CRIMINOLOGY DEPARTMENT

Forensic Document Examination Services

Forensic Document Examination Services (FDES) provides exceptional expertise in the

examination of  a wide array of questioned document problems.

Objective examinations and comparisons utilizing state of the science instrumentation, supported
by structured training, over 30 years of comprehensive and continuous experience in civil and
criminal casework, and a strong involvement in professional organizations and continuing
education serves as our foundation.

Our clients include law firms, universities, investigative agencies, insurance agencies, and
individuals.

Examinations, analyses and comparisons address numerous issues which may assist in resolving
the matter at issue.  In most instances, questions arise with respect to the authenticity, date or
origin of a questioned document(s).

Examinations conducted by FDES include:

Examinations and comparisons of handwriting
Alteration and obliteration detection/decipherment
Type and digital printing examinations and classification
Decipherment and charred document examinations
Paper edge examinations
Document dating, page substitution
Shredded document restoration
Sequence of entry determinations
Non-destructive ink examinations
Indented impression examinations/restoration
Digital image enhancements, processing and limited analysis
Counterfeit detection
Examples of cases/items frequently resolved or supported by forensic document examinations :
Business and personal contracts
Last Will and testaments/codicils
Credit card receipts
Check fraud and counterfeiting
Insurance fraud
Medical Malpractice
Mortgage and Lease
Letters (threats/promissory)
Tests and examinations
Anonymous letters/notes
Disguised writings
Forgery
Identity Fraud

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CHAPTER I
Handwriting Standards

Handwriting
Is a very complicated series of an act. Being as a whole a combination of a certain forms
of visible mental and muscular habit acquired by long painstaking effort.

 Something written by hand; "she recognized his handwriting"; "his hand was illegible"
 The activity of writing by hand; "handwriting can be slow and painful for one with arthritis"

Origin

The earliest example of writing is the Sumerian pictographic system found on clay
tablets, which eventually developed around 3200 BC into a modified version called cuneiform. [1]
Cuneiform is from the Latin meaning “wedge shaped” and was impressed on wet clay with a
sharpened reed.[2] This form of writing eventually evolved into ideographic system (where a sign
represents an idea) and then to a syllabic system, (where a sign represents a syllable). [3]
Developing around the same time, the Egyptian system of hieroglyphics also began as a
pictographic script and evolved into a system of syllabic writing. Two cursive scripts were
eventually created, hieratic shortly after hieroglyphs were invented and demotic in the seventh
century BC.[4] Scribes wrote these scripts usually on papyrus with ink on a reed pen.

The first known alphabetical system came from the Phoenicians, who developed a vowel-
less system of 22 letters around the eleventh century BC.[5] The Greeks eventually adapted the
Phoenician alphabet around the eighth century BC. Adding vowels to the alphabet and dropping
some consonants, the Greeks developed a script which included only what we know of as capital
Greek letters.[6] The lower case letters of Classical Greek were a later invention of the Middle
Ages. The Phoenician alphabet also influenced the Hebrew and Aramaic scripts, which follow a
vowel-less system. One Hebrew script was only used for religious literature and by a small
community of Samaritans up until the sixth century BC. Aramaic was the official script of the
Babylonian, Assyrian and Persian empires and ‘Square Hebrew’ (the script now used in Israel)
developed from Aramaic around the third century

Handwriting requires the motor coordination of multiple joints in the hand, wrist, elbow,
and shoulder to form letters and to arrange them on the page. Holding the pen and guiding it
across paper depends mostly upon sensory information from skin, joints and muscles of the hand
and this adjusts movement to changes in the friction between pen and paper. [36] With practice and
familiarity, handwriting becomes highly automated using motor programs stored in motor
memory.[37] Compared to other complex motor skills handwriting is far less dependent on a
moment-to-moment visual guidance.[38][39]

Research in individuals with complete peripheral deafferentation with and without vision
of their writing hand finds increase of number of pen touches, increase in number of inversions
in velocity, decrease of mean stroke frequency and longer writing movement duration. The

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changes show that cutaneous and proprioceptive feedback play a critical role in updating the
motor memories and internal models that underlie handwriting. In contrast, sight provides only a
secondary role in adjusting motor commands.

