In forensic science, questioned document examination (QDE) is the examination of documents potentially disputed in a court of law. Its primary purpose is to provide evidence about a suspicious or questionable document using scientific processes and methods. Evidence might include alterations, the chain of possession, damage to the document, forgery, origin, authenticity, or other questions that come up when a document is challenged in court.
Overview
Many QDE involve a comparison of the questioned document, or components of the document, to a set of known standards. The most common type of examination involves handwriting wherein the examiner tries to address concerns about potential authorship.
A document examiner is often asked to determine if a questioned item originated from the same source as the known item(s), then present their opinion on the matter in court as an expert witness. Other common tasks include determining what has happened to a document, determining when a document was produced, or deciphering information on the document that has been obscured, obliterated, or erased.
The discipline is known by many names including "forensic document examination", "document examination", "diplomatics", "handwriting examination", or sometimes "handwriting analysis", although the latter term is not often used as it may be confused with graphology. Likewise a forensic document examiner (FDE) is not to be confused with a graphologist, and vice versa.
Many FDEs receive extensive training in all of the aspects of the discipline. As a result, they are competent to address a wide variety of questions about document evidence. However, this "broad specialization" approach has not been universally adopted.
In some locales, a clear distinction is made between the terms "forensic document examiner" and a "forensic handwriting expert/examiner". In such cases, the former term refers to examiners who focus on non-handwriting examination types while the latter refers to those trained exclusively to do handwriting examinations. Even in places where the more general meaning is common, such as North America or Australia, there are many individuals who have specialized training only in relatively limited areas. As the terminology varies from jurisdiction to jurisdiction, it is important to clarify the meaning of the title used by any individual professing to be a "forensic document examiner".
Scope of document examination A forensic document examiner is intimately linked to the legal system as a forensic scientist. Forensic science is the application of science to address issues under consideration in the legal system. FDEs examine items (documents) that form part of a case that may or may not come before a court of law.
Common criminal charges involved in a document examination case fall into the "white-collar crime" category. These include identity theft, forgery, counterfeiting, fraud, or uttering a forged document. Questioned documents are often important in other contexts simply because documents are used in so many contexts and for so many purposes. For example, a person may commit murder and forge a suicide note. This is an example where a document is produced directly as a fundamental part of a crime. More often a questioned document is simply the by-product of normal day-to-day business or personal activities.
For several years, the American Society for Testing and Materials, International (ASTM) published standards for many methods and procedures used by FDEs. E30.02 was the ASTM subcommittee for Questioned Documents. These guides were under the jurisdiction of ASTM Committee E30 on Forensic Sciences and the direct responsibility of Subcommittee E30.02 on Questioned Documents. When the ASTM Questioned Document subcommittee was disbanded in 2012 the relevant standards moved under the Executive Subcommittee E30.90; however, those standards have all been withdrawn over time. Those standards, as well as links to updated versions of the documents, are presently available on the SWGDOC (The Scientific Working Group for Document Examiners) website.
In 2015, the AAFS Standards Board (ASB) was formed to serve as a Standards Developing Organization (SDO). The ASB is an ANSI-accredited subsidiary of the American Academy of Forensic Sciences and the Forensic Document Examination Consensus Body within the ASB has published several relevant Standards.
One of those is the Scope of Expertise in Forensic Document Examination document which states an examiner needs "discipline specific knowledge, skills, and abilities" that qualifies them to conduct examinations of documents to answer questions about: the source(s) of writing; the source(s) of machine-produced documents; the source(s) of typewriting, impressions, and marks; the associations of materials and devices used to produce documents; the genuineness and authenticity of documents; the detection and decipherment of alterations, obliterations, and indentations, and; the preservation and restoration of legibility to damaged or illegible documents"
Some FDEs limit their work to the examination and comparison of handwriting; most inspect and examine the whole document in accordance with this standard.
Types of document examined Documents feature prominently in all manner of business and personal affairs. Almost any type of document may become disputed in an investigation or litigation. For example, a questioned document may be a sheet of paper bearing handwriting or mechanically-produced text such as a ransom note, a forged cheque, or a business contract. It may be material not normally thought of as a "document"; FDEs define the word "document" very broadly, as any material bearing marks, signs, or symbols intended to convey a message or meaning to someone. This includes, for example, graffiti on a wall, stamp impressions on meat products, and covert markings hidden in a written letter.
