Improvements in printing technology and the wide accessibility of advanced printers has resulted in an increase in counterfeiting. Of particular interest to forensic document examiners, ink analysis of security documents has emerged as an important tool for the analysis, comparison, and association of inks to a potential production source. In this study, methods were developed for Py-GC/MS, ATR-FTIR, DART-MS, and MALDI-MS analyses of printing inks of four classes: 78 inkjet inks, 76 toners, 79 offset inks, and 86 intaglio inks in order to generate information on the organic chemical characterization of the inks to determine the ability to associate and discriminate the inks for uses in security document examinations. The suite of analytical techniques evaluated in the study focused on having the following analytical characteristics: 1) rapid analysis time, 2) little-to-no sample preparation, 3) minimal destructiveness to the sample, 4) allow for association of inks with the same source of origin as well as discrimination of inks originating from different sources. As a result of this study, a novel searchable library database of inks was developed for use with each analytical chemical method that allows for data fusion. Py-GC/MS analysis was used to achieve >63% discrimination of toner inks on the basis of the characterization of polymer degradation products. The combination of a protocol implementing first ATR-FTIR and subsequently DART-MS analysis resulted in >96% discrimination for toners, 95% for inkjet, >92% for offset, and >54% for intaglio. In addition, a case study was performed using DART-MS to illustrate its utility as a tool for ink analysis in document examination. The results of MALDI-MS analyses from two different instruments resulted in >90% discrimination of a subset of all inks by characterizing the colorant molecules present in ink formulations. A study characterizing luminescent compounds present in the formulation of inks in crossed-line intersections was performed using a combination of MALDI-MS, LC-MS, and TLC. Overall, it was shown that the combination of analytical techniques included within this dissertation can provide information on the organic chemical composition of four classes of printing inks, which is useful for the future of document examination.

Elemental analysis can become an important piece of evidence to assist the solution of a case. The work presented in this dissertation aims to evaluate the evidential value of the elemental composition of three particular matrices: ink, paper and glass. In the first part of this study, the analytical performance of LIBS and LA-ICP-MS methods was evaluated for paper, writing inks and printing inks. A total of 350 ink specimens were examined including black and blue gel inks, ballpoint inks, inkjets and toners originating from several manufacturing sources and/or batches. The paper collection set consisted of over 200 paper specimens originating from 20 different paper sources produced by 10 different plants. Micro-homogeneity studies show smaller variation of elemental compositions within a single source (i.e., sheet, pen or cartridge) than the observed variation between different sources (i.e., brands, types, batches). Significant and detectable differences in the elemental profile of the inks and paper were observed between samples originating from different sources (discrimination of 87 – 100% of samples, depending on the sample set under investigation and the method applied). These results support the use of elemental analysis, using LA-ICP-MS and LIBS, for the examination of documents and provide additional discrimination to the currently used techniques in document examination. In the second part of this study, a direct comparison between four analytical methods (µ-XRF, solution-ICP-MS, LA-ICP-MS and LIBS) was conducted for glass analyses using interlaboratory studies. The data provided by 21 participants were used to assess the performance of the analytical methods in associating glass samples from the same source and differentiating different sources, as well as the use of different match criteria (confidence interval (±6s, ±5s, ±4s, ±3s, ±2s), modified confidence interval, t-test (sequential univariate, p=0.05 and p=0.01), t-test with Bonferroni correction (for multivariate comparisons), range overlap, and Hotelling’s T2 tests. Error rates (Type 1 and Type 2) are reported for the use of each of these match criteria and depend on the heterogeneity of the glass sources, the repeatability between analytical measurements, and the number of elements that were measured. The study provided recommendations for analytical performance-based parameters for µ-XRF and LA-ICP-MS as well as the best performing match criteria for both analytical techniques, which can be applied now by forensic glass examiners.

Regarding the myriad disputed documents encountered within the science of forensic document examination, questioned handwriting is the most prevalent. This includes the simulation or alteration of and or additions to handwriting and signatures. The current study examined the changes that may occur in writing when given a limited amount of space. Several participants completed a survey wherein writing samples were taken under varying space allowances. These space restrictions were made under differing conditions such as boxed signatures, additions to prewritten material, and alterations to letters and numbers. The results of the study found characteristics of reflex of avoidance in the participants' handwriting. These characteristics included changes in height, width, and letter spacing in accordance to the amount of space provided. The examples of reflex of avoidance defined throughout this study may serve to assist forensic document examiners in the detection of alterations within questioned documents.

