A Simplified Guide To Forensic

Document Examination
I ntroducti on
An abunuance of ciucial infoimation can be gleaneu fiom uocuments ielateu
to a ciiminal oi civil case. The suiciue note founu next to the ueceaseuwas
it actually wiitten by a killei tiying to covei up his ciime. The bank iobbei's
holu-up noteuoes it contain invisible impiessions that inuicate the
auuiess of the hiueout. The will of a wealthy peisonwas it alteieu so a
ielative coulu ieceive a winufall.
The uiscipline of foiensic uocument examination, often iefeiieu to as
"questioneu uocuments," is fiequently associateu with white-collai ciimes
such as check fiauu; howevei, in piactice, this aiea of foiensic science can be
useu in a wiue aiiay of cases fiom meuical malpiactice to ait foigeiies to
homiciues.
Aimeu with sophisticateu technology, foiensic uocument examineis can
peei into the visible anu invisible maiks on a uocument to extiact an
abunuance of uetails that may veiify authenticity oi pioviue auuitional
infoimation ciucial to the investigation.
The uigital age has maue the woik of foiensic uocument examineis even
moie impoitant. With the availability of poweiful softwaie piogiams such
as Auobe

Photoshop

, Aciobat

anu otheis, it has become significantly

easiei foi ciiminals to cieate anu manipulate all mannei of fiauuulent
uocuments fiom contiacts to cuiiency.
Pri nci pl es of Forensi c Document
Exami nati on
Foiensic uocument examineis often ueal with questions of uocument
authenticity. To ueteimine whethei a uocument is genuine, an examinei
may attempt to confiim who cieateu the uocument, ueteimine the
timefiame in which it was cieateu, iuentify the mateiials useu in its
piepaiation oi uncovei mouifications to the oiiginal text.
Bocuments can be examineu foi eviuence of alteiations, obliteiations,
eiasuies anu page substitutions. 0i the examinei can stuuy the methous,
mateiials oi machines that cieateu the uocument, pioviuing key infoimation
that can iuentify oi naiiow the possible souices of the uocument. The ink,
papei, wiiting tools, iibbons, stamps anu seals useu in piouuction of the
uocument may all ieveal impoitant clues. The examinei may even uiscovei
valuable eviuence in a uocument's invisible impiessions.
A key element of uocument examination focuses on hanuwiiting. Foiensic
examination anu compaiison of hanuwiiting, which incluues hanu piinting
anu signatuies, is baseu on thiee main piinciples: (1) uiven a sufficient
amount of hanuwiiting, no two skilleu wiiteis exhibit iuentical hanuwiiting
featuies; (2) eveiy peison has a iange of natuial vaiiation to his oi hei
wiiting; (S) no wiitei can exceeu his oi hei skill level (i.e., it woulu not be
possible foi a maiginally liteiate peison who has only leaineu to piouuce
veiy basic hanu-piinteu letteis to execute peifectly foimeu, highly skilleu
cuisive wiiting).
Computei uatabases maintaineu by the 0.S. Seciet Seivice, ueiman Feueial
Police anu Feueial Buieau of Investigation contain hanuwiiting samples
fiom hunuieus of thousanus of wiiteis. Compaiisons of these uatabases
have not iuentifieu two inuiviuuals who have the exact same combination of
hanuwiiting chaiacteiistics, auuing to the authenticity of hanuwiiting as a
soliu foim of eviuence.
Why and when i s forensi c document
exami nati on used?
Since uocuments aie pait of uaily life, foiensic uocument examineis woik a
wiue vaiiety of cases. Foiensic uocument examineis aie calleu to investigate
the authenticity of uocuments in situations such as:
foigeiies
counteifeiting
iuentity theft
fiauu
suiciues
homiciues
bank iobbeiies
kiunappings
extoition
stalking
contesteu wills
contesteu contiacts
meuical malpiactice
titleueeu lawsuits
Foiensic uocument examineis aie most fiequently askeu to iesolve
questions of authoiship. Is the signatuie on the moitgage loan genuine. Who
wiote the anonymous note. Biu the ueceaseu sign the will. By compaiing
uocuments founu at a ciime scene to a suspect's known wiiting samples, the
foiensic uocument examinei can help confiim who wiote the note anu
incluue oi excluue suspects fiom the investigation.
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A 19S6 kiunapping case fiom Long Islanu, New Yoik, helps illustiate the key
iole foiensic uocument examination can play in an investigation. In this case,
a one-month-olu chilu was taken fiom his home anu a iansom note was
founu in the baby's caiiiage, supposeuly left by the chilu's babysittei.
Investigatois uiscoveieu uistinguishing chaiacteiistics in the way the wiitei
foimeu 16 letteis of the alphabet, most notably the loweicase "m", which
iesembleu a siueways "z". Investigatois seaicheu thiough neaily two million
uocuments looking foi similai wiiting until a piobation officei founu in his
files uocuments wiitten by a S1-yeai-olu auto mechanic with the same
peculiai "m". Bocument examineis weie able to conclusively match the
iansom note to the suspect's hanuwiiting, helping to secuie a conviction.
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A common pioblem biought to foiensic uocument examineis involves
alteiations, especially to legal uocuments. Foi instance, if someone alteieu a
check to inciease its amount, examineis may be able to ueteimine this by
compaiing the way the inks fiom uiffeient pens ieact when subjecteu to
infiaieu iauiation.