Historical and noteworthy cases Pre-1900 The Howland will forgery trial (1868) Although the crimes were committed before the discipline of document examination was firmly established, the letters of the Jack the Ripper case have since been examined in great detail The Dreyfus Affair (1894), involving non-FDE Alphonse Bertillon, although professional comparisons exonerating Dreyfus were ignored The James Reavis (Baron of Arizona) land swindle trial about forged documents involved in a Spanish barony and land grant (1895) The Adolf Beck cases (1896 and 1904) where handwriting expert Thomas H. Gurrin repeated an erroneous identification
1900-2000 The Leopold and Loeb murder of 14-year-old Bobby Franks in Chicago, IL (1924) The Lindbergh kidnapping where comparison of the ransom note and Bruno Hauptmann's handwriting, by expert Albert S. Osborn, was crucial (1934) Operation Bernhard, a secret Nazi plan to destabilize the British economy through counterfeited banknotes (1939) Active measures, a Soviet-era political warfare program, led by the KGB, including the spreading of disinformation using falsified documents The Alger Hiss perjury appeal where the "fake typewriter hypothesis" saw expert Martin Tytell recreate a perfect replica typewriter (1952) The Zodiac Killer (1969) The Clifford Irving claim that Howard Hughes authorized his biography (1972) The Mormon Will that Melvin Dummar claimed left him part of Howard Hughes' fortune (1978) The Mark Hofmann Salamander letter forgeries and murders (1980–84) The Hitler Diaries printed by the magazine Stern and determined to be forgeries (1983) The Paul Jennings Hill murders (1994) The JonBenét Ramsey murder (1996)
Post-2000 The anthrax attack mailings on the US Senate (2001) The Nina Wang case of the Teddy Wang wills (2002 and 2010) The Yellowcake Forgery (2003) The Killian memos (2004) The ImClone / Martha Stewart trial (2004) The National Archives forgeries (aka Martin Allen forgeries or Himmler forged documents) (2005) The Hassan Diab extradition hearing (2011) The Panama Papers document leak (2016) which led to numerous investigations world-wide, including the Panama Papers case (officially titled Imran Ahmed Khan Niazi v. Muhammad Nawaz Sharif) in which false documents were provided to the Supreme Court of Pakistan (2017)
Candidacy A person who desires to enter a career of forensic document examination must possess certain traits and abilities. Requirements for the "Trainee Candidate" (Standard Guide for Minimum Training Requirements for Forensic Document Examiners) are listed in ASTM (E2388-11) which has been moved to SWGDOC (G02-13).
First and foremost, "an earned baccalaureate degree or equivalent from an accredited college or university" is required as it gives the aspirant a scientific background with which to approach the work in an objective manner, as well as bestowing necessary biological, physical, and chemical knowledge sometimes called upon in the work.
Second, excellent eyesight is required to see fine details that are otherwise inconspicuous. To this end, the aspirant must successfully complete: a form discrimination test to ensure that the aspirant is able to tell apart two similar-appearing yet different items, a color perception test, and near and distant visual acuity tests "with best corrected vision within six months prior to commencement of training."
Desirable skills also include knowledge of paper, ink, printing processes, and handwriting.
Training There are three possible methods of instruction for an aspiring document examiner: Self-education is the way the pioneers of the field began, as there was no other method of instruction. Apprenticeship has become the widespread way many examiners are now taught. This is the method that is recommended by ASTM in Standard E2388-11 and SWGDOC G02-13. To conform with these standards such training "shall be the equivalent of a minimum of 24 months full-time training under the supervision of a principal trainer" and "the training program shall be successfully completed in a period not to exceed four years". The training program must also include an extensive list of specific syllabus topics outlined in the relevant Standards. College and university programs are very limited, due in part to the relatively limited demand for forensic document examiners. It also relates to the need for extensive practical experience, particularly with respect to handwriting examination. It is difficult to include this degree of practical experience in a normal academic program.
There are some distance learning courses available as well. These are taught through a virtual reality classroom and may include an apprenticeship program, a correspondence course, or both.
A trainee must learn how to present evidence before the court in clear, forceful testimony. Fledgling examiners in the later stages of training can get a glimpse into the legal process as well as a better sense of this aspect of their work through participation in a mock trial or by attending court hearings to observe the testimony of qualified examiners. These are guidelines and not requirements.
Examination Examination types Examinations and comparisons conducted by document examiners can be diverse and may involve any of the following: Handwriting (cursive / printing) and signatures Typewriters, photocopiers, laser printers, ink-jet printers, fax machines Chequewriters, rubber stamps, price markers, label makers Printing processes Ink, pencil and paper Alterations, additions, erasures, obliterations Indentation detection and/or decipherment Sequence determination Physical matching
Principle of identification