In today's technology-driven world, handwriting remains the primary tool of

communication and knowledge assessment in the classroom (particularly for elementary-aged
students). The recent addition of handwritten components to many state standardized
assessments and of a handwritten essay to the College Board SAT in 2005 further emphasize the
importance of handwriting. Furthermore, good handwriting is important long after graduation.

Handwriting standards provide guidance for assessing students' handwriting skills at

every level--from readiness, to print and cursive.Yet educational guidelines often are limited to
one standard--“produces legible handwriting”--in state English/language arts standards.They
have not provided guidance for what a student should know by each grade level, or how to
remediate knowledge gaps.

The result? Illegible handwriting, poor hand dexterity and coordination, and struggling
students who can't perform to grade level on tests and on written assignments. Another result is
that occupational therapist referrals for poor handwriting have soared, as have school costs for
remediation. The cost of lost confidence and poor performance for students has been
immeasurable.

Seeing the need for a more specific analysis of skills, a team of occupational therapists
and educators has developed this set of Handwriting Standards. We hope it will serve as an
example to educators and curriculum decision-makers and bring increased attention to this
crucial, yet often overlooked, area of education.

In this section, you will find handwriting standards for each grade level from
kindergarten through grade 4+. These will enable you to:

Types of writing

 Block letters — also called printing is the use of the simple letters children are taught to
write when first learning
 Calligraphy — the art of writing itself, generally more concerned with aesthetics for
decorative effect than normal handwriting.
 Cursive — any style of handwriting in which all the letters in a word are connected.

Studies of writing and penmanship

 Diplomatics — forensic palaeography (seeks the provenance of written documents).

 Graphology — the study and analysis of handwriting especially in relation to human
psychology.

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 Graphonomics — is the interdisciplinary scientific study of the handwriting process and

the handwritten product
 Palaeography — the study of script.

Penmanship-related professions

 Letterer — comic book lettering profession.

 Technical lettering — the process of forming letters, numerals, and other characters in
technical drawing.
 Questioned document examiner — forensic science discipline which includes
handwriting examination

Other penmanship-related topics

 Handwriting in left-handed people

 Handwriting recognition — is the ability of a computer to receive and interpret
intelligible handwritten input
 Regional handwriting variation
 Signature

QUESTION AND STANDARD

Q1:   What is handwriting analysis?

A:   It is a scientific method of identifying, evaluating, and understanding a person's
personality via the strokes and patterns revealed by his handwriting. It is not document
examining, which is when a person examines a sample of writing to determine the author.
Document examining is often used in forgery cases. In document examining, no comment
of character or personality is derived from the handwriting.

Q2:   Do the terms graphology, handwriting analysis, and Graphoanalysis mean the same
thing?
A:   Not in America. Although, graphology and handwriting analysis have been used
for centuries to describe evaluating personality through the study of handwriting, a few
distinctions have arisen in the past 50 years.

 The term handwriting analysis is the umbrella term that describes all forms and
theories about understanding character from handwriting.
 The term Graphoanalysis is a trademarked term that refers to the scientific
American form of handwriting analysis pioneered by Milton Bunker. Although
these trait stroke methods taught by Bunker are not different from what dozens of
authors around the world have published in the past 50 years, the term
Graphoanalyst is used to distinguish those people who choose to associate with
the company that holds the trademark.

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 Also, the term graphology has come to symbolize an affiliation with the more
holistic or Gestalt approach to handwriting analysis. Some graphologists disregard
the trait-stroke method completely.

Most experienced analysts agree that combining the many schools of thought gives the
analyst the most flexibility and resources that result in a more accurate personality
assessment.

Q3:   What can be told about a person from his handwriting?

A:   Handwriting reveals hundreds of elements of the person's "personality and
character," which include glimpses into the subconscious mind, emotional
responsiveness, intellect, energy, fears and defenses, motivations, imagination, integrity,
aptitudes, and even sex drives and issues of trust. There are over 100 individual traits
revealed and an unlimited number of combinations.