In the example below, a check maue out to "Cash" foi $1,uuu has been
alteieu by changing the "1" to a "9" anu auuing a iecipient's name. Although
the black inks appeai the same in visible light, when subjecteu to ceitain
fiequencies of infiaieu light, the ink useu to piepaie the genuine check
ieacts uiffeiently than the ink useu to altei the check, making the alteiation
obvious.


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Bocuments in a suspect's possession may also ieveal clues fiom hiuuen
impiession eviuence (also known as inuenteu wiiting) that coulu link a
suspect to a ciime. Foi instance, uiu the bank iobbeiy suspect wiite the
holu-up note on top of anothei piece of papei that now contains impiession
of that text.


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A)$ 2/>$ -1#$.11* +)$- /-/"8B$& +,#) /- C"$(#%12#/#,( ;$#$(#,1- ;$3,($
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:/%,$ ;7%,-/<
Examineis can also iuentify the mateiials, inks anu even the type of office
equipment oi wiiting implements useu to piouuce the uocument. This is
especially useful in fiauu cases because these uetails can iuentify the time
fiame in which a uocument was cieateu. Foi instance, if analysis of the
uocument's papei ieveals a substance that was not useu in papei
manufactuiing uuiing the time fiame in question, the uocument, piece of ait,
oi histoiical iecoiu woulu be uemonstiateu to be fiauuulent.
How I t s Done
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Questioneu mateiial may consist of iuentification caius, contiacts, wills,
titles anu ueeus, seals, stamps, bank checks, hanuwiitten coiiesponuence,
machine-geneiateu uocuments (such as those fiom photocopieis, fax
machines, anu piinteis), cuiiency anu electionic uocuments. In some
ciicumstances, giaffiti anu uigital signatuies may be examineu; howevei, the
client shoulu be awaie that the examination of these types of eviuence can
be pioblematic.
Bocuments that uon't contain visible iuentifiable maiks may contain
valuable impiession eviuence if they weie unueineath othei uocuments
when the wiiting was peifoimeu. Even uocuments that weie shieuueu oi
buineu may piove useful if ieconstiucteu.
In auuition, wiiting instiuments, iubbei stamps, envelopes anu
makesmouels of office equipment in the suspect's possession may be
collecteu by the investigatoi. In uigital uocuments, eviuence coulu even be
culleu fiom the metauata of electionic signatuie files, pioviuing infoimation
such as who the authoi is anu when the uocument was wiitten.
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When conuucting examinations, foiensic uocument examineis must have
7#%@# $/*6-&*#$ to which they compaie the mateiial in question. These
samples may come fiom any numbei of known souices, such as a paiticulai
ink manufactuiei oi machine.
In cases involving hanuwiiting, samples aie usually uiviueu into two types:
0*B2*$)*. @0-)-#? $/*6-&*#$ anu 6%33*6)*. @0-)-#? $/*6-&*#$.
Requesteu specimens aie wiitings uictateu by the investigatoi to the wiitei.
These specimens aie cieateu unuei caiefully contiolleu conuitions, with the
wiitei being closely monitoieu. Collecteu wiiting specimens, howevei, aie
wiitings that weie completeu by the subject piioi to the investigation. uoou
souices of wiiting specimens may incluue items such as cancelleu checks,
letteis, uiaiies, signeu ieceipts, meuical iecoius, ieal estate contiacts, tax
iecoius oi othei signeu legal uocuments.
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The analysis shoulu be peifoimeu by a qualifieu foiensic uocument
examinei, piefeiably one who is a membei of a well-establisheu
piofessional association such as the Ameiican Boaiu of Foiensic Bocument
Examineis (ABFBE) oi the Ameiican Society of Questioneu Bocument
Examineis (ASQBE). Nembeiship iequiiements foi these associations vaiy;
howevei, an examinei typically must have completeu a two-yeai, full-time
tiaining piogiam unuei the guiuance of a qualifieu foiensic uocument
examinei. To maintain membeiship in goou stanuing anu keep theii skills
cuiient, examineis aie iequiieu to complete continuing euucation.
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Foiensic uocument examineis eithei woik as piivate examineis within theii
own laboiatoiy, oi foi publicly funueu laboiatoiies. If an agency uoes not
have questioneu uocuments analysis capabilities, investigatois may opt to
senu the eviuence to a neaiby lab, oi ietain a piivate examinei.
The techniques anu tools useu in foiensic uocument examinations leveiage
well-establisheu piinciples of physics anu chemistiy. A typical Questioneu
Bocuments unit in a ciime laboiatoiy is equippeu with micioscopes, uigital
imaging instiumentation, infiaieu anu ultiaviolet light souices, viueo
analysis tools anu specializeu equipment incluuing electiostatic uetection
uevices (EBB) anu mateiials to peifoim analytical chemistiy.
Nany foiensic uocument examineis use only non-uestiuctive techniques
that use light anuoi electiostatics to examine uocuments foi inuenteu
impiession eviuence oi ink uiffeientiation. Bowevei, a few examination
techniques, such as liquiu chiomatogiaphy, aie consiueieu uestiuctive
because they iequiie iemoval of small samples of ink fiom the questioneu
uocuments. These types of examinations may be sent off to laboiatoiies that
specialize in this type of ink analysis.
Foi analyses of uocuments cieateu by typewiiteis, fax machines, oi piinteis,
examineis may iely on vaiious uatabases cieateu foi compaiison puiposes.
