Questioned Document Examination-Lecture

CHAPTER 2

DOCUMENT

Learning Objectives

At the end of this chapter, the students will be able to:

 categorize documents- both in general and legal concept

 understand the development of handwriting; and
 distinguish the types of handwriting and signatures.

LESSON 1. CONCEPTS OF DOCUMENTS

A. DEFINITION BASED ON GENERAL CONCEPT

Documents can be defined in different nomenclature. Based on the dictionary

meaning, documents "means a writing conveying something" (Merriam-Webster,
n.d.). Broadly speaking, it is also a material that contains marks or symbols
(Songer, n.d). Based on these meanings, the document is not limited to pen and
paper, it includes any items provided that writings - either marks or symbols are
written, painted, marked, or printed therein.

The etymology of document is derived from the Latin word "docere" or

"doceo" (Salaun, 2014) which means to teach. Moreover, it is also found in the
Latin word "documentum" which means lesson, or proof (Oxford, n.d). The term
document was later derived from the French, “document" which is synonymous
with the English word "record".

In forensic document examination, a document is a piece of printed, written,

or electronic matter commonly consisting of signatures and handwriting that
convey meaning (Ankita, 2020).

A.1 KIND OF DOCUMENTS: BASED ON STRUCTURE AND COMPOSITION

Documents are no longer limited to tangible papers. With the advent of

technology, writing has already transformed into electronic materials through
several software such as Office applications, electronic mail and messages, and
sages, and other digital writing tools applications. Now, documents can be
classified as Paper-based and electronic-based:

1. Paper-based Documents are documents that are placed in a physical

writing material and instrument such as paper and pen or pencil.
2. Electronic or Digital Documents are documents that are computer-
generated and stored through the utilization of computer software,
applications, and tools. The examples are chat/text messages and
Word/Excel spreadsheets. These are paperless documents. (The terms
electronic and digital document must be taken in their ordinary sense).
Electronic or Digital Documents are also known as Advanced Documents
(Advancements and Future Trends in Forensic Documents, 2020)

In comparison, electronic and paper-based In documents have their respective

cons and The table below illustrates the advantages and disadvantages of these
two classifications (Rotenstreich, n.d and Chaffinch Document, 2021):

FACTORS PAPER-BASED ELECTRONIC BASED

Storage It requires physical space Availability of disk storage with
gigabytes or terabyte storage

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and cloud storage

Destructi sometimes easily restored or It can be deleted but easily
on retrieved impossible to restored or retrieved
retrieve
Productio Requires writing and Typing and copy-paste
n photocopy mechanism
Durability Subject to natural and external Prone to security breaches such
deterioration, but can be as easy corruption, transfer, and
physically stored in cabinets, deletion, but can be restored
safes, and vaults.
Others The need to physically carry, Computer systems and tools
copy, change, or search allow easier erasure, movement,
and searching of documents

Nevertheless, both documents are useful in all kinds of instances. The

advantages are relevant in all transactions in commerce, education, labor, and
any activities and the disadvantages are filled by each other. For example, the
easy duplication of signatures in digital documents through copy-paste can be
secured by the written production of signatures.

B. DEFINITION: BASED ON LEGAL CONCEPTS

Document is a deed, instrument, or other duly authorized paper by which

something is proved, evidenced, or set forth. Under Rule 130, Section 2 of the
Rules of Evidence provides that documents "consist of writing or any material
containing letters, words, numbers, figures, symbols or other modes of written
expression offered as proof of their contents." Elicited from this legal meaning,
there are two categories of documents as evidence: (a) writings and (b) any
other materials containing modes of written expressions (Riano, 2009).

The first category is those placed through traditional paper and ink
methods such as contracts, wills, deeds, written journals, notes, and diaries. On
the other hand, the second definition is aligned with the broad definition of a
document, which refers to any materials other than paper that contain writing,
such as written expressions on the floor, walls, doors, tables, and the like.
However, both categories of documents require that regardless of the mode or
material used, the writings must be offered as proof of something. Hence, the
writings on the paper, walls, doors, and any other materials are not
automatically considered documents, but merely objects, if not offered for their
contents.

B.1 CLASSES OF DOCUMENTS: LEGAL CONCEPT RELATIVE TO FORENSIC

DOCUMENT EXAMINATION

Documents are classified into four classes: public documents, official

documents, private documents, and commercial documents.

1. A Public Document is a document created, executed, or issued by a

public official in response to the exigencies of the public service or in the
execution of which a public official intervened (The United States v. Asensi,
G.T No. L-11165 August 15, 1916).