Q4:   What can one NOT tell from handwriting analysis?

A:   It cannot identify age, gender, race, religion, whether a person is right- or left-
handed, or the future.

Q5:   How does handwriting reveal personality?

A:   Handwriting is often referred to as "brain writing." Research scientists in the fields of
neuro-science have categorized neuro-muscular movement tendencies as they are
correlated with specific observable personality traits. Each personality trait is represented
by a neurological brain pattern. Each neurological brain pattern produces a unique neuro-
muscular movement that is the same for every person who has that personality trait.
When writing, these tiny movements occur unconsciously. Each written movement or
stroke reveals a specific personality trait.

Handwriting analysts identify these strokes as they appear in handwriting and describe
the corresponding personality trait. Handwriting is like body language, but is more
specific and is frozen for a more detailed analysis of our unconscious movements.

Q6:   How accurate is handwriting analysis?

A:   It is only as accurate as the analyst is talented. Most professionals claim to be 85-
95% accurate. Compared to other personality assessment tools and tests, handwriting
analysis is sometimes more accurate and much more revealing. When answering
psychological questions in person or on paper, a person may consciously or
unconsciously answer according to how he thinks he should answer rather than giving an
honest reply. The clinical research is divided as to the validity of handwriting analysis.
Again, it depends on who you ask.

Q7:   How old is handwriting analysis?

A:   Research has found references to handwriting analysis as far back as 4500 BC. In 99
AD, the Roman historian Suetonius studied Emperor Augustus' personality from his
handwriting. The first handwriting analysis book was published in 1622 by Camildo
Baldo. Most pioneering research was performed before 1929 in Europe. The modern

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scientific method of analyzing individual strokes in handwriting began in 1915 by Milton

Bunker.

Q8:   Is handwriting analysis a science or an art?

A:   It is a clinical science. The Library of Congress categorized it as a credible social
science in 1981. It is not a hard science like chemistry. It falls under the same category as
psychology.

Q9:   Who uses handwriting analysis?

A:   Anyone interested in gaining a better understanding of themselves and others:

 Individuals for self-improvement:   they gain a better understanding of

themselves and often incorporate aspects of grapho-therapy to change bad habits.
 Single people to aid in the selection of compatible partners.
 Couples to improve current relationships through better understanding and
communication.
 All people of all ages in the work force for career counseling.
 Employers for personnel selection.
 The courts for forgery and questioned documents.
 Attorneys to aid the jury selection process.
 Law enforcement in investigating evidence involving handwritten notes.
 Businesses for credit rating assistance.
 Psychologists for personality evaluation and therapy.

Q10:   What about people who print?

A:   It is a generality, but worth answering. People who print have put up a barrier to
keep the world from getting to know them. They do not easily express their inner-most
feelings. People who print take longer to experience intimacy and tend to have a strong
external protective mental shell that is often seen as confidence.

It is estimated that over half of men in the United States prefer to print rather than write
cursive. This is the same tendency that says "I'd rather sit here in pain rather than express
my feelings."

Some men learn at an early age to keep their insecure feelings hidden from the world.
And yes, they do often have to print because of their messy handwriting, but the answer
still applies

EXAMPLE OF HANDWRITING

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CHAPTER II
SIGNATURE

A signature (from Latin signare, “to sign”) is a handwritten (and sometimes

stylized) depiction of someone’s name, nickname or even a simple “X” that a person
writes on documents as a proof of identity and intent. The writer of a signature is a
signatory. Similar to a handwritten signature, a signature work describes the work as
readily identifying its creator.

Function and types of signatures

The traditional function of a signature is evidential: it is to give evidence of:

1. The provenance of the document (identity)

2. The intention (will) of an individual with regard to that document

For example, the role of a signature in many consumer contracts is not solely to provide evidence
of the identity of the contracting party, but rather to additionally provide evidence of deliberation
and informed consent. This is why the signature often appears at the bottom or end of a
document.