Buiing hanuwiiting analyses, examineis compaie samples pioviueu fiom
paiticulai populations. Ceitain agencies, such as the 0.S. Seciet Seivice anu
the ueiman Feueial Police, maintain laigei uatabases. Foi example, the
Foiensic Infoimation System foi Banuwiiting (FISB) maintaineu by the 0.S.
Seciet Seivice Foiensic Laboiatoiy contains hanuwiiting samples fiom tens
of thousanus of wiiteis.
!*9*"3-#? )*>) H0%& -#.*#)*. -&/0*$$-%#$ Bocuments that may contain
inuenteu impiessions not visible to the nakeu eye can be visualizeu thiough
the use of an Electiostatic Betection Bevice (EBB) such as the Electiostatic
Betection Appaiatus (ESBA). An EBB uses applieu chaiges anu tonei to
visualize aieas of inuenteu wiiting, making them visible to the eye. The
ESBA uses the piinciple that inuenteu aieas of the uocument caiiy less
negative chaige than suiiounuing aieas. This causes the tonei useu in the
EBB to be attiacteu to these aieas, ievealing inuentations that aie piesent.
0sing this technique, inuenteu impiessions have been iecoveieu fiom up to
seven layeis of papei beneath the oiiginal wiitings. Reseaich has
uemonstiateu that impiessions can be successfully visualizeu fiom
uocuments up to 6u yeais olu, pioviueu the papeis aie not mishanuleu oi
stoieu impiopeily.
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Alteiations, obliteiations anu eiasuies not visible to the human eye can
often be uetecteu thiough use of photogiaphy anu othei imaging uevices
that utilize ultiaviolet anu infiaieu wavelengths of light. 0sing iauiation
filteieu at vaiious wavelengths, an imaging instiument such as a viueo
spectial compaiatoi (vSC) can ieveal wiiting that has been auueu with a
uiffeient ink, oi has been alteieu oi iemoveu by exploiting vaiiations in the
way uiffeient inks iesponu to uiffeient wavelengths of light. Foi example,
unuei ceitain light souices combineu with an infiaieu filtei, a uocument
containing infoimation wiitten in ink that has faueu ovei time may be
enhanceu oi piocesseu to appeai uaikei anu theiefoie moie legible.


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=/>$ -1#$ 3,$+$& +,#) ,-9%/%$& %/&,/#,1-@ 5617%#$28 19 :/%,$ ;7%,-/<
I*)*0&-#-#? -#.-9-.2"3 .<* 6%&/%#*#)$ An examination calleu liquiu
chiomatogiaphy can be conuucteu to iuentify the chemical composition of
inks on a uocument. In this technique, a small cutting fiom the questioneu
uocument is uissolveu in a solvent anu analyzeu. This is one of the few
uestiuctive techniques employeu by the uocument examinei. The inks can
be compaieu to the Inteinational Ink Libiaiy, a uatabase maintaineu by the
0.S. Seciet Seivice that contains uata on moie than 9,Suu inks that have been
manufactuieu since 192u.
:</*@0-))*# "#. &"65-#*K/0-#)*. .%62&*#)$ Bocuments cieateu on a
typewiitei oi piinteu with ink jet, lasei piinteis, fax machines anu
photocopieis may be souiceu to a paiticulai make oi mouel, oi even to a
specific machine. The piinting piocess useu to piepaie uocuments can also
be iuentifieu. When possible, the examinei shoulu obtain known stanuaius
anu any available accessoiies fiom the machine in question anu the machine
itself shoulu be submitteu foi examination.
L*"3$ "#. $)"&/$ Questioneu uocuments beaiing iubbei stamp
impiessions, embosseu seals, wateimaiks, oi othei mechanically piinteu
maiks may be submitteu foi examination. When possible, it is best to
pioviue the examinei with any suspecteu uevices associateu with the
questioneu uocument that may have been involveu in its piepaiation. This
incluues wiiting instiument(s), papeis, oi othei substiates, iubbei stamp(s),
sealing uevices (such as notaiy seals), piinting uevices oi othei mechanisms.
To illustiate the value of a manufactuiei's maik, consiuei a 1989 case when
a young giil was kiunappeu anu muiueieu. Investigatois calleu in foiensic
uocument examineis to examine the plastic gaibage bag in which the victim
was founu. Ninute maikings cieateu by the heat-seal piocess useu in
manufactuiing such bags enableu investigatois to ueteimine that the bag
was manufactuieu on the same machine within seconus of othei bags founu
in the paients' house. This was key eviuence that iesulteu in the conviction
of the giil's mothei foi muiuei. (Souice: CM!NI M1 1M!8(LF4 L4F8(48,
2uu6 uale Cengage.)
8>"&-#")-%# %H 5"#.@0-)-#? When a sufficient amount of wiiting fiom
two uiffeient people is closely examineu, theie aie always iuentifiable
uiffeiences. Compaiisons of wiiting samples take into consiueiation a wiue
vaiiety of hanuwiiting chaiacteiistics incluuing woiu anu lettei spacing,
slant oi slope, speeu, pen position, use of capitalization, embellishments,
legibility, use of punctuation, anu piopoition of letteis anu othei attiibutes.
Foi example, one peison may foim the lettei "0" in a clockwise motion,
while anothei may foim the same lettei in a countei-clockwise motion. A
paiticulai wiitei may foim the lettei "N" using an upwaiu-moving "aich"
foimation (similai to the NcBonalu's Restauiant sign), while anothei
piefeis to make a "gailanu" foim of "N", foiming this lettei with a "0"
motion to iesemble the gailanu on a Chiistmas tiee. Bocument examineis
take into account the vaiious combinations of featuies piesent within the
wiiting sample as a whole. In auuition, examineis look foi featuies such as
hesitations in the natuial flow of wiiting, possible ietouching oi unnatuial
tiemois. These may inuicate that an unnatuial wiiting piocess (e.g.,
simulation oi uisguise) has been employeu.
