Questioned Documents

1
Questioned Documents
2
Questioned Documents Standards

• SFS1. Students will recognize and classify
  various types of evidence in relation to the
  definition and scope of Forensic Science.
• a. Compare and contrast the history of scientific
  forensic techniques used in collecting and
  submitting evidence for admissibility in court
  (e.g. Locards Exchange Principle, Frye standard,
  Daubert ruling).
• c. Determine the proper techniques to search,
  isolate, collect, and record physical and trace
  evidence.
• d. Evaluate the relevance of possible evidence at
  the site of an investigation.
•  SFS2. Students will use various scientific
  techniques to analyze physical and trace
  evidence.
• d. Identify methods used for the evaluation of
  handwriting and document evidence.
• e. Determine the appropriate uses of
  chromatography and spectroscopy in evidence
  analysis.

3
Questioned Documents

• Targets of forensic questioned-documents
  examiner forged checks, poison pen letters,
  ransom notes, disputed legal documents, altered
  ledgers, counterfeit identification papers
  similar fakes.
• Most of examiners methods fall under heading of
  handwriting typewriting comparison or forgery
  detection employ various analytical techniques.

4
Handwriting Comparison

• Ancient Jews took first step toward development
  of science of handwriting comparison by
  recognizing individuality that is inherent in
  handwriting.
• Graphology a pseudoscience that involves the
  supposed divining of personality from handwriting

5
Handwriting Comparison

• First time handwriting was crucial to widely
  famous case was during the Dreyfus affair of
  1894-95.
• French army officer Alfred Dreyfus was arrested,
  tried and convicted of spying on the basis of a
  forged letter the indicated his treason in giving
  important military secrets to Germany.

6
Handwriting Comparison

• Bertillon lacked handwriting expertise but used
  anthropometry as testimony to convict him.
• Dreyfus was declared innocent an freed from
  prison 12 years later.
• First major role handwriting played in American
  history was the Lindbergh kidnapping case.

7
Handwriting Comparison

• Invented form of x, simplification of t
  design double p written and other unusual
  traits such as not for note with an open o
  uncrossed tent-shaped t a to that
  resembled a w a bizarre form of the that
  looked like hle.
• Writing evidence against Hauptmann was assembled
  by Charles Appel, founder of FBI crime lab which
  opened in 1932.

8
Handwriting Comparison

• Appels handwriting comparison is considered so
  strong that it is still used in the training of
  document examiners.
• Many similarities may exist between two or more
  examples of writing by different individuals
  because their authors learned penmanship from the
  same writing system

9
Handwriting Comparison

• When a child first begins to learn the hart of
  handwriting, his first step is one of imitation
  only by a process of drawing.
• As he progresses, the matter of form recedes and
  the attention is centered on the execution of the
  various letters, actually written instead of
  drawn.

10
Handwriting Comparison

• Therefore, the writing system one learns yields
  class characteristics, and the distinctive or
  peculiar features that develop subsequently and
  that are not common to any group are individual
  characteristics.

11
Handwriting Comparison

• To see how unique handwriting might be, U.S.
  Postal Lab did study of 500 sets of fraternal
  identical twins writing samples.
• Conclusion differences in writing
  characteristics between various sets of twins
  were just as distinctive individualistic as
  would be expected between nonrelated persons.

12
Handwriting Comparison

• Any known specimen used for handwriting
  comparison is called a standard or older term
  exemplar.
• It is important that standards be as similar as
  possible to the questioned writing.
• Standards should contain similar words and letter
  combinations. They must be authentic.