In many countries, signatures may be witnessed and recorded in the presence of a Notary Public
to carry additional legal force. On legal documents, an illiterate signatory can make a “mark”
(often an “X” but occasionally a personalized symbol), so long as the document is countersigned
by a literate witness. In some countries, illiterates place a thumbprint on legal documents in lieu
of a written signature.

The signature of a famous person is sometimes known as an autograph, and is then

typically written on its own or with a brief note to the recipient. Rather than providing
authentication for a document, the autograph is given as a souvenir which acknowledges the
recipient’s access to the autographed.

In the United States, some states’ legal definition of a signature defines a signature to
mean “any memorandum, mark, or sign made with intent to authenticate any instrument or
writing, or the subscription of any person thereto. In the context of one particular statute, a
signature doesn’t have to be the popular notion of a written name, but may be other methods of
authentication; the intent of any mark or memorandum makes a signature.

Many individuals have much more fanciful signatures than their normal cursive writing,
including elaborate ascenders, descenders and exotic flourishes, much as one would find in
calligraphic writing. As an example, the final “k” in John Hancock’s famous signature on the US
Declaration of Independence loops back to underline his name. This kind of flourish is also
known as a paraph.

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Special signature machines, called autopens, are capable of automatically reproducing an

individual’s signature. These are typically used by people required to sign many documents, for
example celebrities, heads of state or CEOs.

More recently, Members of Congress in the United States have begun having their signature
made into a TrueType font file. This allows staff members in the Congressman’s office to easily
reproduce it on correspondence, legislation, and official documents.

Several cultures whose languages use writing systems other than alphabets do not share the
Western notion of signatures per se: the “signing” of one’s name results in a written product no
different from the result of “writing” one’s name in the standard way. For these languages, to
write or to sign involves the same written characters. Three such examples are Chinese,
Japanese, and Korean. In several East Asian countries, people typically use name-seals with the
name written in tensho script (seal script) in lieu of a handwritten signature (also see
Calligraphy).

In e-mail and newsgroup usage, another type of signature exists which is independent of one’s
language. Users can set one or more lines of custom text known as a signature block to be
automatically appended to their messages. This text usually includes a name, contact
information, and sometimes quotations and ASCII art. A shortened form of a signature block,
only including one’s name, often with some distinguishing prefix, can be used to simply indicate
the end of a post or response. Some web sites also allow graphics to be used. Note, however, that
this type of signature is not related to electronic signatures or digital signatures, which are more
technical in nature and not directly readable by human eyes.

FUNCTION OF SIGNATURE
The signature of a function is a way of describing the parameters and parameter types with
which a legal call to the function can be made. It contains the name of the function, its
parameters and their type, and the return value. Signatures may also be referred to as "function
signatures", "method signatures", or "prototype definitions"

The notion of a function signature is an important concept for all computer science
undergraduates

 Modern Object Orientation techniques make much use of Interfaces which are essentially
a template made from function signatures
 C++ teaching must cover the important concept of function overloading which involves
first introducing function signatures.

The practice of multiple inheritance requires careful consideration of the function signatures to
avoid unpredictable results.

Computer science theory and the teaching of polymorphism in particular makes much use of the
concept of function signature.

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Roughly equivalent to its prototype definition in the C programming language.

CS, like many sciences, reuses terminology frequently. If you encounter the term 'signature' in an
area of CS not concerned with programming then be sure to check your terminology with the
published texts to avoid confusion.

Other areas of Computer Science where you might encounter the term signature:

 The study of databases might also involve the use of the term 'signature', however, before
confusing the two things be sure of the definition at the top of this article.

In the ML family of programming languages, signature is a keyword referring to a construct of

the module system that plays the role of an interface.

KINDS OF SIGNATURES

(1) STRIKE-THROUGH SIGNATURE

This is one kind of signature which I always find alarming. The signature you see on your
right has been lifted from the suicide note of a Mumbai-based girl who killed herself in 2008
under the pressure of exams.

The girl wrote in her suicide note that she was taking the extreme step because she was not well-
prepared for her exams. The baseline of her suicide note clearly said she was depressed and her
signature said she really did not like herself. Look at the strike-through strokes in her
handwriting. Such strokes in signatures reflect self-hatred, a tendency to stab and punish oneself.
That's exactly what the girl did.