Public documents are further categorized into (Rule 132, Section 19 of the
Rules of Evidence:

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1.1 The written official acts, or records of the official acts of the sovereign
authority, official bodies and tribunals, and public officers, whether of
the Philippines or of a foreign country;
For example: Warrant of Arrest, Search Warrant, NBI Certificate,
Police and Barangay Clearances, Issuance from the officials, including
those made in official acts of foreign officers in foreign countries, and
Commitment Orders.
1.2 Documents acknowledged before a notary public except last wills and
testaments; and
Note: Electronically notarized documents are transformed into public
documents. Speaking of last will and testament as an exception to the
general rule, there are two kinds of last will and testament: holographic
will and notarial will.
a) A holographic will is a will that is completely written and without
the intervention of a notary public. It is derived from the Latin terms
"holo" which means "whole" or "complete" and "graphien" which
means "writíng. In the Philippines, holographic wills are accepted,
provided that they are proven under the Rules of the Court.
b) A notarial will is a will that is written or printed with the intervention
of a notary public.

Note: Even if notarized as stated in the general classes of public documents,

both are not considered public documents.

1.3 Public records, kept in the Philippines, of private documents required by

law to be entered therein (Rule 132, Section 19 of the Rules of
Evidence).
For example: Birth Certificates and Marriage Certificates are private
documents because they contain private information. However, since
they are required to be recorded at PSA and Office of Civil Registry,
which are government offices - they are considered as public
documents.

2. An Official Document is a document that is issued by a public official in

the exercise of the functions of his office.

Note: It is requisite that the document is not only executed by public

officials but also executed in the performance of their functions. Hence, a
love letter made by the Mayor for his wife is not an official document even
if a public official executed it. The documents must be issued within the
ambit of the authority and functions of public officials.
For example: Barangay, Police, and NBI Clearances, Passports, and
National Identification Cards and Licenses.

Quick Guide: Based on your readings above, it may seem that public and
official documents are identical. No, they are not the same. Public
documents are broader than official documents. Thus, official documents
are classes of public documents.

3. A Private Document is every deed or instrument executed by a private

person without the intervention of a notary public or any person legally
authorized. Under Rule 132, Section 2 of the Rules of Evidence, all other
documents not considered public documents are deemed private.

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For example: journals, text messages, letters, school notes, quiz and
examination papers, Código’s, and acknowledgment receipts.

Note: However, some private documents may be considered public

documents when notarized.

4. A Commercial Document is any instrument defined and regulated by the

Code of Commerce or other commercial law. Moreover, these are papers
or documents "used by merchants or Businesspersons to promote or
facilitate trade or credit transactions" (Malaban v. Sandiganbayan, G.R. No.
186329, August 2, 2017).
For example: Receipts, order slips, and invoices Note: If the commercial
document is given by a private person, it is also considered a private
document. If a commercial document was issued by a government, it is
also considered as a public document.

Nature and Classification of Documents

Questioned documents have a variety of classes, including those that are
handwritten, typewritten, copied (xerography), or computer printed; those with
erasures, obliterations, additions, or intended writings; charred documents and
ink exams; or those that involve comparisons, dating, paper and pencil lead.
For distribution purposes, documents are classified in the following
categories:
1. General- documents receiving full circulation
This classification is used on basic documents and final meeting records,
including agendas, studies and reports, communications from
Governments, resolutions, and other decisions of concerns.
2. Limited – documents for which wide circulation is unnecessary because of
the temporary nature of the documents, such as draft resolutions,
amendments, draft reports, and other action documents
3. Restricted- applies exclusively to documents whose content requires that
they be treated as confidential or that they be withheld from public
circulation

B.2 IMPORTANCE OF CLASSIFICATIONS OF PUBLIC AND PRIVATE

DOCUMENTS IN QUESTIONED DOCUMENT EXAMINATION: LEGAL
CONCEPT

The difference between public and private documents differs in their

admissibility as evidence in court. Public documents are admissible in evidence
without further proof of their due execution and genuineness. The rationale of
this rule is that public documents are self-authenticating (The Republic of the
Philippines v. Sandiganbayan, et al., G.R. No. 188881, April 21, 2014), courts rely
on the regularity of the performance of public officials and the entitlement of the
public records, on its face and by authority of law, full faith and credit (Rodriguez
v. Your Own Home Development Corporation, G.R. No. 199451, August 15, 2018,
and Ladrera v. Atty. Osorio, A.C. No. 10315, January 22, 2020).

However, private documents are deemed inadmissible as evidence unless

they are properly authenticated. It means that the due execution must be proven
by the person claiming to have executed the private document.