Submitted by NARUMI PEREIRA LIMA (narumi.npl@gmail.com) on 2014-01-13T12:46:43Z No. of bitstreams: 1 Dissertacao Narumi.pdf: 1461948 bytes, checksum: 4b7bfe9ac90a500a203cfd88ede7b5d1 (MD5) / Approved for entry into archive by Janete de Oliveira Feitosa (janete.feitosa@fgv.br) on 2014-01-22T13:28:18Z (GMT) No. of bitstreams: 1 Dissertacao Narumi.pdf: 1461948 bytes, checksum: 4b7bfe9ac90a500a203cfd88ede7b5d1 (MD5) / Approved for entry into archive by Marcia Bacha (marcia.bacha@fgv.br) on 2014-01-23T17:27:03Z (GMT) No. of bitstreams: 1 Dissertacao Narumi.pdf: 1461948 bytes, checksum: 4b7bfe9ac90a500a203cfd88ede7b5d1 (MD5) / Made available in DSpace on 2014-01-23T17:27:14Z (GMT). No. of bitstreams: 1 Dissertacao Narumi.pdf: 1461948 bytes, checksum: 4b7bfe9ac90a500a203cfd88ede7b5d1 (MD5) Previous issue date: 2013-11-01 / The Forensic Document Examination is the major forensic area of Federal Police Criminalistics, been responsible for 24,49% of the total amount of technical reports in the Criminalistics National System. Nevertheless, it does not have specific selection area or graduation, and the development of its competences depend almost exclusively on the training offered and performed internally, inside the institution and the workplace. Considering the Federal Police General Direction and Technical-Scientific Direction strategic plannings, that expressed the relevance of the servants professional development through continuous training and competence management as strategies to reach their missions, it is possible to notice how important is the proper study and development of the forensic document examination competences. This purpose of this research is to analyze if the technical competences of the Federal Police forensic document examiners that has been described in the technical activity matrix are in consonance with the ones described by UN, and if these competences have been developed by the training courses offered by National Police Academy. It was identified some gaps, i.e., UN recommendations that are in accordance with the matrix, but are no developed in the training courses, besides some discrepancies in the courses duration. Some suggestions were made for minimize or eliminate these gaps, as well as another considerations related to more training offer, professional specialization, and proficiency tests and mentoring implementation. / A Documentoscopia é a maior área de perícia da Criminalística da PF, respondendo por 24,49% de toda a produção de laudos do Sistema Nacional de Criminalística. Apesar disso, não possui área de concurso ou graduação específicas, e o desenvolvimento das competências da área depende quase que exclusivamente da capacitação oferecida e executada internamente, dentro da instituição e do ambiente de trabalho. Considerando os planejamentos estratégicos da Direção Geral e da Diretoria Técnico-Científica da PF, que manifestaram a importância da valorização de seus servidores por meio da capacitação contínua e da gestão de competências como estratégia para se alcançar suas missões, vê-se a relevância no adequado estudo e desenvolvimento das competências na área da perícia documentoscópica. O presente trabalho tem por objetivo analisar se as competências técnicas dos peritos documentoscópico da Polícia Federal elencadas na matriz da função técnica da PF estão em consonância com as elencadas pela ONU para os examinadores forenses de documentos, e se essas competências estão sendo desenvolvidas nas ações de capacitação oferecidas pela ANP voltadas para a área. Foram identificadas algumas lacunas, ou seja, recomendações da ONU que encontram correspondência nas elencadas na matriz, mas não são desenvolvidas pelas ações de capacitação, além da discrepância quanto à carga horária dos cursos. Algumas sugestões para a minimização ou eliminação dessas lacunas foram colocadas, e outras considerações foram feitas, principalmente voltadas à maior oferta de capacitação, à especialização profissional, à instituição de testes de proficiência e da mentoria.