(2) CAMOUFLAGE SIGNATURE

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To be honest, I had this type of siganture till about four years ago. On the face of it, the
signature looks clean and there are no twisted strokes here. But notice the first letter of my name
and a circle around it. Now, here is the problem. The stroke is not right. The circle, which kind of
camouflages my first name, is self-limiting. Circles around the first name (see another example)
shows the person gets very defensive in public and he is too protective about himself.

Such writers have a problem making friends because they do not open up and are always scared
of getting hurt. They suspect the motives of people around them, which results in their social
isolation. Consequently, they fail to become a part of the life around them. Usually, people who
are extremely sensitive have such signatures. The circle is used by the writer as a protective robe
to avoid pain. If you have such a circle around your signature, get rid of it. I did that. The results
will surprise you.

(3) VERY SMALL SIGNATURE

A very small signature reflects lack of confidence to pull off day-to-day tasks. If  it co-
exists with other strokes showing low self-esteem, such as low t-bar and small personal pronoun,
it becomes an inexhaustible source of diffidence. Whenever such a writer is in a group, he thinks
he is the one who has less of every thing — looks, money, talent or success — than others.

They are the people whose self-respect is always trampled by the crowd. They become an
easy target because they do not protest. They lack the courage to speak their mind. After several
bruises, they begin to avoid social gatherings. In many cases, such people develop psychological
problems. If you have such a signature, enlarge it a bit. But not too much.

(4) TRACE-BACK  SIGNATURE

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A lot of people I met have this signature. From the last stroke, they go backward — from
left to right — and draw the underline without lifting the pen. This is called trace-back signature.
Such writers never come out of their past and most of the time, they run in reverse gear. They
think too much about past matters and that the days gone-by occupy more space in their  mind.

They fail to let go of something that was good or bad in the past. Recently, I met a
businessman who most of the time kept talking about how bad his last garment business was and
how it failed "despite his efforts". I tried to engage him into a conversation on his current
business, but after a minute or two, he would again go back to the old one. I have a question for
you. What do you think the businessman would have been doing while running that garment
business? My guess is he would have spent more time talking about his previous business. If you
have a similar signature, draw an underline from left to the right.

(5) SCRIBBLED  SIGNATURE

This is one of the most common signatures. Such writers are always in a hurry. They say:
"I have to sign hundred times in a day. I can't write my full name..." There are two reasons they
scribble. One, their mind is faster than their hands. And second, they are hoity-toity rascals who
tell others: I don't care whether you can read my handwriting or not. I am just too busy to be
bothered by that. I have no time for you..." Such writers seldom take total responsibility for
things in their lives.

For example, many people scribble on their credit card charge-slips so that it could never
be proven they made the purchases.  Also, such individuals are too busy for themselves. Yes, you
heard me. They are too busy for themselves and seldom finish their tasks and blame it on others.
If you have this signature, write your full name. It will slow you down a bit. But you will
complete every thing you do. Sounds goo

Question and Standard

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General Signature System Questions

1. What distinguishes the Signature System from other power monitoring/analysis systems?

The Signature System is the only power information system specifically designed to work with the
Internet. With the Signature System, no proprietary software must be installed into your computer. With
just the click of a mouse from any computer equipped with Internet access, you get 24/7 real-time access
to your information. And, because access is password-protected, you decide who can enter the system.

Real-time access to data, including meter panels, means you are on top of the situation immediately
without waiting for data to processed and posted.

2. Are there other distinguishing features?

Yes. The Signature System was designed to provide answers, not just data. With its unique infrastructure,
the Signature System is able to collect data typically missed by other power information systems, provide
unequalled analytical capabilities, and deliver targeted answers to the identified needs of each individual
installation.

3. If the Signature System uses a web-browser, does it connect to the Dranetz-BMI website?

No. The Signature System is completely independent of any website or the Internet itself. No connection
to the Internet is required unless you want to use it for communication.