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The authenticity and due execution of private documents must be proved

either:

1. By anyone who saw the writing executed

2. By evidence of the genuineness of the handwriting of the maker
3. By a subscribing witness (Rule 132, Section 20 of the Rules of Evidence;
Bunag v. Court of Appeals, et al., G.R. No. L-39013, February 29, 1988;
Patula v. People of Philippines, G.R. No. 164457, April 11, 2012)

In case of falsification of private documents, the handwriting expert's

opinion (Rule 130, Section 49) may be resorted to determine the due execution
and authenticity. Because of its technical requirement of examination,
handwriting experts are necessary. The laboratory reports may be submitted to
evidence the genuineness of the handwriting of the maker. Nonetheless, this is
not a mandatory requirement since the judge may conduct its own independent
examination to arrive at a certain conclusion (Heirs of Severa P. Gregorio vs. CA,
300 SCRA, December 1998 and Philippine Trust Company cv. Gabinete, et al.,
G.R. No. 216120, March 29, 2017, citing the cases of Mendoza v. Fermin, G.R. No.
177235, July 07, 2014, and Heirs of Severa P. Gregorio v. Court of Appeals, G.R.
No. 117608, December 29, 1998).

WRITINGS WHICH DO NOT CONSTITUTE DOCUMENTS - based on some

Supreme Court Rulings.

1. A draft of a Municipal payroll that is not yet approved by the proper

authority (People vs. Camacho, 44 Phil. 484).
2. Mere blank forms of official documents, the spaces of which are not filled
up (People vs. Santiago, CA, 48 O.G. 4558).
3. Pamphlets or books which do not evidence any disposition or agreement
are not documents but are mere merchandise (People vs. Agnis, 47 Phil.
945).

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 Questioned Document Examination-Lecture

CHAPTER 3. TOOLS, TECHNIQUES AND PROCEDURES

Learning Objectives

At the end of this chapter, the students will be able to:

 Explain the procedure & techniques used by the Questioned document examiner;
 Identify the instruments and equipment in forensic document examination; and
 Discuss the functions and importance of photography in forensic document
examination.

TECHNIQUES IN THE EXAMINATION OF QUESTIONED DOCUMENTS:

1. Microscopic Examination - Any examination or study that is made with the

microscope 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.

2. 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.

3. 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. Decipherment of faded handwriting, determination of
outlines in traced forgery, embossed impressions, etc. are subjected to this
type of examination.

4. Photographic Examination - This type of examination is very essential in

every document examination. Actual observations are recorded in the
photographs.

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5. Ultra-Violet examination - Ultraviolet radiation is invisible and occurs in

the wavelengths 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 the darkroom after the lamp has been
warmed up in order to give a maximum output of ultra-violet light. Exposure
to ultra-violet light should be to a minimum duration in order to avoid fading
of some writing ink and typewriter ribbon.

The exposure of a document to ultraviolet light is useful when it consists of

several pages and substitution is being suspected. The color and intensity of
the fluorescence reaction is very apparent in the case of substituted page.
Mechanical and chemical erasures will certainly change the reflectivity
and fluorescence of the area affected.

6. Electrostatic Detection- the electrostatic detection apparatus (ESDA)

detects indented writings and records transparencies of any indentions.

7. Video Spectral Comparator (VSC)- this is used in the examination of

masked or obliterated text, watermarks, visible fluorescence, and oblique
illumination of indented writing and embossing. It detects variations if the
infrared characteristics of inks and reveals alterations by eliminating
interfering background luminescence.
8. 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.

9. Preparation of Court Exhibits- after the document examiner has

completed his examination and the laboratory report has been submitted, he
prepares the photographic exhibits for court demonstration and illustration.

PROCEDURE IN EXAMINING QUESTIONED DOCUMENTS

The following steps should be performed, noted, and recorded when
applicable:
1. Determine whether the examination is a comparison of questioned
handwriting to known writing or a comparison of questioned writing to
questioned writing.
2. Determine whether the questioned writing is original writing.
3. Determine whether or not the questioned writing appears to be distorted
4. Determine whether or not the known writing is original writing.
5. Determine whether or not known writing appears to be distorted.
6. Determine if there is sufficient quality of writing (questioned writing or
known writing or both). If writing (questioned writing or known writing or
both) 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, determine
whether or not the known writing is original writing.
7. Evaluate the known writing for the following:
 Type of writing – if there is more than one type of writing within the
known writing, separate the known writing into subsets of single type of
writing.
 Internal consistency – if there are unsolved inconsistencies within any
of the subsets created above (e.g., when it is suggestive of multiple
writers), contact the contributor for authentication. If the consistency

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remains unsolved, discontinue the procedure for the affected subsets

and report accordingly.
 Range of variations of the writing for each subset of the questioned and
standard writing created in the type of writing and internal consistency
 Presence or absence of individualizing characteristics
8. Evaluate the comparability of the bodies of writing- if questioned and
standard writing are not comparable, and if comparable known or standard
writing is not available and it is not original, the findings is only an
indication or the examiner may discontinue the procedure of examination.
9. Conduct a side-by-side comparison of comparable portions of the bodies of
writing (questioned writing and known writing or exclusively questioned
writing) using appropriate scientific instruments.
[Link] whether or not there are dissimilarities, absent characteristics
and similarities.
[Link] the significance individually and in combination.
[Link] examining the original documents, they are photographed for
preservation and further examination on the enlarged photograph. These
enlarged photographs will be used for court presentation.
[Link] a conclusion.

