1 Standard for the Examination of Documents for Alterations
2
3 1. Introduction
4 1.1 An alteration is a revision, modification, or discrepancy within a document. An alteration can be
5 made to a document by physical, chemical, electronic, or mechanical means. Alterations can generally be
6 categorized as an addition, deletion, or substitution of information and can be revealed by a variety of
7 techniques.
8 1.2 This standard provides the best practices to be used by Forensic Document Examiners (SWGDOC
9 Standard for Scope of Work of Forensic Document Examiners) for the examination of documents for
10 alterations.
11
12 2. Scope
13 2.1 The procedures in this standard are grounded in the generally accepted body of knowledge and
14 experience within the discipline of forensic document examination.
15 2.2 The procedures in this standard are applicable whether the examinations are of questioned and
16 known item(s), or exclusively a questioned item(s).
17 2.3 The procedures described in this standard are for the purpose of determining the:
18 2.3.1 Presence of alterations
19 2.3.2 Method(s) of alteration
20 2.3.3 Source(s) of a modified document (for example, master document, template, or copy)
21 2.3.4 Visualization, decipherment, or interpretation of the original information
22 2.4 Various examinations can be used to aid in the detection of an alteration and to determine the
23 content of the original information.
24 2.5 The particular methods used in an examination depend on the nature of the material available for
25 examination, comparison, and evaluation.
26 2.6 This standard cannot anticipate all aspects of examinations of unusual substrates or other variables
27 involved in the creation and handling of the documents prior to submission.
28 2.7 This standard cannot replace the requisite knowledge, skills, or abilities obtained through
29 education, training (SWGDOC Standard for Minimum Training Requirements for Forensic Document
30 Examiners), and experience specific to forensic document examination.
31 2.8 This standard does not address all safety concerns, if any, associated with its use. The user is
32 responsible for establishing appropriate health and safety practices prior to use.
33
34 3. References
35 3.1 ASTM and SWGDOC Standards:
36 ASTM E131 Standard Terminology Relating to Molecular Spectroscopy
37 ASTM E284 Standard Terminology of Appearance
38 ASTM E1732 Terminology Relating to Forensic Science
39 SWGDOC Standard for Scope of Work of Forensic Document Examiners
40 SWGDOC Standard for Test Methods for Forensic Writing Ink Comparison
41 SWGDOC Terminology Relating to the Examination of Questioned Documents
42 SWGDOC Standard for Physical Match of Paper Cuts, Tears, and Perforations in Forensic Document
43 Examinations
44 SWGDOC Standard for Examination of Handwritten Items
45 SWGDOC Standard for Indentation Examinations
46 SWGDOC Standard for Non-destructive Examination of Paper
47 SWGDOC Standard for Minimum Training Requirements for Forensic Document Examiners
48 SWGDOC Standard for Examination of Documents Produced with Liquid Ink Jet Technology
49 SWGDOC Standard for Examination of Documents Produced with Toner Technology
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50 SWGDOC Standard for Examination of Typewritten Items
51 SWGDOC Standard for Use of Image Capture and Storage Technology in Forensic Document
52 Examination
53 SWGDOC Standard for Examination of Dry Seal Impressions
54 SWGDOC Standard for Examination of Rubber Stamp Impressions
55
56 4. Terminology
57 4.1 Definitions of Terms Specific to These Procedures:
58 4.1.1 alteration, n a change (revision or modification) in a document that occurs by physical,
59 chemical, electronic, or mechanical means and can include additions, subtractions, or substitutions.
60 4.1.2 digital image, n an image that is stored in numerical form.
61 4.1.3 digital image processing, n any activity that transforms a digital image.
62 4.1.4 electrostatic detection device (EDD), n an instrument that uses electrostatic charge as the
63 mechanism to visualize paper fiber disturbances (for example, indentations and erasures) (SWGDOC
64 Standard for Indentation Examinations).
65 4.1.5 erasure, n the area where material has been removed from a document by chemical, abrasive,
66 or other means.