4. What type of technology do I need at my facility in order to use the Signature System?

You need a computer with Internet access. That access can be provided through a standard telephone
line and a modem with a Dial-up networking connection. Alternately, Internet access can be provided
through DSL or cable connections. From that starting point, the Signature System will include an
InfoNode and one or more DataNodes.

5. There is only one phone line into my substation and I don‘t yet have network access. Can I share this
one phone line with the Signature System and other devices in my substation?

Yes. Inexpensive off-the-shelf phone line multiplexers typically are equipped with multiple ports that allow
you to share one incoming phone line. Typically, these multiplexers contain four or eight ports, allowing
you to connect the Signature System and additional devices. When you dial into your substation, you
simply add control characters after the telephone number to identify which port you want to access. For
example, if the Signature System is connected to port Number 3, you might add a “3” after the telephone
number. The same procedure would be used for your other devices.

6. I have a modem and want to monitor several points in my substation. Do I need a separate phone line
for every monitoring point?

No. The central InfoNode handles all communication with the DataNodes in your system. All
communication is with the central InfoNode, so you only need a phone line connected to the InfoNode.

7. I want to use Dial-Up communications, but I want to share data with my co-workers. Can more than
one person share my modem connection at the same time?

Yes. Microsoft NT Server Remote Access Server (RAS) incorporates a multiple dial-on-demand feature
that allows multiple users to contact the InfoNode at the same time. The first user contacts the unit by

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using the IP address. That initial contact initiates the modem connection. Once the IP address is open, it
is available to multiple users.

8. I need to share information with co-workers and customers. How can I do this?

The InfoNode supports up to 10 simultaneous users via the network, letting those users view the same
data or different data at the same time. Multiple access is enabled through an optional built-in modem that
supports a Dial-Up networking connection to the InfoNode. That Dial-up access is completely
independent of network access. The web-browser interface when using Dial-Up networking is exactly the
same as when using a network connection.

Since the InfoNode is a web-based system, you can bookmark specific pages for convenience and you
can email specific pages or urls to colleagues at other locations.

9. Does the Signature System support IPV4, IPVA or DNP?

The Signature System supports IP4, which is the current TCP/IP Internet protocol. The InfoNode and
DataNodes have 2 network connectors: RJ-45 (10BaseT) and AUI (Auxiliary Universal Interface). The RJ
45 connector allows for direct connection to most networks in use today. The AUI port enables you to use
off-the-shelf adaptors to connect to other types of networks, such as Fiber and coaxial (10Base2).

10. Does the Signature System support other manufacturers’ equipment?

Yes. The Signature System can utilize information from any instrument that converts its data output into a
PQDIF format. This capability will be supported by the future implementation of UCA (Utility
Communication Architecture) protocol. If an instrument manufacturer is incapable or unwilling to adopt the
PQDIF format, we can provide the services necessary to connect the systems.

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CHAPTER III
COUNTERFEITING
COUNTERFEITING.; Statistics of Frauds on Our Paper Currency. Twelve-Thirteenths of Our
Banks Have their Issues Counterfeited Proportions of Altered, Spurious and Imitation Frauds in
Circulation. SIx Thousand Varieties of Counterfeit Money. of our paper currency expose.
Startling Increase of Counterfeiting in Six Years. A National Evil Demanding a National
Remedy. Spurious notes. The "IMITATIONS" the defects of our paper currency summed up.

Especially the emerging hobby of desktop counterfeiting, strikes right at the heart of
Mammon, pissing on its ultimate sacrament. “Counterfeiting was once the domain of skilled
crooks who needed expensive engraving and printing equipment,” writes desktop publisher Doug
McClellan, “But as the prices of desktop-publishing systems have dropped, counterfeiting has
gone mainstream. Personal computers with the graphics needed for counterfeiting are now
available for a few hundred dollars…. desktop counterfeiters are much harder to catch because
the systems they use are ubiquitous and the number of forgeries they produce are typically small.

A counterfeiting is something made to imitate the real thing. It is an imitation that is

usually made with the intent to deceptively represent content or origin.