For a comparison of questioned writing to known writing, the document

examiner can reach conclusion according to the following criteria:
1. Witten by one and the same person:
2. Indications that they were written by one and the same person:
3. No conclusion
4. Not written by one and the same person
5. Indications that they were not written by one and the same person

INSTRUMENTS AND EQUIPMENT IN FORENSIC DOCUMENT EXAMINATION

1. Optical Aids. Any optical instrument that consists of a combination of

lenses that allows the user to view a magnified image of a small object.
 Microscope
 Magnifying glass or hand lens
 COMPARISON MICROSCOPE
 Stereo or stereoscopic microscope
2. Measuring Devices. Rulers, gauges, grids, and other accurate measuring
devices are important for document examiners to obtain precise
measurements.
 MEASURES AND TEST PLATES (TRANSPARENT GLASS)
 HANDWRITING PROTRACTOR-
3. Duplicating Devices. Forensic document examiners need camera
equipment for clear close-up photographs of original documents. These
photographs are useful in studying documents in place of the original and
in enabling a jury to see the characteristics of writing and the reasons for
conclusions more clearly than by looking at the original documents.
4. Proper lighting. In addition to daylight, various types and intensities of
lighting fixtures are crucial for critical examinations of a document
laboratory.
 TRANSMITTED LIGHT GADGET a device where light comes from
beneath or behind glass on document is placed

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 OBLIQUE LIGHT- used in Oblique lighting as the light source

positioned at a low angle. Oblique lighting is usually used to show
detail by creating shadows on the surface of the evidence.
 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.
5. Specialized Equipment. Forensic Document examiners use additional
equipment based on specialized needs and interests crucial to solving
cases.
 Ultraviolet light Machine- used to detect mechanical and
chemical erasures, and to examine counterfeit bills for distinct
features like serial number, security fibers, fluorescent printing,
special paper, and other features that react and flourish when
subjected to ultraviolet light.
 Video Spectral Comparator- consists of a camera, video monitor,
various light sources and filters for exciting radiation and reflected
or fluorescent light, an image integrator and comparator, and a
video recorder.
 Electrostatic Detection Apparatus (ESDA). Used to examine for
the indentation/ indented writings that can record transparencies of
any in _ a piece of equipment commonly used in questioned
document examination, to reveal indented impressions on paper
which may otherwise go unnoticed. It is a non-destructive technique
(will not damage the evidence in question) thus allowing further
tests to be carried out. It is a sensitive technique and has been
known to detect the presence of fresh fingerprints. It is used to
detect and assist in the decipherment of indented impressions of
handwriting on paper.
 INFRARED VIEWER primarily used to decipher writings in a charred
document
 SHADOWGRAPH a pictorial image formed by casting a shadow,
usually of the hands, upon a rightful surface or screen.
6. Portable Equipment. Document Examiners also need portable
equipment such as a transportable microscope or the portable VSC-4CX
because some documents cannot be released for examination. And must
be examined at their location.
7. Protective Equipment. Forensic Document examiners also use
protective equipment like cotton gloves to handle original documents in
cases in which fingerprints may be an issue. A fireproof safe or file box is
also useful to store and protect original documents from harm.

PHOTOGRAPHY AND QUESTIONED DOCUMENT EXAMINATION

Albert Osborn, the father of questioned documents, highlights the value of

reproducing questioned documents because it provides unlimited opportunity for
study, comparison, and investigation by any number of examiners, which would
not be possible by using the original document alone. “Photographs often make
clear what otherwise may be hidden or indistinct, and this fact alone is sufficient
reason for their use” (Osborn, 1929).
Photographs are very necessary and useful in nearly every questioned
document investigation (examination), especially for those who are required to
present the facts to a court of any investigative body or agency.

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PURPOSES OF PHOTOGRAPHS IN QDE:

1. serve as a record of the initial condition of a disputed document;
2. make clear what otherwise may be hidden or indistinct;
3. enlarge a writing in question so that every quality and characteristic 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 the 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 are useful in:
b. examination of watermarks
c. determining the identity, or the differences in paper by showing
arrangement of the fibers and the markings of the wire gauze and
dandy roll
d. showing the continuity of strokes and
e. 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.

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