67 4.1.6 fluorescence, n a process by which radiant flux of certain wavelengths is absorbed and
68 reradiated non-thermally at other, usually longer, wavelengths (SWGDOC Standard for Test Methods for
69 Forensic Writing Ink Comparison, ASTM E284).
70 4.1.7 infrared (IR), n referring to radiant flux having wavelengths longer than the wavelengths of
71 light, usually wavelengths from about 760 nm to about 3 mm (SWGDOC Standard for Test Methods for
72 Forensic Writing Ink Comparison, ASTM E284).
73 4.1.8 infrared luminescence (IRL), n the emission of radiant energy during a transition from an
74 excited electronic state of an atom, molecule, or ion to a lower electronic state (fluorescence or
75 phosphorescence, or both), where the spectrum of the excitation source is in the ultraviolet (UV) or
76 visible region of the electromagnetic spectrum, or both, and the spectrum of the emitted energy is in the
77 far red or infrared (IR) region of the electromagnetic spectrum (SWGDOC Standard for Test Methods for
78 Forensic Writing Ink Comparison).
79 4.1.9 infrared reflectance (IRR), n non-absorbed radiant infrared (or far red) energy.
80 4.1.10 light, n electromagnetic radiant energy that is visually detectable by the normal human
81 observer: radiant energy having wavelengths from about 380 to about 760 nm (SWGDOC Standard for
82 Test Methods for Forensic Writing Ink Comparison, ASTM E284).
83 4.1.11 luminescence, n the emission of radiant energy during a transition from an excited electronic
84 state of an atom, molecule, or ion to a lower electronic state (SWGDOC Standard for Test Methods for
85 Forensic Writing Ink Comparison, ASTM E131).
86 4.1.12 magnetic properties detector, n a device used to detect or measure magnetic properties in ink
87 and toner.
88 4.1.13 side lighting, n illumination from a light source that is at a low angle of incidence, or even
89 parallel, to the surface of the item. Syn., oblique lighting, grazing illumination.
90 4.1.14 transmitted light, n illumination that passes through a substrate.
91 4.1.15 ultraviolet (UV), n referring to radiant flux having wavelengths shorter than the wavelengths
92 of light, usually wavelengths from about 10 to 380 nm. Long-wave UV usually refers to the spectral range
93 of UV-A, with wavelengths from about 315 to 380 nm. Mid-wave UV usually refers to the spectral range
94 of UV-B, with wavelengths from about 280 to 315 nm. Short-wave UV usually refers to the spectral
95 range of UV-C, with wavelengths from about 100 to 280 nm (SWGDOC Standard for Test Methods for
96 Forensic Writing Ink Comparison).
97
98 5. Limitations
99 5.1 Items submitted for examination can have limitations that interfere with the procedures in this
100 standard. Limitations can be due to the submission of non-original documents; the condition, quantity, or
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101 comparability of the material submitted; or from limited individualizing characteristics. Note and
102 document limitations.
103 5.2 Document examinations should be conducted prior to any destructive processing. Items should be
104 handled appropriately to avoid compromising subsequent examinations. Prior storage conditions,
105 handling, testing, or destructive processing can interfere with the examination.
106 5.3 Care shall be taken in the evaluation of characteristics indicative of alteration as they might have
107 occurred during normal preparation, handling, and storage of the document.
108 5.4 Some alterations might not have observable physical characteristics or be detectable based on the
109 type of examination(s) suggested in this standard. The absence of observable physical characteristics does
110 not ensure the absence of an alteration.
111
112 6. Equipment
113 6.1 Appropriate light source(s) to distinguish fine detail. Natural, incandescent, fluorescent, light
114 emitting diode (LED), or fiber optic lighting sources are generally used. Transmitted, side, and vertical
115 incident lighting are useful techniques. Focusable light sources are particularly helpful.
116 6.2 Optical magnification to resolve fine detail.
117 6.2.1 The best practice is to utilize an optical device having a minimum of 4x magnification.
118 6.2.2 A reducing lens can be useful in deciphering faint material, such as faded or erased writing.