13
PERSONAL Library (This book belongs...)(Bible, marginal notes, etc.)Public Library, Application, CardSales Receipts, Delivery signatures, etc.Greeting Card NotationsReport Card signaturesSchool, class, seminar, etc. notesInventories and other listingsIdentification/Membership CardsRecipes, Directions, etc.Photograph notationsCorrespondenceAddress, phone bookDiaries/Date BooksMemorandaManuscriptsRegistrationsPersonal Attendance RecordsPermits, Applications, LicensesPassportsDomestic, Foreign LicensesMemorabiliaSelf-Addressed Envelopes, Return Addresses, etc.Social SecurityEmployment ReviewRequest for Change FormsIncorporation, ProceedingsMail Orders FINANCIAL Household, Personal Account BooksCheck Registers, Canceled ChecksLocal, State, Federal Tax ReturnsBusiness, Employment recordsBookkeeping recordsPayroll receipts, check signaturesBank Signature CardsLoan ApplicationsCredit ApplicationsMortgage Applications, Guarantees, etc.Deposit/ Withdrawal slipsSafe Deposit Box AccessPromisory notesReceiptsCredit Cards, Rentals, Leases, etc.Major PurchasesHouse, Auto, Boat, Tax ReturnsInsurancesHouse, etc.Leases and Rental DocumentsStocks and Bonds - Broker documentsPledgesDeeds, MortgagesAnswers to InterrogatoriesPowers of AttorneyBond/Surety ApplicationsDivorce Papers
14
Handwriting Comparison

• The collected (or nonrequest) standards are
  specimens gathered from any of various sources.
• Canceled checks are a readily available source of
  dated signatures.
• Other standards my come from letters, diaries,
  manuscripts, etc.
• Both request and collected can be used together
  in a case.

15
Handwriting Comparison

• Sometimes check endorsements cannot be used as a
  spouse or other family member may have endorsed
  the check to cash or deposit it.
• Standards are of two basic types request
  standards and collected standards.
• Request standards have advantage of producing
  desired wording letter combinations but have
  drawbacks.

16
Handwriting Comparison

• One is they may lack the writers natural
  handwriting flow another is that the suspect may
  deliberately disguise his or her handwriting.
• Both problems can be partially prevented by
  having thee material dictated rather that copied
  and by having it repeated several times.

17
Handwriting Comparison

• Request standards can supplement collected ones
  for insufficient quantity collected standards
  can be compared with request exemplars to ensure
  against disguised writing.
• Identification of handwriting is based on a
  number of factors which may be grouped into 3
  main categories form, line quality arrangement.

18
Handwriting Comparison

• Form refers to characteristics related to shape
  of elements in handwriting or handprinting.
• Formation of letters - the shape of the
  individual upper- lowercase letters numbers.
• Movement of writing whether produced by fingers
  (usually lacking smooth lines having broad
  curves), by hand movement (somewhat freer
  writing), or forearm movement (allows the
  ultimate in freedom may be typified by
  smoothness in the long strokes).

19
Handwriting Comparison

• Other important aspects of form include
  proportion (relative height of letters), slant
  (when axes of certain letters consistently
  deviate from general slant of writing), retrace
  (when staffs of certain letters such as the t are
  retraced rather than looped), various angles,
  straight lines, curves (wherever they part from
  the norm)

20
Handwriting Comparison

• Connections (strokes that link one letter with
  another) and what are termed trademarks (very
  distinctive noncopybook features such as plus
  sign () used for and or the filling in of the
  space on a check between the written amount the
  printed word dollars with a wavy line or a
  series of dots.)

21
Handwriting Comparison

• Line quality may be influenced by type of
  writing instrument (ball-point or pencil).
• Nib tends to produce accented lines in the
  downstroke called shading, a careful analysis of
  which reveals the writers habitual pen position
  as well as amount of pressure exerted.

22
Handwriting Comparison

• A flowing script has a smooth line that indicates
  speed rhythm, where a slowly, laboriously
  penned script may indicate uniform pressure
  even shakiness or tremor. Beginning ending
  strokes may indicate speed of writing (usually
  being tapered in case of rapid writing due to pen
  is in motion or blunt from the pen being placed
  on the paper before writing starts.)

23
Handwriting Comparison

• Line quality may also include continuity
  (characterized by connecting strokes between
  letters.)
• Arrangement final handwriting category
  identification factors related to placement.
• Spacing (distance between letters, words lines)
  alignment (relationship of writing to base
  line an actual or imaginary line on which
  handwriting rests.)

24
Handwriting Comparison

• Evidentiary value may also be found in the width
  of margin their vertical alignment or lack
  thereof.
• Formatting refers to layout or arrangement of
  elements such as parts of a letter on a page.
  Signature placement (its positioning relative to
  body of writing.) Punctuation corrections may
  occur in many forms.

