SOLIS INSTITUTE OF TECHNOLOGY-COLLEGE OF CRIMINOLOGY

Questioned
Document
Examination

LESSON FOUR: PRELIMNARY EXAMINATION OF DOCUMENT

It is the initial examination ocnducted on a document to determine whther it is genuine or not. It is not a misnomer, for in reality it consists of
painstaking analysis more than looking at a document and expressing an off-hand opinion.

THE IMPORTANCE OF PRELIMINARY EXAMINATION OF QUESTIONED DOCUMENT:

1. Ensire preparedness
2. Avoidance of Delay
3. Ensures Success of the case

Principal Points for consideration in the PRELIMINARY EXAMINATION of QUESTIONED DOCUMENT.

(NOTE: These questions may not be applicable in evry case)
1. Is the signature genuine?
2. Is the signature in a natural position?
3. Are the signatures of the witnesses genuine and were they written in the order as they appear?
4. Does the signature touch the other writings? Or was it written last?
5. Are there remains of pencil or carbon marks which may have been an outline for the signature of other writings?
6. Is the signature shown in an embossed form on the back of the sheet?
7. Is the writings written before the paper was folded?
8. Is the signature written before or after the paper was folded?
9. Is more than one kind of ink used in the preparation of the document?
10. Are the several sheets of the document exactly the same sizes, thickness and colors?
11. Is the paper torn, burned or mutilated in any way, and if so, for what purpose?
12. Is the paper unnecessary soiled or crumpled?
13. Does the document contain abrasion, chemical/pencil erasures, and alterations/substitutions of any kind?
14. Does the document show abrasion, erasure or lack of continuity when viewed by transmitted light?
15. Has the document been wet in any way and if so, for what purpose?
16. If typewritten, are the contents of the document all written on the same machine?
17. Was each sheet written continuously at one time without being removed from the typewriter?
18. Are there added figures, words, clauses, sentences, paragraphs or pages written on a different typewriter?
19. Do the perforations agree with the stubs from which the alleged document came?
20. If the document is a carbon copy, does it conform in the size, position, and arrangement of matters with original letterheads?
21. If the document is a letter, does postmark, postage stamps, manner of sealing and opening of envelope have any significance?
22. Are there indentations in the paper from handwriting or typewriting on a sheet placed above the paper examined?
23. Is the rubber-stamp impression if any appears made from a genuine stamp?
24. Is the attached seal of proper date or the seal impression made from a genuine seal and is it made in proper sequence?

Who Conducts the Preliminary Examination? – It should be conducted by a QUESTIONED DOCUMENT EXPERT.

Who is a Questioned Document Expert? A Questioned Document Expert is one who has:
1. Attained the appropriate education and training;
2. Sufficient knowledge on the technical, scientific, and legal aspects of document examinations; and
3. A broad experience in handling questioned document cases.

REASONS FOR UTILIZING A QUESTIONED DOCUMENT EXPERT:

1. Assurance of preparedness;
 SOLIS INSTITUTE OF TECHNOLOGY-COLLEGE OF CRIMINOLOGY

2. Trial fiscal or judges are infrequently confronted with document cases; consequently, they do not possess the knowledge of the documents
expert's ability of the various methods that exist for determining forgeries.
3. Avoidance of an “OFF-HAND” opinion.

What is an “OFF-HAND OPINION”? Off-hand opinion is usually a conclusion that is not based on thorough scientific examination.

THE DANGER OF OFF-HAND OPINIONS - It has happened in some cases that an off-hand opinion, has sent an innocent man to prison, while a
murderer was given a chance to escape.

INSTRUMENTS AND APPARATUS USED IN QUESTIONED DOCUMENT EXAMINATIONS

A. MAGNIFYING LENS – Bank personnel and other people involved in currency examinations usually use and ordinary hand-lens; the maximum
diameter of which is four inches, and this appears big with its wide frame it has a magnifying power of two times the original only. Magnifying
lenses of five times or more magnifying power, with built-in-lighting are more useful.
B. SHADOWGRAPH – a pictorial image formed by casting a shadow, usually of the hands, upon a rightful surface or screen.
C. STEREOSCOPIC BINOCULAR MICROSCOPE – a tri-dimensional (3D) enlargement is possible.
D. MEASURES AND TEST PLATES (TRANSPARENT GLASS) – those used for signatures and typewritings.
E. TABLE LAMPS WITH ADJUSTABLE SHADES (Goose Neck Lamps) – used for controlled illumination; needed in sidelight examination
wherein light is placed at a low-angle in a position oblique to plane or document.
F. TRANSMITTED LIGHT GADGET – a device where light comes from beneath or behind glass on document is placed.
G. ULTRA VIOLET LAMP – this is usually used in the detection of counterfeited bills but can actually be used to detect security features of
qualified documents.
H. INFRARED VIEWER – primarily used to decipher writings in a charred document.
I. COMPARISON MICROSCOPE – similar to that of the bullet comparison microscope.