119 6.3 Image capture device(s) capable of producing true and accurate images with sufficient resolution
120 to record significant detail.
121 6.4 Infrared (IR) image conversion device or system with appropriate light sources and filters for use
122 in infrared reflectance (IRR) and infrared luminescence (IRL) examinations.
123 6.5 Long-wave, mid-wave, and short-wave ultraviolet (UV) sources.
124 6.6 Measuring devices as needed, such as a paper micrometer, alignment grids, rulers, magnifier(s)
125 with reticule(s), and measuring software.
126 6.7 Electrostatic detection device (EDD) (SWGDOC Standard for Indentation Examinations).
127 6.8 Magnetic properties detector.
128 6.9 Software for digital image processing as needed.
129 6.10 Time and facilities necessary to complete all applicable procedures.
130 6.11 Other equipment used for validated procedures that can be relevant to the examination of
131 documents for alterations, as deemed appropriate by the examiner. (for example, radiography system or
132 X-ray source).
133
134 7. Procedures
135 7.1 Perform applicable procedures and contemporaneously document the examinations performed and
136 relevant observations. The results and accompanying notes should have sufficient detail to allow for an
137 independent review and assessment of the conclusions by a Forensic Document Examiner. Include all
138 relevant facts, equipment used, methods, evaluations, as well as any conclusions, opinions, or
139 interpretations.
140 7.2 These procedures do not have to be performed in the order given. It is within the discretion of the
141 examiner to discontinue the procedure at any point during the examination. Document the reason(s) for
142 such a decision.
143 7.3 Material(s) removed from the item under examination might be of evidentiary value and should
144 be documented prior to removal and preserved separately for subsequent examination(s). These materials
145 can include staples, other binding devices or attached documents, and trace materials.
146 7.4 The procedures in this standard can require significant changes to an item in order to facilitate the
147 examination process. Prior to making any permanent changes to an item, obtain and document permission
148 from the responsible party involved in the examination request. This may entail discussions with
149 investigators, owners, and attorneys.
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150 7.4.1 It is best practice that the responsible party requesting the examination be informed as to
151 potential benefits of these changes and the extent of possible physical changes to the document. The
152 responsible party should inform attorneys or other interested parties.
153 7.4.2 It is also best practice to capture images of the item before and after making significant changes.
154 7.5 The examination of the original item(s) is always preferable. Request the original item(s) if not
155 previously submitted.
156 7.5.1 If the original item(s) is not available for examination, assess the quality of the best available
157 copy.
158 7.5.2 If the significant details have been reproduced with sufficient clarity for examination purposes,
159 continue with the applicable procedures to the extent possible.
160 7.6 Conduct an initial assessment of the document to determine the appropriate examinations,
161 sequence of examinations, and potential limiting factors.
162 7.7 The examination of a document can include the following:
163 7.7.1 Handwriting (SWGDOC Standard for Examination of Handwritten Items)
164 7.7.1.1 Overwriting or obliteration of entries
165 7.7.1.2 Crowded or awkward spacing of writing
166 7.7.1.3 Inconsistent handwriting features (evidence of multiple authorship)
167 7.7.1.4 Characteristics of the writing media, such as variation in color and intensity or class of writing
168 instrument
169 7.7.2 Printing processes and defects (SWGDOC Standard for Examination of Documents Produced
170 with Liquid Ink Jet Technology, SWGDOC Standard for Examination of Documents Produced with
171 Toner Technology, and SWGDOC Standard for Examination of Typewritten Items)
172 7.7.2.1 Variation in printing processes
173 7.7.2.1.2 Type of printing process