25
Handwriting Comparison

• Spelling can be used as an identification trait
  although it is considered a form of internal
  evidence to be discussed later.
• Questioned writing is examined first without
  reference to standards so as not to be
  influenced by pictorial resemblance that often
  exists between 2 handwritings. This way, the
  examiners judgment remains unbiased.

26
Handwriting Comparison

• 2nd step examine carefully the known or standard
  writings to determine genuine handwriting habits
  of the individual habits of form, line quality
  arrangement.
• Finally, examiner compares questioned writing
  with the standard searching for characteristics
  common to both.

27
Handwriting Comparison

• If characteristics are sufficient in kind
  number no significant unexplainable differences
  exist, he may conclude writings were made by same
  person.
• Estimated handwriting specimen might have between
  500 1,000 individual characteristics.

28
Handwriting Comparison

• Theory is that every time a person writes, he
  automatically subconsciously stamps his
  individuality in his writing. Through careful
  analysis interpretation of individual class
  characteristics, it is possible to determine
  whether questioned document standards were
  written by same person.

29
Forgery Detection

• Forgery detection represents the major portion of
  the work of the document specialist.
• In attempting to fraudulently reproduce a
  particular handwriting, such as a persons
  signature, the forger resorts to one of a few
  methods tracing, freehand copying, or mechanical
  placement.

30
Forgery Detection

• Tracing is most amateurish means of forging a
  signature or usually brief text.
• Typically one of two means is used the
  trace-over method or light box technique.
• Trace-over method faint outline of a genuine
  signature is transferred onto a sheet of paper
  placed underneath it by means of heavy pressure
  or the use of transfer paper.

31
Forgery Detection

• This outline, either an indented or a graphite-
  or carbon-paper copy, is then traced over in ink
  with an appropriate pen.
• Drawback of this approach is it tends to leave
  evidence. It is difficult to follow the outline
  exactly, so traces of indentations or carbon or
  graphite outline may show in the final pen work.
  Erasures of graphite traces may be detected also.

32
Forgery Detection

• Similar problems occur with 2nd method of
  tracing-using a light box or window.
• Original signature is placed under the sheet used
  for forgery backlighting makes writing visible
  through overlying paper. This leaves no telltale
  traces on forged document but does give labored
  appearance lacking smooth natural penmanship
  quality.

33
Forgery Detection

• Some fine detail of writing will be lost.
• Traced forgeries may also be detected when
  suspected model for forgery is available as in
  the case of the W.M. Rice will dated June 30,
  1900 valued at more than 6 million.

34
Forgery Detection

• Far superior to tracing is freehand technique at
  least in theory. A good tracing may still be
  better than an ineptly drawn one. Most inept of
  freehand forgeries is the spurious signature,
  made-up signature in the forgers own or
  disguised hand. Although somewhat more
  successful, the slowly copied forgery is produced
  in manner similar to tracing often has
  similarly poor qualities.

35
Forgery Detection

• Much more successful is the practiced freehand
  forgery. A talented calligrapher or artist with
  practice may eventually learn to imitate
  handwriting similar to the original which is in
  comparison smooth freely written. However, the
  forgers own traits tend to creep into the
  writing other problems may be discovered.

36
Forgery Detection

• Besides tracing freehand copying, there are
  methods of mechanically placing a signature onto
  a check projections, stampings signature
  splitting.
• Projections involve using an optical system
  (xerography) to reproduce a given signature onto
  a check or other document.

37
Forgery Detection

• There are special devices used by security
  agencies for producing clandestine (secret or
  marked) documents.
• Stampings involve simple forging of imprinted or
  rubber-stamped facsimile signatures are
  increasing on corporate checks.