ASSIGNMENT TWO: SEARCH THE INTERNET FOR THE IMAGES OF THE AFFOREDMENTIONED INSTRUMENTS AND APPARATUS. Copy,
paste and label each images in a short bond paper. Submit a PDF copy of your output. (CLICK ASSINGMENT TWO TO UPLOAD)

TECHNIQUES IN THE EXAMINATION OF QUESTIONED DOCUMENTS

A. MICROSCOPIC EXAMINATION - Any examination or study which is made with the microscope in order to discover minute physical details.
Stereoscopic examination with low and high power objectives is used to detect retouching, patching and unnatural pen-lift in signature analysis.
With proper angle and intensity or illumination, it aids in the decipherment of erasures, some minute manipulations not perfectly pictured to the
unaided eye and the sequence of entries done by different writing instruments.
PURPOSE:
 used to detect retouching, patching and unnatural pen-lift in signature analysis.
 aids in the decipherment of erasures, some minute manipulations not perfectly pictured to the unaided eye and the sequence of entries
done by different writing instruments.

B. TRANSMITTED LIGHT EXAMINATION – In this examination, the document is viewed with the source of illumination behind it and the
light passing through the paper. Documents are subjected to this type of examination to determine the presence of erasures, matching
of serrations and some other types of alterations.
PURPOSE:
A. to determine the presence of erasures, matching of serrations and some other types of alterations.

B. OBLIQUE LIGHT EXAMINATION - An examination with the illumination so controlled that it grazes or strikes the surface of the document from
one side at a very low angle.
PURPOSE:
 Decipherment of faded handwriting, determination of outlines in traced forgery, embossed impressions, etc. are subjected to this type
of examination.

A. PHOTOGRAPHIC EXAMINATION - This type of examination is very essential in every document examination. Actual observations are
recorded in the photographs.

B. ULTRA-VIOLET EXAMINATION - Ultraviolet radiation is invisible and occurs in the wave lengths just below the visible blue-violet end of the
spectrum (rainbow). These visible rays react on some substances so that visible light is reflected, a phenomenon known as FLOURESCENCE.
This type of examination is done in a darkroom after the lamp has been warmed up in order to give a maximum output of the ultra-violet light.
Exposure to the ultra-violet light should be to the minimum duration in order to avoid fading of some writing ink and typewriter ribbon.

C. INFRARED EXAMINATION - This examination of documents employs invisible radiation beyond the red portion of the visible spectrum
(rainbow) which is usually recorded on a specially sensitized photographic emulsion.

PHOTOGRAPHY AND QUESTIONED DOCUMENT EXAMINATION

A. PURPOSES OF PHOTOGRAPHS IN QDE:
1. serve as record of the initial condition of a disputed document;
2. make clear what otherwise may be hidden or indistinct;
 SOLIS INSTITUTE OF TECHNOLOGY-COLLEGE OF CRIMINOLOGY

3. enlarge a writing in question so that every quality and characteristics of it can be clearly and properly interpreted whether the facts so
shown point to genuineness or to forgery;
4. enable any number of accurate reproductions of document, thus affording unlimited opportunity for study, comparison and evaluation by
any number of examiners, which would not be possible by using the document alone;
5. allow cutting apart as may be desired and the various parts classified for comparisons;
6. can show delicate discolorations due to chemical erasures or other fraudulent changes, which may otherwise be overlooked, or
misinterpreted;
7. can show very clearly any erasures by abrasions made by ordinary rubber eraser and it can record in permanent form with the paper
placed obliquely to the plane of the lens and plate and inclined at just right angle of reflection so as to show differences in the reflected
light from different portions of the paper surface; and

8. with transmitted light, photographs is useful in:

a. examination of watermarks
b. determining the identity, or the differences in paper by showing arrangement of the fibers and the markings of the wire gauze and
dandy roll
c. showing the continuity of strokes and
d. determining retouching or patching of a writing by showing clearly the presence of added ink film and the uneven distribution of ink
in interrupted strokes.

MISCELLANEOUS EXAMINATIONS
A. ERASURES - One of the common inquiries in questioned document is whether or not an erasure was actually made on a document. In cases
like this, the following examinations are made:
1. Physical inspection: using ultraviolet light, observation with light striking the surface at a sharp angle, and observation under the
microscope maybe considered.
2. Fuming with iodine may cause an almost negligible stain, but in most instances not the slightest semblance of a stain remains.