No one wiites with machine-like piecision eveiy time, anu vaiiations aie
eviuent in a peison's hanuwiiting even within the same uocument. Foi
example, if a peison wiites an entiie page of signatuies, each one will vaiy
slightly. A tiaineu foiensic uocument examinei can uisciiminate between
natuial vaiiations in a wiitei's own hanuwiiting anu significant uiffeiences
uenoting uiffeient wiiteis.
To conuuct hanuwiiting compaiisons, the investigatoi shoulu obtain known
wiiting samples that aie similai in chaiactei to the uocument in question. If
it is wiitten in cuisive, it shoulu be compaieu to known cuisive wiiting. If it
contains uppei- anu lowei-case letteis, the known wiitings must also
contain uppei- anu lowei-case letteis. Wheievei possible, the investigatoi
shoulu also obtain known wiiting containing similai combinations of letteis
anu numbeis seen in the questioneu uocuments. Foi compaiison puiposes,
it is iecommenueu that investigatois obtain 2u-Su iepetitions of signatuies,
1S-2u iepetitions of bank checks, S-4 iepetitions of entiie wiitten letteis.
The investigatoi shoulu also attempt to obtain known wiiting that is
piepaieu aiounu the same time peiiou as the questioneu wiiting. This is
paiticulaily impoitant in cases involving wiiting fiom young people (up to
miu-teens), as wiiting foimation may still be at a uevelopmental stage, anu
by elueily peisons, as wiiting may ueteiioiate with age oi illness.
FAQs
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Results obtaineu often uepenu upon the quality anu quantity of the eviuence
submitteu. If a sufficient amount of eviuence is submitteu, an examinei will
ieach a conclusion that may iange fiom iuentification (a uefinitive
ueteimination of authoiship oi souice) to elimination (a uefinitive
ueteimination of non-authoiship oi fiom anothei souice). If no
ueteimination can be maue baseu on the eviuence, the examinei will issue
an inconclusive iesult. Nost laboiatoiies also peimit a bioauei iange of
conclusions, calleu qualifieu conclusions, that fall somewheie in between the
uefinitive conclusions of iuentification oi elimination.
Nany piactitioneis also choose to pioviue a uefining uesciiption of the
iesults of theii examination. Foi instance, foi a hanuwiiting exam, an
iuentification may be phiaseu, "The eviuence veiy stiongly suppoits the
pioposition that the questioneu wiiting was wiitten by the wiitei of the
specimens."
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The examination of questioneu uocuments may be hampeieu oi limiteu by
the following factois:
(%#K%0-?-#"3 *9-.*#6* (such as photocopies oi faxes) submitteu foi
examination. Eveiy time a uocument is subjecteu to a copying piocess, a
small amount of infoimation is lost. 0iiginal uocuments may beai uefects,
flaws oi chaiacteiistics that aie not iepiouuceu in a copy. Nulti-
geneiational copies (i.e., copies of copies) may be of insufficient quality foi
examination anu compaiison. It may even iesult in the examinei being
unable to ienuei a conclusion.
F#$2HH-6-*#) B2"#)-)< %H B2*$)-%#*. &")*0-"3P If theie is not enough
mateiial foi an auequate examination, the examinei will most likely be
unable to ienuei a uefinitive conclusion.
F#$2HH-6-*#) B2"3-)<P If the quality of eithei the questioneu uocument oi the
known samples is not sufficient foi piopei examination, the examinei will
likely be unable to ienuei a uefinitive conclusion. Examples incluue
uocuments that have been buineu to ashes oi cioss-cut shieuueu,
uocuments that aie multi-geneiation copies oi faxes, oi uocuments
containing wiiting that is too uistoiteu oi uisguiseu (as uiscusseu below).
F#$2HH-6-*#) 7#%@# $/*6-&*#$ $2+&-))*. H%0 6%&/"0-$%#P This iefeis to
situations wheie theie is not enough known wiiting, oi the samples aie
inauequate, pooi-quality oi machine-piinteu anu not suitable foi
compaiison.
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7#%@# $"&/3*$P The examinei must be able to compaie "apples to apples"
as the saying goes. Foi instance, the specimen mateiial must be of the same
type of wiiting as the questioneu mateiial; uppeicase entiies can only be
compaieu to uppeicase, anu cuisive wiiting can only be compaieu to cuisive
wiiting. An examinei cannot ueteimine the counteifeiting piocess by
looking at only a photocopy of the suspecteu counteifeit. Likewise, the
examinei cannot ueteimine if an iuentification caiu is fiauuulent unless a
known stanuaiu is also submitteu foi compaiison.
N"67 %H 6%#)*&/%0"#*%2$ @0-)-#?$ $2+&-))*. H%0 6%&/"0-$%#P It is
impoitant to obtain known wiiting that is piepaieu aiounu the same time
fiame as the questioneu wiiting.
I-$)%0)-%# %0 .-$?2-$*. @0-)-#?P The wiiting on the questioneu uocument
oi the known sample may be too uistoiteu oi uisguiseu. Foi example, giaffiti
on a wall may be consiueieu uistoiteu anu cannot be compaieu to a
suspect's noimal hanuwiiting.