38
Forgery Detection

• A split signature is one that is lifted off a
  genuine signature with transparent tape then
  transferred to a forged document usually a check
  that is made to appear torn at that point.
• Among numerous indicators that a writing may be
  spurious are the following evidence of tracing
  or prior drawing,

39
Forgery Detection

• forgers tremor (shaky handwriting, usually
  coupled with other signs of forgery), evenness in
  pen pressure, unnatural hesitations, uncertainty
  of movement, blunt beginnings endings,
  unnatural pen lifts (made by the forger to check
  the progress of his work), patching (careful
  retouching),

40
Forgery Detection

• uncommon forms (anything that differs from a
  writers usual habit), off-scale writing (writing
  much larger or smaller than the writers usual
  script), or excessive attention to detail.
• Nonhandwriting factors also may indicate forgery
  incorrect writing materials, lack of provenance
  (or historical record in case of historical
  documents)

41
Forgery Detection

• or internal evidence (mistakes of format,
  spelling, content, etc.)
• In addition, various scientific analysis also may
  reveal the forgers handiwork as well as restore
  erased writing assist the document expert in
  the various tasks that come to him or her.

42
Analytical Techniques

• The basic techniques for analyzing questioned
  documents include macroscopic microscopic
  study, various spectral techniques, and certain
  chemical and instrumental tests.
• Macroscopy is the scrutiny of things visible to
  the naked eye or with an ordinary magnifying
  glass.

43
Analytical Techniques

• It may be conducted by reflected light, oblique
  light (angle other than 90 degrees) or
  transmitted light.
• The usual viewing of a document (where light
  falls normally on the viewing surface) is called
  reflected-light examination. This basic
  inspection technique may reveal such fundamental
  errors as incorrect paper or pen choice or format
  errors.

44
Analytical Techniques

• Oblique-light examination (side-light or
  grazing-light) is conducted with light striking
  documents surface from one side at a low angle
  revealing shadows that are produced by any
  surface irregularities, notable erasures (the
  roughened surface may be revealed), indentations
  as from traced writing left on topmost sheet of
  paper

45
Analytical Techniques

• embossments (such as embossed seals), writing
  or typewriting on charred (burned) documents due
  to sheen of ink relative to blackened paper,
  providing contrast to be read and photographed.
• Document examination by transmitted light
  involves illuminating (lighting) it from behind
  by placing it on a light box so the light passes
  through the paper.

46
Analytical Techniques

• This helps to identify the type of paper, study
  watermarks that might be present detect
  erasures or other alterations.
• Changes in watermarks can provide a means of
  dating a document as with a will dated 1912 but
  watermark on paper wasnt made until 1916 making
  it a forgery.

47
Analytical Techniques

• It also reveals thin spots in paper caused by
  erasures especially in case of abrasive gray
  sand rubber type of eraser designed to remove
  ink writing.
• Backlighting also reveals the opposite effect
  increased opacity rather than translucency caused
  by correction materials such as white out in
  various formulas, pen ink, photocopies, etc.

48
Analytical Techniques

• In contrast to macroscopy, microscopy is used to
  provide higher magnification in document work. A
  relative low-powered stereoscopic or stereo
  microscope generally is used for direct
  inspection of a document and is typically mounted
  on an extension arm that permits use over large
  documents.

49
Analytical Techniques

• It provides a high-resolution, 3-D image,
  enabling the document examiner to view more
  accurately such subtle, depth-related features as
  nib tracks (furrows in paper left by steel or
  hard-nibbed pens), crossed pen strokes erasures.

50
Analytical Techniques

• It is ideal for determining the pen type used as
  well as for detecting studying patching
  (retouching) of writing, pen lifts, tremor,
  erasures, corrections, or other alterations,
  sequence of pen strokes (where one crosses
  another as in case of fluid inks with second line
  spreading into first line at intersections),
  identifying features in typewriting and more.

51
Analytical Techniques

• Standard lab microscope is reserved for examining
  minute traces such as a tiny sample of ink or
  paper removed from a document by using
  microchemical tests with reagents being applied
  with an eyedropper or hypodermic syringe
  reaction being observed under the microscope.

52
Analytical Techniques

• Both macroscopic and microscopic features can be
  photographed with good lighting and quality
  cameras to do the job.
• Document experts also have at their disposal
  various spectral techniques that take advantage
  of he invisible as well as visible spectrum such
  as infrared and ultraviolet light as well as
  laser technology.

53
Analytical Techniques

• Art experts use infrared lighting to detect
  undersketching alterations in paintings
  various artworks.
• Forensic experts use infrared lighting to
  decipher charred documents, to develop erased
  writing, to differentiate between certain types
  of ink some absorb infrared darken some
  reflect the rays lighten others transmit
  infrared disappear.