B. INDENTED WRITING - Indented writing is a term usually applied to the partially visible depressions appearing on a sheet of paper underneath
the one on which the visible writing appears. These depressions or indentation are due to the application of pressure on the writing instrument
and would appear as a carbon copy if a sheet of carbon paper had been properly inserted. Indentation may also appear on a blank sheet of
paper if such is used as a backing sheet while typing out a message on a typewriter. Methods of examination are:
1. Physical methods maybe used by passing a strong beam of nearly parallel light almost horizontally over the surface of the paper.
2. Fuming the document maybe of values in some cases.
3. Powders of various kinds maybe used without changing the document.

C. BURNED OR CHARRED PAPER - A piece of paper maybe subjected to the action of a limited amount of heat, causing it to become scorched
and retaining a certain amount of its identity or it maybe subjected to intense heat, reducing it to ashes and losing its identity. However, if the
combustion is incomplete, a certain amount of success maybe realized provided the pieces are large enough to form a coherent message.

The following methods maybe applied to decipher the original message contained thereon:
1. Photographic methods, using various types of filters and different angles of illumination may determine the writing contained thereon
without changing the appearance of the charred fragments.
2. Chemical methods, such as spraying, painting, or bathing charred pieces with solutions of different chemical reagents.
3. Photographic plates maybe utilized by allowing the charred paper to remain in contact with the emulsion sides in total darkness from one
to two weeks.

D. ADDING MACHINES - The construction of an adding machine differs greatly from the typewriter but the methods and principles of identification
are related.
Manufacturers use different types of numerals and from time to time change their design. The spacing between columns is also not
standardized for all machines. Those factors form the basis of determining the make of the machine and for estimating the period in which it was built.
Another kind of approach is the ribbon impression, for the ribbon is made and operates very similarly to the typewriter.

HANDLING OF DOCUMENTS AND QUESTIONED DOCUMENTS

A. THE CARE OF DISPUTED DOCUMENTS AND DOCUMENTARY EVIDENCE
1. It is a basic requirement, that when a document becomes disputed and deposited in court or with the attorney, in order to maintain its
original condition, it should be kept UNFOLDED AND IN A SEPARATE, PROPER SIZE ENVELOPE OR FOLDER. This is true not only
for the disputed documents, but for many other important documentary evidence.
2. It is also advisable that right after the document becomes disputed, or questioned, it is important to make not only the usual photo static
copy (Xerox), but also a proper photograph or photo-enlargement, done if possible by the document expert or under the supervision of the
document expert.
3. When working in the preparation of case, it is often necessary for the lawyer or court to handle repeatedly the
disputed document. Should this be necessary, instead of handling and working with the original document, the photograph should be used.
4. Every touching, folding, refolding or pointing to certain parts of a document, can change the physical condition of the case. For example,
touching with wet hands or fingers can create smearing in the ink, pointing with a pencil can leave marks that create a suspicion of previous
pencil marks, or experiments as proof of attempted forgery.
5. Pointing a document with any other instruments, such as sharp stick, can cause slight damage which although it can not be seen by the
naked eye, can show definite marks under the microscope or on the enlarged photograph.
6. No test should be made to alter the conditions of the document; for example, the old-fashioned ink test, which was used to determine the
age of the ink-writing.
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7. Should any test be necessary, insist that it should be done in the presence of a chemist, or in court, or in front of both parties involved the
case.

B. DO's and DON'T's in the CARE, HANDLING AND PRESERVATION OF DOCUMENTS

1. “DO’S”
a. Take disputed papers to Document Examiner's Laboratory at the First Opportunity.
b. If storage is necessary, keep in dry place away from excessive heat strong light.
c. Maintain in consequential document, unfolded and in transparent plastic envelope or evidence preserver.

2. “DONT’S”
a. Do not underscore, make careless markings, fold, erase, impress rubber stamps, sticker, write on, or otherwise alter any handwriting.
b. Do not smear with fingerprints powder or chemicals.
c. Do not carry handwriting document carelessly in wallet, notebook or brief case on grounds of interviews.
d. Do not handle disputed papers excessively or carry then in pocket for a long time.
e. Do not marked disputed documents (either by consciously writing instruments or dividers)
f. Do not mutilate or damage by repeated refolding, creasing, cutting, tearing or punching for filing purposes.
g. Do not allow anyone except qualified specialist to make chemical or other tests; do no treat or dust for latent finger prints before
consulting a document examiner.

C. HANDLING CHARRED DOCUMENTS

1. Those extremely fragile must be handled as little as possible and transporting them to the laboratory requires extra-ordinary care. With
forethought and caution they can be brought from the distant fire scene to the laboratory.
2. They should be moved in the container in which they are found whenever possible. When the fragments are not packed tightly, they should
be padded with lightweight absorbent cotton. If jarring can not be entirely eliminated jarring the box must be kept to a minimum.
3. Thus every precaution must be taken in handling and transporting the charred residue in order to prevent the large pieces from becoming
unnecessarily and badly broken. The fragment must be held firmly without crushing and prevent movement or shifting when finally packed
in a sturdy container.