the GuardianTM substrate provides the background for the incorporation for security features that
can utilise substrate optical properties to the best advantage. Extensive research and development has been directed towards
the enhancement of existing security features and the development of new security features. Security features that utilise
substrate optical properties can be classified in the following major groups.

. Shadow Image type security features

. Clear Window type security features
. Self-Authenticating Window based security features

3. SHADOW IMAGE TYPE SECURITY FEATURES

The functionality ofthe shadow image in GuardianTM substrate is the equivalent ofthe watermark on paper substrates. It is
an excellent optical variable device that is invisible in reflected light and visible in transmitted light. Good quality shadow
images are achieved by a careful selection and control of colour and opacity of the opacifying layers while maintaining a
homogenous printing surface characteristics of the substrate that are required for other security printing processes
(Figure 4).

4. CLEAR WINDOW TYPE SECURITY FEATURES

The clear window used in GuardianTM substrate is one of the pillars of polymer banknote technology, along with durability
and cleanliness. The clear window is a simple and effective deterrent to photocopying and/or scanning. It is the most
publicly recognisable feature on Australian banknotes, andi the fact that it is difficult to reproduce renders it as a very
important security feature.

However, the clear window provides an excellent platform for a large number of security devices that require the use of its
optical properties. So far the following features have been produced that utilise this important property: Complex Window,
Transitory Image, DOVD and DOE.

4.1 Complex Window

The complex window is a combination of the clear window and shadow image type security features. It is a feature that
ranges from total transparency to a high level of opaqueness. The image changes in transmission to the image in reflection
in a similar manner to the shadow image, with the added complexity ofthe highly transparent window. The optical property
of transmission / reflection of the complex window can create devices with good security rating and at the same time can be
easily recognisable by the general public. This device uses the transparency of the substrate to make a simple, secure and
aesthetically pleasing feature (Figure 5).

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 4.2 Transitory Images
The transitory image is a 3D-line structure embossed into the clear window. The image is created by the combination of two
line structures that are set at predetermined viewing angles. This creates an optically variable effect. When viewing the
feature from different angles each part becomes more or less visible because of the difference in reflection of the light from
the two different line structures. No distinct image is observable when viewed at a third viewing angle (Figure 6).

4.3 DOYD

Catpix DOVDs are highly reflective foil based devices that can be applied in a clear window, featuring an image that shows
very strong and eye-catching multi-colour variable effects when the user manipulates the note so as to view the image at
varying angles. Catpix DOVDs shows a high degree of colour brilliance at a broad range of angles. By combining the
transparency of the substrate with the DOVD, the security rating and aesthetic nature of the document is enhanced as the
DOVD may be viewed from both sides of the document (Figure 7). Furthermore, demetallised areas in DOVD's are
enhanced by being located in a transparent medium.

4.4 DOE PROJECTOR

The diffractive optical element (DOE) Projector is a transmission Fourier transform hologram (FTH) that projects an image,
either virtual or real, depending on illumination conditions. The device that is applied on the security document appears as a
translucent patch in the clear window. The Fourier transform is a 3D phase structure of a given image (see attachment 8)
that can visibly reconstruct the image to an observer when illuminated by a collimated beam of light. The collimated light
can be provided by a directed light beam source or distant point source of light, and in either case can be either
monochromatic or polychromatic.

When illuminated by a directed light beam source, such as a pen torch or laser, the collimated light in passing through the
phase structure in the clear window is transformed into a real projection of the original image that can be observed on any
nearby surface. On the other hand, the observer can view a virtual image reconstruction directly by holding the DOE
Projector to the eye and looking directly at a suitable light source through the DOE Projector. The visual effect that is
observed will depend on the chromaticity of the light source. If essentially monochromatic light is used, a monochromatic
image will result. If a polychromatic light source, chromatic aberration will cause a rainbowing effect because of the
wavelength dependence ofthe image reconstruction from the phase structure (Figure 8).

The method of observation suggests two different uses for this device. When the device is used to observe a virtual image
directly, it is providing overt security suitable for use by the public. In this mode, it is akin to a holographic watermark; not
seen until held up to the eye. When the device is used to project a real image, it can be used by members of the public who
have available a suitable light source, however it is operating in a mode that is more suitable for machine readable
applications.

5. SELF-AUTHENTICATING WINDOW BASED SECURITY FEATURES

Some ofthe newly developed and already applied security features utilise the transparency of the printed window as a self-
verifying device. Two ofthe recently introduced security features are iSAM and Metamerics.

5.1 Metameric Filter

Metamerism is a well known phenomenon that relies on materials changing their colour when viewed under different
lighting conditions. In the GuardianTM substrate case this property has been exploited to maximise the combined benefits of
its own security as well as the substrate specific features.

The self-authenticating metameric feature is composed of two parts. A see-through colour filter in the window is used to
view an image on other elements on the note. The metameric image is generally printed using special metameric inks that
match in colour in normal light and mismatch when viewed through the filter. (Figure 9).

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 This security feature is an excellent example of using the combination of the transparent and opaque areas of the
Guardian substrate.

5.2 tSAM® Screener

The iSAM® feature is a Joh. Enschede development and has been successfully used on Guardian TM substrate based
banknotes by incorporating both the see-through screener and modulated image in the one document.

The window component of the aranTM substrate is used as a carrier for the screener that is composed of a series of very
fine line structures. The pattern of the line structure is specially designed to complement that of an image that is part of the
self-verifying feature (iSAM®). The line structure of the tSAM® conceals a hidden image or text. This only becomes
recognisable when the two are overlapped (Figure 10).

6. THE FUTURE

The very nature of the Guardian TM substrate with its complex and flexible structure can be used as a backbone for
innovative and multifunctional security features. The clear window functionality has not been explored to its fttll potential
and extensive research is in progress to find new devices, new functionality and new concepts. The ability to incorporate an
optically transparent medium in a security document provides significant potential for the development of new optical
security features concentrating on light transmission rather than reflection. The use of reflection effects in optical security
documents has been the focus of development by many researchers until now primarily because a transparent medium has
not been available. The development of Guardian TM substrate and the use of the clear polymer for security documents now
provides an opportunity to explore optical effects that were not possible in the past. The future is the challenge.

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 00
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 Figure 4: Shadow Image

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Figure 5: Complex Window

Viewed in Reflection Viewed in Transmission

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 Figure 6: Transitory Images

Figure 7: OVD

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 Figure 8: Diffractive Optical Element

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 rigure o: L?lrrractlve Optical Element

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 Figure 9: Self Authenticating Metamerics

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 Figure 10 Self Authenticating MicroSAM

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