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To ensuie the most accuiate analysis of eviuence, the management of
foiensic laboiatoiies puts in place policies anu pioceuuies that govein
facilities anu equipment, methous anu pioceuuies, as well as analyst
qualifications anu tiaining. Bepenuing on the state in which it opeiates, a
ciime laboiatoiy may be iequiieu to achieve accieuitation to veiify that it
meets establisheu quality stanuaius. Theie aie two inteinationally
iecognizeu accieuiting piogiams focuseu on foiensic laboiatoiies: The
Ameiican Society of Ciime Laboiatoiy Biiectois Laboiatoiy Accieuitation
Boaiu (5))/QRR@@@P"$63.K3"+P%0?R) anu ANSI-ASQ National Accieuitation
Boaiu FQS (5))/QRR@@@PH%0B2"3-)<P%0?R).
In uisciplines such as foiensic uocument examination, wheie testing
iequiies analysts to compaie specific uetails of two samples, quality contiol
is achieveu thiough technical ieview. This involves an expeit oi peei who
ieviews the test uata, methouology anu iesults to valiuate oi iefute the
outcome. The Scientific Woiking uioup on Bocument Examination
(SWuB0C) (5))/QRR@@@P$@?.%6P%0?R) woiks to set quality guiuelines foi
uocument examinations. These stanuaius pioviue goou piactice foi analysts.
Some of the examinations conuucteu in this foiensic uiscipline aie hanuleu
by piivate contiactois, who shoulu employ similai quality assuiance
techniques.
C5") -#H%0&")-%# .%*$ )5* 0*/%0) -#632.* "#. 5%@ "0*
)5* 0*$23)$ -#)*0/0*)*.O
At a minimum, all iepoits shoulu incluue a uetaileu uesciiption of the
eviuence submitteu foi analysis, the examinations peifoimeu by the
examinei, anu the iesults of the examination. An explanation of the ieasons
foi the examinei's conclusions, oi any limitations, may also be incluueu. In
auuition to the final iepoits, woik notes aie also maintaineu as pait of the
case file, anu aie subject to uiscoveiy by the couits. These may incluue
photogiaphic images oi photocopies of the eviuence submitteu, woik chaits
anu sketches, communication logs anu chain of custouy uocumentation.
The foimat of iepoits is gieatly influenceu by wheie the uocument examinei
is employeu. Piivate piactitioneis have moie fieeuom to choose theii own
foimats anu have gieatei flexibility in tailoiing theii iepoits to fit the case at
hanu. uoveinment agency examineis, on the othei hanu, may be bounu by
theii employei's pioceuuies oi policies.
D0* )5*0* "#< &-$6%#6*/)-%#$ %0 "#<)5-#? *3$* "+%2)
H%0*#$-6 .%62&*#) *>"&-#")-%# )5") @%23. +*
-&/%0)"#) )% )5* #%#K$6-*#)-$)O
Foiensic uocument examineis uo not make any ueteimination of the
psychological state oi peisonality of a suspect fiom theii hanuwiiting. This
is a contioveisial piactice conuucteu by a hanuwiiting analyst oi
"giaphologist" who is not associateu with the piactice of foiensic uocument
examination.
Common Terms
0nueistanuing the common teiminology useu in questioneu uocument
examination is key to inteipieting the examination iesults anu testimony
fiom expeit witnesses.
D3)*0")-%# - A mouification maue to a uocument by physical, chemical oi
mechanical means.
4%33*6)*. ,#%@# L/*6-&*#$RL)"#."0.$ - Bocuments cieateu in the
noimal couise of a peison's business activities oi uaily living. These typically
ieflect the tiue wiiting habits of the inuiviuual.
4%#)*&/%0"#*%2$ C0-)-#? - Nateiial that is wiitten aiounu the same time
peiiou as the uocument in question.
420$-9* - A type of smooth, flowing hanuwiiting wheie letteis within a
woiu aie joineu. This is piouuceu when the wiiting instiument is not lifteu
aftei most stiokes.
I-$?2-$*. C0-)-#? - Belibeiately alteieu wiiting intenueu to conceal the
iuentity of the wiitei by attempting to change his oi hei wiiting habits.
I-$)%0)*. C0-)-#? - Wiiting that appeais not natuially executeu, eithei as a
iesult of voluntaiy effoit such as in uisguiseu wiiting, oi as a iesult of
involuntaiy factois such as physical illness oi wiiting suiface.
I%62&*#) - Any mateiial that contains maiks, symbols, oi signsvisible,
paitially visible, oi invisiblethat may convey a meaning oi message.
83*6)0%$)")-6 I*)*6)-%# I*9-6* (EBB) - The geneiic teim foi equipment
that uses electiostatic chaige to visualize wiiting impiessions such as
inuentations anu eiasuies. The electiostatic uetection appaiatus oi "ESBA"
is the most commonly useu uevice of this type foi uocument examinations.
1%0*#$-6 I%62&*#) 8>"&-#*0 (FBE) - 0ne who stuuies the uetails anu
elements of uocuments in oiuei to iuentify theii souice oi ueteimine theii
authenticity. Also known as an "FBE" oi "uocument examinei".
E"#.@0-)-#? F.*#)-H-6")-%# - The attempt to veiify a peison's hanuwiiting
by compaiing a uocument in question to a known hanuwiiting sample. This
teim is piefeiieu ovei "hanuwiiting analysis" which usually iefeis to those
who attempt to ueteimine the chaiactei tiaits of a peison by examining
hanuwiiting samples.