174 7.7.2.1.3 Color or intensity of printing media
175 7.7.2.1.4 Physical characteristics of the print media, such as the morphology, magnetic, infrared, and
176 ultraviolet properties
177 7.7.2.2 Use of different fonts, sizes, styles, spacing, and margins
178 7.7.2.3 Crowded or awkward placement of printed text, such as irregular vertical and/or horizontal
179 alignment
180 7.7.2.4 Different individualizing characteristics, such as artifacts and misspellings
181 7.7.3 Paper or substrate characteristics (SWGDOC Standard for Non-destructive Examination of
182 Paper)
183 7.7.3.1 Area(s) of discoloration or other physical changes to the optical properties of the substrate (for
184 example, abrasions, fiber disturbance, changes to the optical properties, damage to the security laminate)
185 7.7.3.2 Paper fiber or substrate disturbance
186 7.7.3.3 Variation in paper or substrate characteristics, such as, thickness, length, width, opacity,
187 guillotine marks, watermarks, and UV fluorescence
188 7.7.3.4 Paper cuts, tears, perforations, and folds (SWGDOC Standard for Physical Match of Paper
189 Cuts, Tears, and Perforations in Forensic Document Examinations)
190 7.7.3.5 Indentations (SWGDOC Standard for Indentation Examinations)
191 7.7.4 Fastening or binding characteristics
192 7.7.4.1 Inconsistent or multiple binding methods
193 7.7.4.2 Presence, absence, or removal of adhesives
194 7.7.4.3 Presence, alignment, and number of staples and staple holes, hole punches and perforation
195 patterns
196 7.7.4.4 The makeup, condition, placement, and effect of paper clips on a document
197 7.7.4.5 Presence or absence of expected markings
198 7.7.5 Miscellaneous characteristics
199 7.7.5.1 Presence of an obscuring substance
200 7.7.5.2 Smearing of printing/writing media
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201 7.7.5.3 Sequence of line intersections, such as those involving writing media, mechanical
202 impressions, folds, printed text, and other anomalies (SWGDOC Standard for Examination of Dry
203 Seal Impressions and SWGDOC Standard for Examination of Rubber Stamp Impressions)
204
205 7.7.5.4 Cutting and pasting or substitution(s)
206 7.7.5.5 Insertion(s) or omission(s) of page(s) or entries
207 7.8 Subsequent to the completion of the initial assessment proceed to the applicable examinations.
208
209 NON-DESTRUCTIVE EXAMINATIONS
210 7.9 9 Non-destructive examinations are those that do not damage or otherwise change the document.
211 Non-destructive procedures shall be performed when applicable and need not be performed in the order
212 given.
213 7.9.1 Visually examine both sides of the document macroscopically and microscopically.
214 7.9.2 Make appropriate observations, measurements, or both, to include:
215 7.9.2.1 Paper or substrate (SWGDOC Standard for Non-destructive Examination of Paper and
216 SWGDOC Standard for Physical Match of Paper Cuts, Tears, and Perforations in Forensic Document
217 Examinations)
218 7.9.2.2 Letter, word, line, and margin spacing
219 7.9.2.3 Color
220 7.9.2.4 Fastening and binding marks
221 7.9.2.5 Facsimile transmitted terminal identifiers (TTI)
222 7.9.2.6 Trash, roller, and picker bar marks
223 7.9.3 Examine the document using various optical techniques and light sources, such as side lighting,
224 transmitted lighting, UV, IRR, and IRL (SWGDOC Standard for Indentation Examinations and
225 SWGDOC Standard for Test Methods for Forensic Writing Ink Comparison).
226 7.9.4 Examine the document with imaging techniques, such as photography or digital image
227 processing (SWGDOC Standard for Use of Image Capture and Storage Technology in Forensic
228 Document Examination).
229 7.9.5 Process the document using an EDD (SWGDOC Standard for Indentation Examinations).
230 7.9.6 Examine the print media with a magnetic properties detector.
231 7.9.7 Decipher and document visualized entries.
232 7.10 Analyze and compare the observed features and characteristics of the document to known items
233 (if available), and evaluate the findings.
234 7.11 Form a conclusion based on the results of the above examinations, comparisons, and evaluations
235 and report accordingly.
236 7.12 Proceed to destructive examinations, if they be deemed necessary by the examiner.
