U.S. Department of Justice

Federal Bureau of Investigation

April 2000   Volume 2   Number 2

Guidelines for Forensic Document Examination

Scientific Working Group for Forensic Document Examination (SWGDOC)

Revised January 2000

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Introduction

Guidelines:

Examination of Handwritten Items

Examination of Exclusively Questioned Handwritten Items

Examination of Nonoriginal Handwritten Items

Examination of Handwritten Items Having a Distorted Appearance

Safe Handling of Contaminated Document Evidence and the Preservation of Associated Trace Evidence

Discussion of the Guideline for the Safe Handling of Contaminated Document Evidence and the Preservation of Associated Trace Evidence

Quality Assurance and Proficiency Testing

Comments

Acknowledgments

Guideline for the Examination of Nonoriginal Handwritten Items

1. Purpose
To determine whether or not two or more handwritten items, at least one of which is nonoriginal, were written by the same person(s).

2. Introduction
2.1. This Guideline will be used as a continuation of examination from the Guideline for the Examination of Handwritten Items and the Guideline for the Examination of Exclusively Questioned Handwritten Items.

2.2. Terms defined in the glossary are in italics when they first appear in the Guideline.

3. Requirements
That the forensic document examiner will have the following available:

3.1. A light source of sufficient intensity to distinguish fine detail in reproductions.

3.2. An optical instrument capable of sufficient magnification to distinguish fine detail in reproductions.

3.3. Sufficient time to complete the procedures in this Guideline.

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4. Procedures
All steps should be performed, when applicable. However, the steps need not be performed in the order given.

4.1. If the questioned writing is nonoriginal, continue with these procedures. If the questioned writing is original, go to Section 4.3 in this Guideline.

4.2. Determine whether or not the questioned writing has been reproduced with sufficient resolution for comparison purposes. If not, request the original or a better quality copy. If neither exists or is submitted, discontinue these procedures and report accordingly.

4.3. If the known writing is original, go to Section 4.5 in this Guideline. If the known writing is nonoriginal, continue with these procedures.

4.4. Determine whether or not the known writing has been reproduced with sufficient resolution for comparison purposes. If of sufficient resolution, continue with these procedures. If not of sufficient resolution, request the original, a better quality copy, or additional known writing. If none is submitted, discontinue and report accordingly.

4.5. Determine whether or not the questioned writing and/or known writing appear to be distorted. If any appears to be distorted, see the Guideline for the Examination of Handwritten Items Having a Distorted Appearance. If it does not appear to be distorted, continue with these procedures.

4.6. Evaluate the questioned writing for the following:

4.6.1. Type of writing. If there is more than one type of writing within the questioned writing, separate the questioned writing into subsets of single types of writing.

4.6.2. Internal consistency. If there are inconsistencies within any one of the subsets created in Section 4.6.1 in this Guideline (e.g., suggestive of multiple writers, montage), divide the subsets into sub-subsets, each one of which is consistent.

4.6.3. Range of variation of the writing for each subset or sub-subset of the questioned writing created in Sections 4.6.1 and 4.6.2 in this Guideline.

4.6.4. Presence or absence of identifying characteristics.

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4.7. Evaluate the known writing for the following:

4.7.1. Type of writing. If there is more than one type of writing within the known writing, separate the known writing into subsets of single types of writing

4.7.2. Internal consistency. If there are inconsistencies within any of the subsets created in Section 4.7.1 in this Guideline (e.g., multiple writers), which cannot be resolved, contact the contributor for authentication. If the inconsistency remains unresolved, stop the examination of the affected subsets. If appropriate, declare no conclusion.

4.7.3. Range of variation of the writing for each subset of the known writing created in Section 4.7.1 in this Guideline.

4.7.4. Presence or absence of identifying characteristics.

4.8. Conduct a side-by-side comparison of questioned writing and known writing:

4.8.1. Comparability. If the questioned writing and known writing are not comparable, discontinue comparison and request comparable known writing. If comparable known writing is made available, return to Section 4.3 in this Guideline. If comparable writing is not made available, discontinue the comparison and report accordingly.

4.8.2. Determine whether or not there are dissimilarities, absent characters, and/or similarities. Evaluate their significance individually and in combination.

4.8.3. Sufficient quantity. If questioned and/or known writing is not sufficient in quantity for an elimination or an identification, continue the comparison to the extent possible. When appropriate, request more known writing. If more known writing is made available, return to Section 4.3 in this Guideline.

4.9. Form an opinion using Reporting Conclusions in Section 5 in this Guideline.

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5. Reporting Conclusions
The following criteria should be met in order to reach the appropriate conclusion:

5.1. Identification

5.1.1. The range of variation exhibited in the questioned writing and in the known writing contains substantial significant similarities;

5.1.2. There are no significant dissimilarities; and

5.1.3. No limitations associated with absent characters, dissimilarities, and/or quantity of writing are present.

5.2. Highly Probable Did Write

5.2.1. The range of variation exhibited in the questioned writing and in the known writing contains substantial significant similarities;

5.2.2. There are no significant dissimilarities; and

5.2.3. Limitations associated with absent characters, dissimilarities, and/or quantity of writing are present.

5.3. Probably Did Write

5.3.1. The range of variation exhibited in the questioned writing and in the known writing contains some significant similarities;

5.3.2. There are no significant dissimilarities; and

5.3.3. Limitations associated with absent characters, dissimilarities, identifying characteristics, and/or quantity of writing may be present.

5.4. Indications Did Write

5.4.1. The range of variation exhibited in the questioned writing and in the known writing contains few significant similarities;

5.4.2. There are no significant dissimilarities; and

5.4.3. Limitations associated with absent characters, dissimilarities, identifying characteristics, and/or quantity of writing may be present.

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5.5. No Conclusion

5.5.1. The range of variation exhibited in the questioned writing and in the known writing contains insufficient significant similarities and insufficient significant dissimilarities; and

5.5.2. Limitations associated with absent characters, identifying characteristics, and/or quantity of writing may be present.

5.5.3. There may be similarities and/or dissimilarities.

5.6. Indications Did Not Write

5.6.1. The range of variation exhibited in the questioned writing and in the known writing contains few significant dissimilarities; and

5.6.2. Limitations associated with absent characters, identifying characteristics, and/or quantity of writing may be present.

5.6.3. There may be similarities.

5.7. Probably Did Not Write

5.7.1. The range of variation exhibited in the questioned writing and in the known writing contains some significant dissimilarities; and

5.7.2. Limitations associated with absent characters, identifying characteristics, and/or quantity of writing may be present.

5.7.3. There may be similarities.

5.8. Highly Probable Did Not Write

5.8.1. The range of variation exhibited in the questioned writing and in the known writing contains substantial significant dissimilarities; and

5.8.2. Limitations associated with absent characters, identifying characteristics, and/or quantity of writing are present.

5.8.3. There may be similarities.

5.9. Elimination

5.9.1. The range of variation exhibited in the questioned writing and in the known writing contains substantial significant dissimilarities; and

5.9.2. No limitations associated with absent characters, identifying characteristics, and/or quantity of writing are present.

5.9.3. There may be absent characters.

5.9.4. There may be similarities.

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6. Glossary
Absent Character: A character or character combination which is present in one body of writing but is not present (e.g., does not have a corresponding character) in another body of writing.

Character: Any letter, numeral, punctuation mark, symbol, or ornament.

Characteristic: A feature, quality, attribute, or property of writing.

Comparability: The questioned writing and known writing embody the same type of writing and character or character combinations. Other issues of comparability may include, but are not limited to, contemporaneousness of the questioned writing and the known writing, different writing instruments, and document format.

Dissimilarity: A characteristic not in common between two or more handwritten items but may fall within the range of variation of the writer.

Distorted Writing: Writing which does not appear to reflect normal writing habits, either intentionally (e.g., disguise, simulation) or unintentionally (e.g., physical condition of the writer, writing conditions).

Elimination: A definite conclusion that two or more handwritten items were not written by the same person.

Handwritten: An item containing something written by hand (e.g., cursive writing, hand printing, signatures).

Highly Probable Did: A qualified opinion in which the evidence supports with virtual certainty that two or more handwritten items were written by the same person.

Highly Probable Did Not: A qualified opinion in which the evidence supports with virtual certainty that two or more handwritten items were not written by the same person.

Identification: A definite conclusion that two or more handwritten items were written by the same person.

Identifying Characteristics: Marks or properties that serve to individualize writing (e.g., formations, relative sizes and heights of letters).

Indications Did: A qualified opinion in which the evidence suggests that two or more handwritten items may have been written by the same person.

Indications Did Not: A qualified opinion in which the evidence suggests that two or more handwritten items may not have been written by the same person.

Item: An object or quantity of material on which a set of observations can be made.

Known: Of established origin.

Natural Writing: Any specimen of writing executed without an attempt to control or alter its usual quality of execution.

No Conclusion: No determination can be made as to whether or not two or more handwritten items were written by the same person.

Probably Did: A qualified opinion in which the evidence points rather strongly toward two or more handwritten items as having been written by the same person; however, this opinion falls short of the virtually certain degree of confidence.

Probably Did Not: A qualified opinion in which the evidence points rather strongly against two or more handwritten items as having been written by the same person; however, this opinion falls short of the virtually certain degree of confidence.

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Questioned: Of disputed or uncertain origin.

Range of Variation: The combination of all occurrences of all characteristics found in a body of writing.

Resolution: The quantity and quality of the detail that can be observed.

Significant Dissimilarity: A repeated identifying characteristic which is different between two or more handwritten items and which is outside the range of variation of the writer.

Significant Similarity: An identifying characteristic in common between two or more handwritten items.

Similarity: A characteristic in common between two or more handwritten items.

Sufficient Quantity: That amount of writing required to assess the writer's range of variation, on the basis of the content of the questioned writing.

Type of Writing: Refers to hand printing, cursive writing, signatures, and numerals, or combinations thereof (e.g., style of writing).

Variation: The combination of all occurrences of the same characteristic found in a body of writing.

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References
ASTM. Form and Style for ASTM Standards. American Society for Testing and Materials, Philadelphia, Pennsylvania, 1996.

ASTM. Standard Definitions. American Society for Testing and Materials, Scranton, Pennsylvania, 1994.

Osborn, A. S. Questioned Documents. Boyd, Albany, New York, 1929.

Hilton, O. Scientific Examination of Questioned Documents. Elsevier, New York, 1982.

Harrison, W. R. Suspect Documents. Sweet and Maxwell, London, 1958 and 1966.

Conway, J. V. P. Evidential Documents. Charles C. Thomas, Springfield, Illinois, 1959.

Ellen, D. The Scientific Examination of Documents Methods and Techniques. Ellis Horwood, London, 1989.

Comments

Comments and questions concerning the Guideline for the Examination of Nonoriginal Handwritten Items may be forwarded to Susan Morton at magnolia@worldspy.net

Readers may also respond via a document comments form.

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FORENSIC SCIENCE COMMUNICATIONS     APRIL 2000   VOLUME 2   NUMBER 2