54
Analytical Techniques

• This makes it possible to distinguish between two
  different inks used for a document even though
  the inks appear the same in ordinary observation.
• It can be used to detect falsified checks with
  raised writing, postal-meter stamping, secret
  writing, read unopened letters if paper is
  transparent ink opaque detect differentiate
  stains and other tasks.

55
Analytical Techniques

• Laser technology more recent weapon used to fight
  forgery other criminal acts.
• It can be used to discriminate between similar
  inks when other methods failed.
• Forgeries can be detected by naturally
  ultraviolet, infrared laser photography such as
  fraudulent auto registration certificates and
  altered postmarks.

56
Analytical Techniques

• So far, all of these techniques are
  nondestructive tests leaving documents intact as
  used with valuable or historical documents.
• The nature of forensic work involves destructive
  techniques such as chemical tests like thin-layer
  chromatography to identify inks requiring tiny
  plugs punched from inked areas in question.

57
Analytical Techniques

• The most complete collection of writing ink
  reference samples is the 7,000 specimen
  International Ink Library housed in the
  Questioned Document Branch of the U.S. Secret
  Service Forensic Services Division.
• Iodine fuming may enhance indented writing
  reveal chemical other erasure as well as
  develop latent fingerprints. They fade quickly so
  promptly take photos.

58
Analytical Techniques

• As a field, questioned-document examination is
  increasingly coming under attack as a black art
  in part because of the degree of subjectivity
  that may be involved.
• It does have the unfortunate distinction of
  attracting more conflicting testimony than any
  other crime-lab discipline.

59
Analytical Techniques

• In response, a number of corrective procedures
  have either been implemented or recommended
  including eliminating graphology other
  pseudosciences from the courtroom, requiring
  appropriate training board certification of
  examiners, reducing heavy caseloads, ensuring
  sufficient appropriate exemplars are obtained
  for comparisons of handwriting

60
Analytical Techniques

• and urging ethics committees to deal with
  unethical examiners those willing to resolve
  any issue according to the wishes of the client.
• These other reforms may help to ensure that
  questioned-document examination meets the
  fundamental criterion of reproducibility of
  results thereby receives the credibility it
  deserves.

61
Case StudyThe Mormon Forgery Murders

• Salt Lake City, October 15, 1985 within 2 hours
  time, first one and then another pipe bomb
  exploded.
• Dead were Steve Christensen, a businessman and a
  grandmother, Kathy Sheets.
• Following day, third bomb exploded inside car of
  Mark Hofmann, a well-respected dealer in
  historical documents.

62
Case StudyThe Mormon Forgery Murders

• Hofmann survived with a missing kneecap various
  additional wounds as well as blackened from
  powder burns.
• He was questioned by police, passed the 4th lie
  detector test. Others were inconclusive. He was
  believed to have sent the first two bombs and the
  third exploded before he could give it to the
  intended person.

63
Case StudyThe Mormon Forgery Murders

• Possible motive for murders to cover up
  high-stakes fraud.
• It was suggested that rare documents recently
  sold or offered for sale by the mild-mannered
  personable devout Mormon were forgeries.
• His documents were found to be forgeries.
• He was a very clever forger.

64
Case StudyThe Mormon Forgery Murders

• He took classes in calligraphy, ancient staining
  aging techniques and did research on writing
  devices postmarks of the times of reproduced
  forgeries.
• He even made his own quill pens inks and
  purchased antique paper.
• A search warrant revealed incriminating evidence
  of his fraudulent activities.

65
Case StudyThe Mormon Forgery Murders

• Mark Hofmann was found guilty was sentenced to
  life imprisonment on January 24, 1987.
• He was sent to he Utah State Prison at Point of
  the Mountain.
• He wrote a letter to the family of the murder
  victim Kathy Sheets apologizing for his actions.

66
Case StudyThe Mormon Forgery Murders

• Forgers will go to tremendous lengths.
• Questioned-document examiners must remain ever
  watchful for innovative new techniques a
  comprehensive or multi-evidential approach that
  considers handwriting, provenance, linguistics
  other internal evidence from writing materials in
  which the results of scientific analysis is
  essential.