237
238 DESTRUCTIVE EXAMINATIONS
239 7.13 Destructive examinations are those that damage or otherwise change the document. They should
240 be performed only after non-destructive methods have been conducted.
241 7.13.1 Prior to making any permanent changes to an item, obtain and document permission from the
242 responsible party involved in the examination request. This may entail discussions with investigators,
243 owners, and attorneys.
244 7.13.1.1 It is best practice that the responsible party requesting the examination be informed as to
245 potential benefits of these examinations and the extent of possible physical changes to the document. The
246 responsible party should inform attorneys or other interested parties.
247 7.13.2 The use of destructive examinations can interfere with other types of forensic examinations
248 (for example, chemical analysis of ink or latent print examinations).
249 7.13.3 Prior to using these techniques, the physical condition or appearance of the item(s) shall be
250 documented.
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251 7.13.4 Consideration should be given to the order in which destructive examinations are performed.
252 7.14 When an obscuring substance is present, the obscured information can be visualized by several
253 destructive methods.
254 7.14.1 When using solvents or physical removal techniques, testing should be performed prior to
255 general application to each item in order to determine the best course of action.
256 7.14.1.1 It is best practice that initial testing be performed on items not related to the matter that are
257 made of similar materials. Adapt and adjust materials and techniques as required prior to application to
258 the item submitted for examination.
259 7.14.2 Apply a solvent or other visualization substance to make the paper translucent for visualization
260 of the obscured entry. Document visualized entry.
261 7.14.3 Apply a solvent capable of removing the obscuring substance.
262 7.14.3.1 Exposure to solvents, in an attempt to remove the obscuring substance, can have a
263 deleterious effect on inks, toner, or substrate.
264 7.14.4 Physically remove (for example, abrade, scrape, lift, or peel) the obscuring substance from the
265 entry.
266 7.14.5 Entries physically obscured by synthetic or biological substances (such as blood, grease, tape,
267 or gum) can be recovered by removal of the substance after freezing.
268 7.15 For chemical ink examinations refer to SWGDOC Standard for Test Methods for Forensic
269 Writing Ink Comparison.
270 7.16 Analyze and compare the observed features and characteristics of the document to known items
271 (if available), and evaluate the findings.
272 7.17 Form a conclusion based on the results of the above examinations, comparisons, and evaluations
273 and report accordingly.
274 7.18 Conduct other forensic document examinations as appropriate.
275
276 8. Reporting
277 8.1 Reports generated as the result of the procedures used in this standard should be complete and
278 thorough. The report should contain examinations conducted, results, conclusions or opinions, and as
279 appropriate, sources of uncertainty.
280 8.2 The report should also include the stated purpose or reason for conducting the examination,
281 observations, limitations, and the bases and reasons for the conclusions or opinions being reported.
282 8.3 The conclusions or opinions resulting from the procedures in this standard may be reached after
283 an examination has been conducted. The number and nature of examinations are dependent on the
284 material being evaluated.
285 8.4 The conclusions or opinions in the report may also address:
286 8.4.1 Whether or not characteristics indicative of alterations were observed
287 8.4.2 Whether or not any altered entries were decipherable
288 8.4.3 The text or description of altered and original entries
289 8.4.4 Method or sequence of alterations
290 8.4.5 Images of alterations and original entries
291 8.4.6 Apparent alterations in documents that can be the result of software, hardware or user caused
292 variations and can occur during normal or legitimate document production
293
294 9. Bibliography
295 9.1 Annual Book of ASTM Standards, www.astm.org, 2013.
296 9.2 Scientific Working Group for Forensic Document Examination (SWGDOC), www.swgdoc.org,
297 2013.
298 9.3 Scientific Working Group on Imaging Technologies (SWGIT) Definitions and Guidelines for the
299 Use of Imaging Technologies in the Criminal Justice System, Forensic Science Communications, July
300 2001, Vol. 3, Num. 3.
301
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302 10. Keywords
303 10.1 alterations; erasures; forensic sciences; insertions; obliterations; overwriting; questioned
304 documents; substitutions; additions; modifications
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