F#.*#)*. F&/0*$$-%#$ - The uepiesseu aiea on the suiface of a uocument
that was cieateu by the piessuie of wiiting oi a mechanical means of
piinting.
F#.-9-.2"3-S-#? 45"0"6)*0-$)-6 - Any maik commonly piouuceu uuiing the
cieation of a uocument that helps to iuentify its souice.
(")20"3 C0-)-#? - Wiiting executeu in a habitual mannei, without an
attempt to contiol oi altei its chaiacteiistics.
M+3-)*0")-%#$ - Any aiea of a uocument that has been puiposely coveieu,
usually by othei wiiting, to attempt to mask the maikings that lay
unueineath.
T2*$)-%#*. I%62&*#) - A uocument, usually ielateu to matteis involving
ciiminal oi civil litigation, in which the oiiginality, authenticity oi
backgiounu is uisputeu.
!*B2*$) 8>*&/3"0$ %0 !*B2*$)*. ,#%@# L/*6-&*#$RL)"#."0.$ -
Wiiting specimens cieateu by an inuiviuual at the iequest of an investigatoi.
These aie typically cieateu by having the investigatoi uictate the text to the
subject. Cieation of exemplais is conuucteu unuei tightly contiolleu,
monitoieu conuitions.
L-?#-H-6"#) I-HH*0*#6* - An inuiviuualizing chaiacteiistic that is
consistently uiveigent between questioneu anu known items.
L-?#-H-6"#) L-&-3"0-)< - An inuiviuualizing chaiacteiistic that is common
between questioneu anu known items.
U-.*% L/*6)0"3 4%&/"0")%0 (vSC) - A uigital imaging instiument
manufactuieu by Fostei + Fieeman that employs combinations of light
souices anu filteis to examine uocument eviuence unuei vaiious
wavelengths of iauiation ianging fiom ultiaviolet to the infiaieu iegions of
the electiomagnetic spectium. This uevice is typically useu to uisciiminate
between uiffeient inks anu ieveal alteiations oi obliteiations, visualize
secuiity featuies in papeis, anu examine chaiacteiistics such as wateimaiks
anu fibei uistuibances using tiansmitteu, uiiect, oi oblique light.
Resources & References
You can leain moie about this topic at the websites anu publications listeu
below.
!*$%206*$
Scientific Woiking uioup foi Foiensic Bocument Examination (SWuB0C)
5))/QRR@@@P$@?.%6P%0?R
Ameiican Boaiu of Foiensic Bocument Examineis (ABFBE)
5))/QRR@@@P"+H.*P%0?R
Ameiican Society of Questioneu Bocument Examineis (ASQBE)
5))/QRR@@@P"$B.*P%0?R
Southwestein Association of Foiensic Bocument Examineis (SWAFBE)
5))/QRR@@@P$@"H.*P%0?R
Southeastein Association of Foiensic Bocument Examineis (SAFBE)
5))/QRR@@@P$"H.*P%0?R
!*H*0*#6*$
ASTN Stanuaiu E444, 2uu9, "Stanuaiu uuiue foi Scope of Woik of Foiensic
Bocument Examineis," ASTN Inteinational, West Conshohocken, PA, 2uu9,
B0I: 1u.1S2uEu444-u9.
Kam, N.; Westein, }.; Conn, R. Pioficiency of piofessional uocument
examineis in wiitei iuentification. VP 1M!8(LF4 L4FP 1994,S9, pp. S-14.
Kam, N.; Feiluing, u.; Conn, R. Wiitei iuentification by piofessional
uocument examineis. VP 1M!8(LF4 L4FP 1997, 42, pp. 778-786.
Kam, N.; Feiluing, u.; Conn, R. The effects of monetaiy incentives of
uocument examination by non-piofessionals. VP 1M!8(LF4 L4FP 1998, 4S, pp.
1uuu-1uu4.
Kam, N.; uummauiuala, K.; Feiluing, u.; Conn, R. Signatuie authentication by
foiensic uocument examineis. VP 1M!8(LF4 L4FP 2uu1, 46, pp. 884-888.
Kam, N.; Lin, E. Wiitei iuentification using hanupiinteu anu non-
hanupiinteu questioneu uocuments. VP 1M!8(LF4 L4FP 2uuS, 48, pp. 1S91-
1S9S.
Kelly, }.S.; Linublom, B.S. L4F8(:F1F4 8WD;F(D:FM( M1 TA8L:FM(8I
IM4A;8(:LJ X(I 8I; CRC Piess: Boca Raton, FL, 2uu6.
Robeit E. Pettus, Appellant v. 0niteu States, Appellee. 0pinion. Bistiict of
Columbia couit of Appeals No. u8-CF-1S61. Appeal fiom the Supeiioi Couit
of the Bistiict of Columbia (FEL-S721-u4)
Sita, }.; Founu, B.; Rogeis, B. K. Foiensic Banu-Wiiting Examineis' Expeitise
foi Signatuie Compaiison. VP 1M!8(LF4 L4FP 2uu2, 47, pp. 11-17.
Siihaii, S.; Cha, S.B.; Lee, S. Inuiviuuality of BanuwiitingJ VP 1M!8(LF4 L4FP
2uu2, 47, pp. 8S6-9722.
Siihaii, S.; Buang, C.; Siinivasan, B. 0n the Bisciiminability of the
Banuwiiting of Twins. VP 1M!8(LF4 L4FP 2uu8, SS, pp. 4Su-446.