The word is usually applied to a form of forgery involving money. The right to make coins and
print paper money is limited by law to governments. Respective nation cannot make the coins of
their own but also the making of coins or paper money of other governments.

The word counterfeit most frequently describes forged currency or documents, but also describe
clothing, software, pharmaceuticals, watches, or more recently, cars and motor cycles especially
when this results in patent infringement or trademark infringement.

Counterfeiting of documents
Forgery is the process of making or adapting documents with the intention to deceive. It is a
form of fraud, and is often a key technique in the execution of identity theft. Uttering and
publishing is a term in United States law for the forgery of non-official documents, such as a
trucking company's time and weight logs.

Questioned document examination is a scientific process for investigating many aspects of

various documents, and is often used to examine the provenance and verity of a suspected
forgery. Security printing is a printing industry specialty, focused on creating documents which
are difficult or impossible to forge.

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Example of Counterfeiting

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Question and Standard

1. What is the difference between counterfeiting and piracy?

A counterfeit good is an unauthorised imitation of a branded good. The official definition can be
found in the enforcement section of an agreement on intellectual property rights negotiated in the
World Trade Organisation, known as the TRIPS Agreement1:

"Counterfeit trademark goods shall mean any goods, including packaging, bearing without
authorisation a trademark which is identical to the trademark validly registered in respect of such
goods, or which cannot be distinguished in its essential aspects from such a trademark and which
thereby infringes the rights of the owner of the trademark in question under the law of the
country of importation."

Piracy consists in making an unauthorised exact copy–not a simple imitation–of an item covered
by an intellectual property right. It is officially defined by the TRIPS Agreement as:

"Pirated copyright goods shall mean any goods which are copies made without the consent of the
right holder or person duly authorised by the right holder in the country of production and which
are made directly or indirectly from an article where the making of that copy would have
constituted an infringement of a copyright or a related right under the law of the country of
importation".

2. What is the problem with counterfeiting and piracy?

It is very difficult to produce exact figures, as counterfeit and pirated goods fall outside the
mainstream economy. According to figures from the OECD project on counterfeiting and
piracy2- is estimated that the international trade in counterfeit and pirated goods is growing in
magnitude and could have amounted to USD 250 billion in 2007. The OECD figures do not
include domestic production and consumption of counterfeited and pirated goods, nor the
volume of pirated digital products being distributed via the internet. If these items were added,
the total magnitude of counterfeiting and piracy worldwide could well be several hundred billion
dollars more.

Over the last few years, there has been an alarming expansion in the types of products being
infringed. They range from luxury items such as sportswear, watches and jewellery, to household
items that have an impact on personal health and safety, such as pharmaceuticals, razor blades,
foodstuffs, beverages, children's toys and car parts. Asia emerges as the largest source for
counterfeited and pirated products, with China being the largest source.

In 2008, EU customs officials carried out 49,331 procedures and intercepted more than 178
million counterfeited and pirated articles, almost double the amount recorded in 2007. (Report on
EU Customs Enforcement of Intellectual Property Rights 2008 - DG Taxation and Customs
Union-)3

3. How do counterfeiting and piracy affect the EU?

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Firstly, counterfeiting and piracy are detrimental to innovation, directly affecting job creation
and economic growth. Industries protect their ideas through a variety of legal instruments such as
patents, copyrights, designs, models and trademarks. Without the protection of their intellectual
property rights, they may be less inclined to develop new ideas and products. Risks are
particularly high for industries in which the research and development costs are high compared
to the production costs of the finalised product (e.g. pharmaceuticals). Faced with a diminishing
turnover due to counterfeiting and piracy, industry investment in research and innovation could
well slow down. This would limit development, growth and competitiveness, forcing industries
to simply close or at least limit production.

