FOCUS STORY 

 

Forensic Document Examination: An Overview

Paul D Westwood examines the forensic discipline of document examination, a service which can play an important role in complex litigation

Document examination embraces every aspect of determining the genuineness or provenance of a document of interest to an enquirer, which may be of relevance in actual or anticipated litigation. Many lawyers and investigators do not fully appreciate the potential of this forensic discipline in assisting them to bring cases to a successful and perhaps timely conclusion.

The Work of the Document Examiner

The greater part of the work of the document examiner relates to the comparative examination of signatures and handwriting. Other aspects of the work include:

developing latent writing impressions in documents caused by the act of writing on an overlying sheet of paper;

determining the sequence of original writing and writing impressions;

determining the relative date on which entries were made;

detection of alterations to documents, including page substitutions;

decipherment of obliterated and erased writings;

determining the source of anonymous letters, extortion notes, etc;

non-destructive examination and comparison of inks and papers using photo-analytical methods;

chemical analysis of inks for the purpose of dye comparisons;

determining the source and date of documents produced by various typewriting, printing and reproduction (eg photocopying) methods; and  decipherment of typewriter ribbons and the possible matching of specific entries to a suspect typewriter ribbon.

To maximise the evidential potential of a document, it is very important to submit the original for examination wherever this is possible, particularly when examinations of signatures and/or handwriting are required. However, useful findings, albeit usually qualified, are still possible with reproductions. Known signatures and/or handwriting submitted for comparison should also be in original form and should ideally consist of two classes of documents: samples written during the normal course of business, some of which should be contemporaneous with the questioned material; and samples written specifically for the purposes of comparison. Following a detailed comparative examination of the questioned and known writings/ signatures, the examiner can usually reach a conclusion on the likelihood that they were written by the one person.

Qualified findings may also be of assistance in determining how best to proceed with an investigation and can be of assistance to the courts in those cases where it is combined (by the court) with other evidence.

Computer Transactions and the Electronic Signature

Whilst we are a long way from a ‘paperless society’, the document examiner nowadays has to be aware of the growing use of electronic commerce. There are many initiatives being made in making electronic transactions more secure, one of the most interesting being electronic signature recognition. The potential for this field is great. It combines the traditional role of the written signature being the ultimate imprimatur of a person’s agreement to the effect of a document or transaction with the means to check the validity of that signature on line. This is done in a far more sophisticated manner and with far greater reliability than the often cursory glance by the bank teller or shop assistant.

Indeed, the stored electronic signature contains far more quantitative information about a signature and its dynamics than can be gleaned from microscopic examination of the results of signing a piece of paper. The document examiner of the near future may well be called upon to ‘examine’ such stored parameters in order to determine the genuineness or otherwise of a disputed electronic signature.

The Role of the Lawyer

To maximise the evidential potential of documents, the lawyer engaged in the case should take the following steps:

contact a document examiner as soon as possible for preliminary advice;

always submit the original document for examination;

preserve and protect the questioned and known documents from extremes of temperature, humidity, chemical processing for fingerprints and inadvertent writing impressions; and

provide background information on the nature of the case – this will often result in the document examiner requesting and obtaining further relevant documentation to assist in the examination.

Where to Go?

Unfortunately, the courts are sometimes prepared to allow evidence to be given on matters pertaining to document examination and handwriting issues by anyone who can demonstrate that they have what the courts perceive to be a better knowledge of the subject than the lay person. This precedent comes from a time when few people were literate. The sometimes gross incompetence of people who have not received proper training in the field can result in the courts being seriously misled on an issue and will usually add great amounts of time to the hearing. These ‘experts’ can also bring the profession of questioned document examination into disrepute as their incompetence is immortalised in cases involving them and later referred to as being indicative of the lack of efficacy of document examination in assisting the courts.

How does one go about engaging a document examiner to assist with a case? While there is no difficulty in finding trained and non-trained people in this field on the Internet or in legal journals, lawyers should thoroughly research the background of any expert they are considering engaging. The ‘expert’ should have undergone a structured training programme under the guidance of qualified and experienced document examiners in a dedicated and recognised document examination laboratory, and should have the necessary experience and equipment to undertake the required examination with quality assurance procedures.

Paul D Westwood
Forensic Document Services Pty Ltd,
Australia