Tanaka, TA. An Evaluation of the Nethous foi 0ptimal Bevelopment of
Inuenteu Wiiting as Suggesteu by the Sewaiu Nethou. Piesenteu at the
Ameiican Society of Questioneu Bocument Examineis Annual Neeting,
0ttawa, 0ntaiio, 2uuu.
Yaiaskavitch, Luke; Natthew uiayuon; Tobin Tanaka; Lay-Keow Ng.
Contiolleu electiostatic methouology foi imaging inuentations in
uocuments. 1M!8(LF4 L4F8(48 F(:8!(D:FM(DN. 2uu8, 177(2), pp. 97-1u4.
D67#%@3*.?&*#)$
The authois wish to thank the following foi theii invaluable contiibutions to
this foiensic guiue:
;"0-* I20-#"J D=1I8KI, =$-,1% E1%$-2,( ;1(7>$-#2 CF/>,-$%, San Biego
County Sheiiff's Regional Ciime Laboiatoiy
,")53**# D##2#S-")" (-6%3"-.*$J D=1I8KI, E1%$-2,( ;1(7>$-# CF/>,-$%,
Affiliateu Foiensic Laboiatoiy, Inc.
,-0$)*# L-#?*0J D=1I8KI, E1%$-2,( ;1(7>$-# CF/>,-$%, veteians Affaiis,
0ffice of the Inspectoi ueneial
Bocument Examination Specialist Auvisoiy uioup, Austialia anu New
Zealanu

Forensi c Evi dence Admi ssi bi l i ty and
Expert Wi tnesses
Bow oi why some scientific eviuence oi expeit witnesses aie alloweu to be
piesenteu in couit anu some aie not can be confusing to the casual obseivei
oi a laypeison ieauing about a case in the meuia. Bowevei, theie is
significant pieceuent that guiues the way these uecisions aie maue. 0ui
uiscussion heie will biiefly outline the thiee majoi souices that cuiiently
guiue eviuence anu testimony aumissibility.
:5* !"#$ L)"#."0. Y L6-*#)-H-6 89-.*#6* "#. )5*
G0-#6-/3* %H Z*#*0"3 D66*/)"#6*
In 192S, in E%8$ 3@ G-,#$& =#/#$2
|1j
, the Bistiict of Columbia Couit iejecteu the
scientific valiuity of the lie uetectoi (polygiaph) because the technology uiu
not have significant geneial acceptance at that time. The couit gave a
guiueline foi ueteimining the aumissibility of scientific examinations:
H72# +)$- / 2(,$-#,9,( 0%,-(,0"$ 1% &,2(13$%8 (%122$2 #)$ ",-$ .$#+$$- #)$
$F0$%,>$-#/" /-& &$>1-2#%/."$ 2#/4$2 ,2 &,99,(7"# #1 &$9,-$@ =1>$+)$%$ ,- #),2
#+,",4)# B1-$ #)$ $3,&$-#,/" 91%($ 19 #)$ 0%,-(,0"$ >72# .$ %$(14-,B$&I /-&
+),"$ #)$ (17%#2 +,"" 41 / "1-4 +/8 ,- /&>,##,-4 $F0$%,>$-#/" #$2#,>1-8
&$&7($& 9%1> / +$""J%$(14-,B$& 2(,$-#,9,( 0%,-(,0"$ 1% &,2(13$%8I #)$ #),-4
9%1> +),() #)$ &$&7(#,1- ,2 >/&$ >72# .$ !"##$%$&'()* &!(,-)$!.&/ (0 .,1&
2,$'&/ 2&'&3,) ,%%&4(,'%& ,- #)$ 0/%#,(7"/% 9,$"& ,- +),() ,# .$"1-42@
Essentially, to apply the "E%8$ Stanuaiu" a couit hau to ueciue if the
pioceuuie, technique oi piinciples in question weie geneially accepteu by a
meaningful piopoition of the ielevant scientific community. This stanuaiu
pievaileu in the feueial couits anu some states foi many yeais.
1*.*0"3 !23*$ %H 89-.*#6*J !23* [\X
In 197S, moie than a half-centuiy aftei E%8$ was ueciueu, the Feueial Rules
of Eviuence weie auopteu foi litigation in feueial couits. They incluueu iules
on expeit testimony. Theii alteinative to the E%8$ Stanuaiu came to be useu
moie bioauly because it uiu not stiictly iequiie geneial acceptance anu was
seen to be moie flexible.


|1j 29S Feu. 1u1S (192S)
The fiist veision of Feueial Rule of Eviuence 7u2 pioviueu that a witness
who is qualifieu as an expeit by knowleuge, skill, expeiience, tiaining, oi
euucation may testify in the foim of an opinion oi otheiwise if:
a. the expeit's scientific, technical, oi othei specializeu knowleuge will help the
tiiei of fact to unueistanu the eviuence oi to ueteimine a fact in issue;
b. the testimony is baseu on sufficient facts oi uata;
c. the testimony is the piouuct of ieliable piinciples anu methous; anu
u. the expeit has ieliably applieu the piinciples anu methous to the facts of the
case.

While the states aie alloweu to auopt theii own iules, most have auopteu oi
mouifieu the Feueial iules, incluuing those coveiing expeit testimony.
In a 199S case, ;/7.$%# 3@ :$%%$"" ;1+ K)/%>/($7#,(/"2I L-(@I the 0niteu
States Supieme Couit helu that the Feueial Rules of Eviuence, anu in
paiticulai Feu. R. Eviu. 7u2, supeiseueu E%8$?2 "geneial acceptance" test.
