Foundations of Forensic Document Analysis

Mike Allen’s career in forensic document examination spans thirty years during which time he reported on thousands of cases at all levels of the judicial system and gave evidence in court on numerous occasions.  He has been involved in assessing the work of other document examiners, training new examiners and teaching in the universities for the last fifteen years or so.  In recent years he has worked with other experts to establish methods of assessing professional competence in a variety of forensic disciplines.

• About the Author xiSeries Foreword xiiiPreface xvAcknowledgements xixAbout the Companion Website xxi1 Introduction 11.1 Historical background 11.2 Is document examination a science at all? 21.3 Quality assurance 61.4 Standards in forensic document examination 81.5 Competence of forensic practitioners 101.6 Cognitive bias 111.7 Training to be a forensic document examiner 12References 132 Handwriting Development and Comparison 152.1 Introduction 152.2 The process of writing 152.3 Models of writing production 182.4 The learning of handwriting in young children 232.5 Handwriting in the adolescent: the origins of individuality 272.6 Mature handwriting of the adult 282.7 The deterioration of handwriting skill 292.8 The forensic analysis of handwriting 322.8.1 Specimen handwriting 332.8.2 Writing implements 352.8.3 Pre-examination review 372.8.4 The natural variation of handwriting 382.9 Interpretation of handwriting evidence 422.9.1 Limitations to the evidence in handwriting cases 422.9.2 Reaching conclusions 442.9.3 Computer use in interpretation 452.10 Examination notes in handwriting cases 472.11 Reporting findings 49Handwriting comparison: a worked example 50Report of Forensic Expert 56References 573 Signature Examination 633.1 Introduction 633.2 The development of signatures 653.2.1 External influences: alcohol, infirmity and old age 663.2.2 Guided hand signatures 673.2.3 Signatures in blind people 673.3 Simulating signatures 683.4 Computer-based recognition of signatures 713.5 The forensic examination of signatures 763.6 Interpreting findings in signature cases 773.7 Note taking in signature cases 813.8 Reports in signature cases 81Signature comparison: a worked example 82Report of Forensic Expert 86References 874 Documents Produced Using Office Technology 894.1 Introduction 894.2 Typewriters 904.3 The forensic examination of typebar typewriters 964.4 Single element typewriters 994.5 Typewriter ribbons and correcting typescript 1024.5.1 Correcting typed documents 1034.6 Computer printers 1054.6.1 Impact matrix printers 1054.6.2 Laser printers 1064.6.3 The forensic examination of laser printers and laser printed documents 1084.6.4 Inkjet printers 1094.6.5 The forensic examination of inkjet printers 1104.7 Fax (facsimile) machines 1114.8 Photocopiers 1124.8.1 The forensic examination of copy documents 1134.8.2 Composite documents 1144.8.3 Analysis of toner 1144.9 Case notes in cases involving typed and copied documents 1154.10 Reports in cases involving typed and copied documents 117Typescript comparison: a worked example 118Report of Forensic Expert 121References 1225 The Examination of Printed Documents 1235.1 Introduction 1235.2 Some general principles of printing 1245.2.1 Ink properties 1245.2.2 Colour management 1255.2.3 Registration 1255.2.4 Half tone printing 1255.2.5 Traditional photographic and modern computer-based processes 1275.3 Relief printing processes 1285.3.1 Letterpress 1285.3.2 Stamp impressions 1295.4 Planographic printing 1315.5 Recess printing 1325.6 Screen printing 1335.7 Security documents 1335.7.1 Personalisation of documents 1365.8 Dry transfer lettering 1375.9 Key diagnostic features of various printing methods 1385.10 Case notes in printing cases 1385.11 Reports in cases involving printing 139Printing examination: a worked example 140Report of Forensic Expert 143References 1446 Materials Used to Create Documents 1456.1 Paper 1466.1.1 Manufacture of paper 1476.1.2 Additives used in papermaking 1486.1.3 Paper for security documents 1486.1.4 Paper products 1496.2 Ink 1516.2.1 Pen inks 1516.2.2 Printing inks 1526.3 Staples 1526.4 Adhesives 1536.5 Miscellaneous materials 1536.6 Case notes relating to the physical components of a document 1546.7 Reports relating to the physical components of a document 154Paper examination: a worked example 155Report of Forensic Expert 160References 1617 Analytical Techniques Used in Document Examination 1637.1 Chromatography 1667.1.1 Thin layer chromatography (TLC) 1677.1.2 High performance liquid chromatography (HPLC) 1687.1.3 Gas chromatography (GC) 1707.2 Mass spectrometry (MS) 1707.3 Spectroscopy 1717.3.1 Infrared spectroscopy 1727.3.2 Raman spectroscopy 1727.3.3 UV-visible (UV-vis) spectroscopy 1737.4 X-ray fluorescence (XRF) 1737.5 Electrophoresis 1747.6 Case notes when scientific equipment is used 1747.7 Reports in cases where scientific equipment is used 175Worked example 175References 1758 Altered and Tampered Documents 1798.1 Alterations involving the examination of inks 1808.1.1 Microscopy of ink lines 1818.1.2 Optical properties of ink 1818.1.3 Chemical analysis of inks 1838.1.4 Where two inks intersect 1838.2 The examination of paper 1838.2.1 Torn or shredded paper 1848.2.2 Marks in paper 1858.2.3 Punched holes and perforations 1868.3 The examination of written or machine-generated details 1868.3.1 Erasures and obliterations 1878.4 Copy documents 1898.5 Altering security documents 1908.6 Case notes in alterations cases 1918.7 Reports in alterations cases 191Alterations examination: a worked example 192Report of Forensic Expert 196References 1979 Indented Impressions 1999.1 Visualising indented impressions 2009.1.1 Electrostatic method 2009.1.2 Secondary impressions 2039.1.3 Determining the sequence of handwriting and impressions 2039.1.4 Examining multiple-page documents 2039.1.5 Deciphering electrostatic traces 2049.2 Oblique light 2069.3 Case notes in indented impressions cases 2079.4 Reports in indented impressions cases 208Impressions examination: a worked example 208Report of Forensic Expert 210References 21110 Dating Documents 21310.1 Dating handwriting 21310.2 Dating ink 21410.3 Dating paper (and other related materials) 21810.4 Dating typescript and other mechanical processes 21910.5 Dating pages from a pad or stack of paper 22010.5.1 Impressions of handwriting 22010.5.2 Ink transfer 22110.5.3 Multipage documents 22110.6 Sequencing 22110.6.1 Ballpoint ink and ballpoint ink 22210.6.2 Stamp pad inks and other media 22210.6.3 Toner and other inks 22210.7 Miscellaneous factors 22310.8 Summary 22310.9 Case notes and reports in cases involving document dating 224Worked example 224References 22411 Duties of The Expert 22711.1 Note taking 22811.2 Reports 22911.2.1 Expressing conclusions 23111.3 Preparing for court 23111.4 Giving evidence 23411.4.1 Giving your evidence 23411.4.2 Answering questions 23411.5 Ethics and duties of experts 23611.5.1 Dealing with clients 23611.5.2 Cognitive bias 23711.6 Summary 239Index 241