Secondly, counterfeiting and piracy are a growing risk to consumer health and safety. While
some consumers are looking for what they believe to be bargains, knowingly buying counterfeit
and pirated products, others may purchase counterfeit and pirated products believing they have
purchased genuine articles. In both cases, a growing number of products are often sub-standard
and carry significant risks that range from mild to life threatening. Sectors where health and
safety effects tend to occur include: car parts (brake pads, hydraulic hoses, engine and chassis
parts, suspension and steering components, airbags, spark plugs, filters), electrical components
(circuit breakers, fuses, switches, batteries), food and drink (tea, rice, vodka, raw spirits, baby
formula), chemicals, toiletry, household products and tobacco products. In 2008, customs
seizures reflected a 26% rise in fake foodstuffs, a 38% rise in counterfeit electrical equipment
and 118% increase in fake medicines.

Thirdly, the profit margins from counterfeiting and piracy are extremely high and in comparison
to other forms of illegal trafficking the penalties are low. As a result the trade in fake goods is
considered to be high profit and low risk. As a result, they have become an attractive investment
for organised crime.

Finally, counterfeiting and piracy affect the public budgets of the Member States. Every year,
millions in tax revenues are lost as a result of pirated and counterfeited goods smuggled through
customs and sold on grey markets. Meanwhile, Member State governments often bear the costs
associated with addressing the consequences of counterfeiting through further expenditure on
consumer health and safety and on law enforcement.

4. What actions is the EU already taking against counterfeiting and piracy?

Within the EU, the Enforcement Directive (2004/48/EC) is the cornerstone of legislation in the
fight against counterfeiting and piracy. It aims to harmonise the laws of the Member States on
means of enforcing intellectual property rights (via sanctions and remedies). The Directive
covers infringements of all intellectual property rights (trade marks, designs, patents, copyright
etc.) which cause significant harm to rights holders.

However, the Directive only covers civil measures. The remedies available to rights holders
include the destruction, recall or permanent removal of pirated or counterfeited goods from the
market, financial compensation, injunctions and damages. The Directive also contains the

5. What is the role of the European Counterfeiting and Piracy Observatory?

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On 2 April 2009, the European Commission launched the European Counterfeiting and Piracy
Observatory at a High Level Conference on Counterfeiting and Piracy. The overall aim of the
Observatory is to produce continuous, objective assessments and up-to-date research that leads to
exchange of best practices and knowledge gathering among policymakers, industry experts and
enforcement bodies.

Next to serving as a platform that allows for exchanging experiences, creating public awareness
and sharing best practices on enforcement techniques, the Observatory is a central resource for
gathering, monitoring and reporting crucial information that will improve the EU's knowledge
about the dangers of counterfeiting and piracy. (see MEMO/09/146)

6. What more needs to be done?

There are already a number of legal instruments in place, but in order to make them more
effective, the European Commission is seeking stronger administrative cooperation between
authorities at all levels in the fight against fake goods. Key pillars of work include:

 Improving the collection and quality of data. As stated before, data on counterfeiting and
piracy is still very incomplete and fragmented. The Commission will therefore analyse
how data collection at the European level can be improved.

 Within Member States coordination between key players can be enhanced by sharing best
practices. Between Member States, an efficient network of cross-border cooperation
could be set up to facilitate a rapid exchange of information.

 Greater public-private cooperation can also be a useful tool to improve enforcement, for
example through a platform that would enable this cooperation, facilitating the collection
and exchange of information, while monitoring the developments in the trade of
counterfeits.

 Inter-industry dialogues to crack down on the most evident forms of counterfeiting and
piracy, including those on the internet, could prove to be a very effective and efficient
ways to diminish the extent of the problems. Opportunities also exist in the field of
standardized tracking and tracing methods, possibly even across sectors, and user-
friendly ways to authenticate original products.

7. Is there a link with the EU patent strategy?

Yes. The creation of an EU patent and a unified litigation system would strengthen the EU in the
fight against fake goods. A unitary title providing equal protection throughout the entire territory
of the EU would enhance the fight against counterfeiting and the copying of products which are
protected by patents owned by European companies. Complete geographical protection without
any loopholes would help to prevent the entry of counterfeit products into the EU. An EU-wide
scope of application would facilitate their effective seizure by customs authorities at all external
borders of the EU and their removal from the market wherever they enter distribution channels.

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CHAPTER IV
COUNTERFEITING

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