Journal of Criminal Law and Criminology Volume 31 Article 13 Issue 1 May-June

Summer 1940 The aC re and Preservation of Documents in Criminal Investigation Ordway Hilton

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Recommended Citation Ordway Hilton, The aC re and Preservation of Documents in Criminal Investigation, 31 Am. Inst. Crim. L. & Criminology 103 (1940-1941)

This Criminology is brought to you for free and open access by Northwestern University School of Law Scholarly Commons. It has been accepted for inclusion in Journal of Criminal Law and Criminology by an authorized editor of Northwestern University School of Law Scholarly Commons. THE CARE AND PRESERVATION OF DOCUMENTS IN CRIMINAL INVESTIGATION Ordway Hilton'

The proper care and preservation of longed period of time or handle documentary evidence, such as forged excessively. checks, anonymous letters, and compar- 4. Keep documents in envelopes or ison specimens ("standards") of a sus- protective folders. pect's writing, is as much the responsi- 5. Keep dry and away from exces- bility of investigating officers as is the sive heat and strong light. original investigation conducted for the 6. Do not allow anyone except a purpose of obtaining or discovering qualified expert to make chemical these documents. Most officers realize or other types of tests. the importance of securing evidence of 7. Take documents to laboratory or this type, but many of them fail to thor- expert at the earliest convenience. oughly appreciate the necessity for These rules are primarily intended careful handling and preservation dur- for the handling of questioned docu- ing the time that these documents are ments, such as handwritten or type- in their possession. It is the purpose of written material about which there is this paper to outline for police investi- some question concerning its author or gators the best method of caring for manner of execution. However, they and preserving such documentary ev- apply equally well to the preservation idence. of specimens which are to be used for In order to best preserve a document standards in handwriting and type- it is imperative that the following pre- writing comparisons (i.e., specimens cautions be strictly observed. of handwriting or typewriting, the authorship 1. Do not mark. of which is already estab- lished or admitted). In fact, any pieces a. Do not write upon documents. of handwriting, typewriting, or printing b. Do not use pencils, pens, which might conceivably form a link in dividers, or erasers as pointers. the chain of circumstantial evidence 2. Do not mutilate by creasing, surrounding an investigation should be repeated refolding, cutting, or given the same care as documents tearing. whose importance is already known 3. Do not carry in pocket for a pro- and recognized.

* Examiner of Questioned Documents, Chi- while in the possession of the expert and of cago Police Scientific Crime Detection Labor- the court, are found in Osborn, A. S., Ques- atory. tioned Documents (2d ed., 1929) