MODULE No. 14: Age of Documents

Transcription

1 SUBJECT Paper No. and Title Module No. and Title Module Tag PAPER No. 8: Questioned Document MODULE No.14: Age of Documents FSC_P8_M14

2 TABLE OF CONTENTS 1. Learning Outcomes 2. Introduction 3. Paper 4. Writing Inks 5. Typewriting 6. Photocopiers and Printers 7. Facsimile Machines 8. Printed Matter 9. Handwriting and Signatures 10. Miscellaneous Items 11. Summary

3 1. Learning Outcomes After studying this module, you shall be able to- Know about the importance of age of document. Learn about various components which helps in determination of age of document. 2. Introduction Questions surrounding the production date of a particular document or entry can vary widely. For instance, the authenticity of a document purportedly written centuries or decades ago may be at issue. In another case, there may be concerns about whether the contents of a medical or legal file have been entirely rewritten some months or a few years after the dates recorded in the file. Other inquiries may pertain to suspicion that a self-serving entry in an appointment or diary note may have been made mere days, or a few weeks, after the recorded date. A number of backdating methods have been employed in such situations. These range from a relatively minor change to the final digit in a handwritten year to a far more sophisticated endeavor where old paper stock, writing instruments, or pre-printed forms were employed. An entire record representing several pages may have been fabricated using such materials. Several methodologies can be used to address such questions. The analyses are performed by Comparing the contested document to other similar documents from the same time frame, Intra-comparing various entries in a file or multi-page document to determine whether they are the same, Referencing manufacturers and other technical information about the materials used, such as inks, paper, computer printers, fax machines, etc., and Examining for accidental markings and indented impressions. The tests conducted will depend, to a large extent, on the nature of the document itself. By way of example, a multi-page medical record may be comprised of a file folder, index cards, diagnostic forms, handwritten progress notes, correspondence, and facsimiles. Clearly, the document examiner can employ a much larger array of analytical techniques in this case than in one where a single computer-generated page with one signature is contested. Regardless of the number of documents involved, the examination will generally entail a multi-faceted approach. Even where the question is limited to a single page, the document examiner is likely to investigate paper, ink, handwriting, and incidental markings.

4 Testing should proceed in a systematic fashion, always progressing from non-destructive methods to semi destructive examinations, where warranted and authorized. There are many potential avenues of inquiry. An experienced document examiner may give particular tests priority over others, based on their likelihood of providing important evidence. Some elements to consider include paper composition, watermarks, envelopes, pre-printed forms, inks and pens, photocopiers, computer printers, facsimile machines, typewriters, typestyles, handwriting/signature evolution, stamp impressions, dry seal embossments, staples and staple holes, indented impressions, ink and pencil offsetting, and other incidental markings. Any part of the document that can be established not to be as old as the date it bears can generally serve as the basis for a conclusive finding. Data from a combination of examination methods are often needed before one can conclude that there has definitely been backdating. It is much more difficult, and often impossible, to establish that a document was prepared on the date it bears. Even when all factors are consistent with the date, the best determination is that it could have been prepared at the time purported. 3. Paper The materials that make up paper contain information about when the paper was first manufactured. The fiber content and various other materials, such as the substances for coating, loading, or brightening, all have first dates of use. Any study of the paper on the basis of formulation requires two factors in order to establish a significant date. First, the manufacturer of the paper must be known. Second, the manufacturer must have records that disclose when certain combinations of materials were first introduced. Occasionally, this information can be developed and is of value, but many times it fails because either the manufacturer cannot be identified or its records are incomplete. A common method of determining the source of paper and its possible time of manufacture involves the watermark found in better grades of writing, typing, and computer printing papers. Today only a few of these watermarks include a dating code that allows the manufacturer to determine the year in which the paper was made. Records are generally available about when a brand of paper, designated by the watermark, was first placed on the market, although most brands have been sold for a number of years. Documents have been dated, or the dates proven fraudulent, by changes in design of the watermark or by defects developed over time in the watermark dandy roll.

5 Here again, success depends on the accuracy of the plant records. Since the watermark can be displayed in scans and photographs, the dating information can be demonstrated effectively to all concerned. 4. Writing Inks During the 20th century a number of new chemicals were developed and used in the production of writing inks. In recent decades, new classes of inks have been developed for use in a variety of pens now on the market, including ballpoint, roller ball, porous tip and gel. Each may be identified from examination of the written strokes or chemical composition. Their presence on a document of a particular date may be inconsistent with the earliest availability of the writing ink or pen. A modification to the technique, known as accelerated aging, has since been advanced to assist in cases where dated comparison entries are not available. For example, it would be applied to a document that is computer generated and bears only an ink signature. The accelerated aging technique does not require known entries for comparison, but rather uses a heated sample of the questioned entry as a comparison standard against which the unheated questioned ink is measured. In essence, the analyst is actually comparing a questioned sample against another sample from the same entry. This adaptation has not been widely endorsed in the forensic community given that there are questions about the effect heating dyes has on any effort to establish dating timelines. None of the government laboratories currently involved in ink dating employ this analytical method. Concerns have been raised about the reliability of the dye ratio method. Concerns have been raised about the reliability of the dye ratio method. There are instances where results have varied widely when multiple runs have been conducted. In some cases a reverse aging curve has been documented. The latter suggests a significant problem with this test. 5. Typewriting Though the majority of type encountered today is computer generated, typewriting still appears on a variety of documents, such as pre-printed forms, envelopes, receipts, deeds, transfers, and other real estate-related forms. Each design has a specific date of introduction. It may be discovered that some aspect of the imprinting on the document is inconsistent with the introduction of that typewriter or element. For example, the discovery of a typewritten last will and testament dated in the 1960s and prepared using a daisy wheel would be proof that the document was not prepared at the date indicated, but rather sometime after the daisy wheel s introduction in the early 1970s.

6 Computerized databases of typestyles are available to the document examiner to aid in manufacturer identification and to provide information on dates of introduction. These records do not establish when the document was typed, but can provide an earliest possible date of creation. A second method for dating a document through study of the typescript is the evolution of defects developed through progressive wear and tear of the machine or element. These defects can include broken or bent characters, filling in of letters and numerals, misalignments, bead defects, etc. As these tend to develop over time, it may be possible to establish a defect chronology and, in turn, date the questioned document with that chronology. In this circumstance, depending on the number and quality of comparison samples, it may be possible to date the document within a defined time frame. As with any comparative examination, a critical first step is to establish conclusively that the questioned typewriting is being compared with the actual typewriter or element used to prepare it. Likewise, a series of typewritten samples must have been produced on the same machine or element that was involved in the production of the questioned document. 6. Photocopiers and Printers Like pens, inks, and typewriters, photocopiers and printers have evolved over the decades. In fact, many models now incorporate the two, along with faxing capabilities, in a single multiuse machine. The merging of these technologies has made distinguishing between a photocopy and a printed document a considerable challenge. Because some imaging systems are common to both applications, certain defects may be found in both printed and copied output. Some of the earliest copier models used a liquid toner. In later years dry toner became the standard. Another change saw a move from analog to digital image processing. In the past two decades, we have seen advances in inkjet technology such that it has taken a prominent position alongside electrostatic imaging. Dot matrix technology has, to some extent, fallen by the way, though it is still used in situations such as imprinting on multipart NCR (no carbon required) forms. As a result, it is still encountered from time to time in questioned document cases.

7 A study of the document will generally reveal the copying or printing method used. It may be possible to determine that a document could not have been produced on the date suggested based on the availability of the copying or printing process at that time. For instance, a document put forward as being a first-generation copy prepared in 1975, but showing clear indications of being a digital reproduction, cannot be what it purports to be, given that the technology was not introduced until many years later. Likewise, a color copy may reveal technological advances as well as manufacturer and date coding that can be evaluated in order to determine whether or not the product was on the market around the time of the suspect document. 7. Facsimile Machine Most modern offices now have one or more stand-alone, or multi-function, fax machines. The popularity of faxes makes them the subject of scrutiny in many litigation cases where issues arise about when a document was generated or transmitted. Establishing whether a particular imaging system or model was available on the date at issue is an important forensic inquiry. There have been cases where the printing technology postdates the disputed document s date. For example, an inkjet-printed facsimile supposedly transmitted in 1970 could not have been, as at that time this printing method was not found in fax machines. Defects in either the sending or receiving machine may help to establish dating parameters for the document in question. A representative sample of faxes, over a reasonable time range, from both machines may allow for the development of a chronology of defects. Such an examination is sometimes challenging because one or both of the machines may be unavailable for inspection or it may be difficult to acquire samples that can be definitively associated with a particular machine. This is especially true when a considerable period of time has passed between the alleged production of the document and the time when suspicions were aroused.

8 8. Printed Matter Documents prepared on letterhead stationery or on pre-printed forms frequently contain information regarding the earliest date at which they could have been prepared. Pre-printed forms may bear a code indicating the date of design/printing. Changes in design or wording may provide chronological touch points that can be used to aid in establishing possible ranges of creation dates. Likewise, changes to telephone numbers, area codes, addresses, etc., on letterhead related to the individual or business establishment concerned will sometimes assist in establishing that a document is backdated. Such information may be inconsistent with the date on a fraudulent document. Those using pre-printed forms many times overlook this information, as they have no direct knowledge of the significance of these changes. For example, doctors often prepare patient progress notes on forms that feature advertisements for pharmaceutical and other medical products. Periodically the sponsor updates the forms, a fact that has been known to escape the notice of the doctors. 9. Handwriting and Signatures Changes in handwriting, and more particularly signatures, sometimes occur over time. The evolution may be gradual or quite sudden, depending on the circumstances. An accident, illness, or the influence of alcohol and drugs can result in a profound change in writing ability. This change may be short lived or there may be a gradual improvement, but with residual characteristics remaining. Other traits develop over a much longer period. One example is a writer who finds himself or herself in an occupation that requires the signing of his or her name numerous times throughout the workweek. It is not uncommon to see such a person s signature change from a fully legible style to one that is more abbreviated and scrawled. The pictorial differences need not be so apparent, as subtle changes may be introduced with time, often manifesting themselves in more stylized individual letters or the combining of characters at the end of a signature. All have the potential to assist in dating a document. When studying the evolution of a signature, it is important to have a generous supply of known standards for comparison that are dated over a considerable period of time. One or two samples from a 3-year period is unlikely to provide a sufficient foundation to date an individual s signature, as the document examiner could not be certain that changes relate to a particular time frame, rather than being a reflection of natural variation.

9 In some cases, information on the person s age and medical history can be of considerable importance, for instance, in the examination of a last will and testament. The signature may prove to be more consistent with an individual s writing ability at an earlier time than is reflected by the will s date. Aside from acute changes in writing qualities, noting subtle transformations in extended handwriting is difficult in the absence of a considerable amount of questioned and standard material. 10. Miscellaneous Items Every element of a document has dating value. Thus, stamps, embossments, binding materials (staples, paper clips, etc.), correction fluids, and postage/cancellation stamps on envelopes each have dates of introduction or particular dating parameters. Consequently, a thorough analysis of the entire document is necessary when issues of a document s date arise. 11. Summary 1. A number of backdating methods have been employed in such situations. These range from a relatively minor change to the final digit in a handwritten year to a far more sophisticated endeavor where old paper stock, writing instruments, or pre-printed forms were employed. 2. Testing should proceed in a systematic fashion, always progressing from nondestructive methods to semi destructive examinations, where warranted and authorized. 3. Data from a combination of examination methods are often needed before one can conclude that there has definitely been backdating. 4. A study of the document will generally reveal the copying or printing method used. It may be possible to determine that a document could not have been produced on the date suggested based on the availability of the copying or printing process at that time. 5. When studying the evolution of a signature, it is important to have a generous supply of known standards for comparison that are dated over a considerable period of time.