Track and Trace with Dual Serialization: A Tutorial

Track and Trace with
Dual Serialization:
A Tutorial
January, 2014
© 2014 Kodak. K-182
Introduction
A Dual Serialization Track and Trace system employs both visible and invisible codes.
The invisible code creates a secondary backup if a visible code is intentionally removed
by diverters in an attempt to thwart investigations and enforcement actions. The invisible
codes are applied through variable printing and can be unique to each item, making this a
fully capable mass serialization process.
The Track and Trace System with Dual Serialization involves five major elements as
shown on the following slide. Implementation of Track and Trace usually requires
involvement from stakeholders in the departments aligned with each of these elements.
Element
Stakeholder Departments
➊
Marking Plan
Marketing (along with Production and Inspection)

Coding and Aggregation
Production
➌
Track Through Distribution
Distribution


Inspect
Inspection (e.g., Sales, Brand Protection, or Legal)
Enforce
Brand Enforcement (Brand Protection, Legal)
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1. The Marking Plan
Determining the best method for marking
and authenticating the product is a key step
that drives effectiveness and cost of the
entire brand protection program
➊
MARKING
PLAN
–  Experience and expertise is required to
determine the best way to mark the product
given the product materials, label materials,
existence of caps, manufacturing process,
and Brand Protection goals
Invisible (covert)
serialization
code
Overt
serialization
code
–  Overt and Covert Serialization codes can be
in the form of human readable
alphanumeric, 2D barcodes, or QR codes
(e.g., for supporting customer loyalty
programs).
12345
67890
–  Codes can represent the same or dissimilar
serial numbers (dissimilar numbers would
be linked in a database)
QR
Code
–  A layered approach is usually called for that
requires using serialization coding for antidiversion plus both overt and covert
technologies to combat counterfeiting
Track and Trace with Dual Serialization Tutorial
2D Barcode
(e.g., Data
Matrix)
Visible
(“Overt”)
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Alphanumeric
Invisible
(“Covert”)
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2. Coding and Aggregation
Implementation of the marking plan requires
design and application of workflows for both
the printing of codes and recording of
aggregations into the database.

CODING &
AGGREGATION
Applying Codes:
–  Codes are assigned by the software and are
applied with continuous inkjet industrial printers
Reading Codes:
–  Codes must be read for verification and for
entry into the serialization database
–  Standard industrial vision systems are
augmented with the technology for reading
covert serialization codes
Pallet
Resulting Data
Structure
Aggregation:
Case
–  A set of serialization codes are associated to a
case code to facilitate tracking by case
–  A set of case codes are associated with a pallet
code to facilitate tracking through distribution by
pallet (other aggregation hierarchies are
possible as well)
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Bottle
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3. Track Through Distribution
Overt case and pallet codes (and the overt
code on the product) are used in the
distribution channels to track product
movement and changes of custody
–  Typically requires interfacing with existing
systems
➌
TRACK THROUGH
DISTRIBUTION
–  May choose to only track to Brand Owner’s
first tier distributors or, additionally, enable
cooperation with other channel partners
–  Distribution partners do not need to know of
the existence of the covert code on the
product
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4. Inspect
Products can be inspected at point of sale or at
channel partner sites. Inspections can be
performed as part of a routine program or when
diversion is suspected or discovered.

INSPECT
By Inspectors
–  Overt code can be inspected via smartphone to
determine product’s intended distribution path
–  If the overt code has been altered product
diversion is suspected. Brand Protection
investigator can then use Traceless AD Viewer to
read the covert code to obtain distribution path
–  If the overt code has been altered and covert code
is not present, then counterfeit may be suspected
–  Inspectors could be brand owner’s employees or
3rd party investigators
By Consumers
–  Use their smartphones to scan a QR code as part
of a brand loyalty program. Invalid codes
submitted to loyalty system may indicate
counterfeit
–  Patterns of product scans may be used to
discover diversion
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5. Enforce
An online incident monitoring system is
utilized to aid enforcement.

–  Data input to the monitoring system is via
the “Inspect” phase
ENFORCE
–  System access via mobile devices including
smartphones
–  Web portals allow Brand Managers to
monitor all activities and make decisions
based on the results of authentication plus
automated system analyses
–  Fully configured dashboards and reporting
for Brand Management
–  High level view of all security issues
categorized by “Counterfeit,” “Diversion,”
“Recall”, and “Theft”
–  Brand Managers are able drill down to
details of each incident and view incident
locations
–  Automated and configurable reporting at a
global, region, and country level to monitor
incidents and support the enforcement
process
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© 2014 Kodak
Authentication Technologies
Numerous technologies are available to Brand Owners to protect their brand. A layering of
these technologies is often called for that serve the needs for both quick detection and
deterrence and detailed investigation of sophisticated counterfeits and diversions.
The following defines some of the terms often used to describe authentication technologies:
Forensic
In-lab Analysis: small molecule or DNA marking, elemental or
compositional characterization, Raman spectroscopy, mass spectrometry,
energy dispersive X-Ray diffraction (EDXRD)
Covert
Concealed: emissive taggants, magnetic taggants, unique microscopic
particles, optically variable devices (OVDs) with proprietary viewers, surface
roughness measurements, chemically responsive inks, hidden images,
invisible mass serialization
Semi-covert
Semi-concealed: micro-printing, UV or single wave-length IR-excitable
fluorescent inks, customized threads, encoded marks, photo-chromic inks
Overt
Visually Seen: overt holograms, color shifting ink, thermo-chromic ink,
decorative/ornate packaging, guilloches or ornate engravings, engineered
print defects, overt mass serialization
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© 2014 Kodak
For more information about
solutions from Kodak visit:
For informational videos about
Track and Trace, visit Kodak’s
Brand Protection channel on
YouTube:
www.kodak.com/go/brandprotection
http://bit.ly/1d7UWwt
Eastman Kodak Company
343 State Street
Rochester, NY 14650 USA
Track and Trace with Dual Serialization Tutorial
See the video, “Introduction to
Track and Trace Demonstration.”
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© 2014 Kodak