:5* &'()$"* L)"#."0. Y 4%20) D66*/)"#6* %H 8>/*0)
:*$)-&%#<
In ;/7.$%# anu latei cases
|2j
, the Couit explaineu that the feueial stanuaiu
incluues geneial acceptance, but also looks at the science anu its application.
Tiial juuges aie the final aibitei oi "gatekeepei" on aumissibility of eviuence
anu acceptance of a witness as an expeit within theii own couitiooms.
In ueciuing if the science anu the expeit in question shoulu be peimitteu, the
juuge shoulu consiuei:
What is the basic theoiy anu has it been testeu.
Aie theie stanuaius contiolling the technique.
Bas the theoiy oi technique been subjecteu to peei ieview anu
publication.
What is the known oi potential eiioi iate.
Is theie geneial acceptance of the theoiy.
Bas the expeit auequately accounteu foi alteinative explanations.
Bas the expeit unjustifiably extiapolateu fiom an accepteu piemise
to an unfounueu conclusion.

The ;/7.$%# Couit also obseiveu that conceins ovei shaky eviuence coulu
be hanuleu thiough vigoious cioss-examination, piesentation of contiaiy
eviuence anu caieful instiuction on the buiuen of pioof.


|2j The "Baubeit Tiilogy" of cases is: IDA=8!: UP ;8!!8NN IMC GED!;D48A:F4DNL, Z8(8!DN
8N84:!F4 4MP UP VMF(8! anu ,A;EM :F!8 4MP UP 4D!;F4ED8N.
In many states, scientific expeit testimony is now subject to this ;/7.$%#
stanuaiu. But some states still use a mouification of the E%8$ stanuaiu.
C5% 6"# $*09* "$ "# *>/*0) H%0*#$-6 $6-*#6* @-)#*$$ ")
6%20)O
0vei the yeais, eviuence piesenteu at tiial has giown incieasingly uifficult
foi the aveiage juioi to unueistanu. By calling on an expeit witness who can
uiscuss complex eviuence oi testing in an easy-to-unueistanu mannei, tiial
lawyeis can bettei piesent theii cases anu juiois can be bettei equippeu to
weigh the eviuence. But this biings up auuitional uifficult questions. Bow
uoes the couit uefine whethei a peison is an expeit. What qualifications
must they meet to pioviue theii opinion in a couit of law.
These questions, too, aie auuiesseu in 1*.P !P 89-.P [\X. It only allows
expeits "qualifieu . by knowleuge, skill, expeiience, tiaining, oi euucation."
To be consiueieu a tiue expeit in any fielu geneially iequiies a significant
level of tiaining anu expeiience. The vaiious foiensic uisciplines follow
uiffeient tiaining plans, but most incluue in-house tiaining, assessments anu
piactical exams, anu continuing euucation. 0ial piesentation piactice,
incluuing moot couit expeiience (simulateu couitioom pioceeuing), is veiy
helpful in piepaiing examineis foi questioning in a tiial.
Noimally, the inuiviuual that issueu the laboiatoiy iepoit woulu seive as the
expeit at couit. By issuing a iepoit, that inuiviuual takes iesponsibility foi
the analysis. This peison coulu be a supeivisoi oi technical leauei, but
uoesn't necessaiily neeu to be the one who uiu the analysis. The opposition
may also call in expeits to iefute this testimony, anu both witnesses aie
subject to the stanuaiu in use by that couit (E%8$I ;/7.$%#, Feu. R. Eviu 7u2)
iegaiuing theii expeitise.
Each couit can accept any peison as an expeit, anu theie have been
instances wheie inuiviuuals who lack piopei tiaining anu backgiounu have
been ueclaieu expeits. When necessaiy, the opponent can question potential
witnesses in an attempt to show that they uo not have applicable expeitise
anu aie not qualifieu to testify on the topic. The aumissibility uecision is left
to the juuge.
D..-)-%#"3 !*$%206*$
G2+3-6")-%#$Q
Safeistein, Richaiu. 4!F;F(DNFL:F4LQ D( F(:!MIA4:FM( :M 1M!8(LF4
L4F8(48, Peaison Euucation, Inc., 0ppei Sauule Rivei, N} (2uu7).
NcCluie, Baviu. Repoit: Focus uioup on Scientific anu Foiensic Eviuence in
the Couitioom (online), 2uu7,
5))/$QRR@@@P#6]0$P?%9R/.HH-3*$^R#-]R?0"#)$RXX\_`XP/.H (accesseu }uly
19, 2u12)
D67#%@3*.?*&*#)$
The authois wish to thank the following foi theii invaluable contiibutions to
this guiue:
!%+-# C5-)3*<, 6),$9 ;$07#8, Appellate Bivision, Benvei Bistiict Attoiney's
0ffice, Seconu }uuicial Bistiict
I*+0" 1-?"0*33-, ;M! A$()-,(/" :/-/4$%, National Foiensic Science
Technology Centei, Inc.
About Thi s Proj ect
This pioject was uevelopeu anu uesigneu by the National Foiensic Science
Technology Centei (NFSTC) unuei a coopeiative agieement fiom the Buieau
of }ustice Assistance (B}A), awaiu #2uu9-B1-BX-Ku28. Neithei the 0.S.
Bepaitment of }ustice noi any of its components opeiate, contiol, aie
iesponsible foi, oi necessaiily enuoise, the contents heiein.
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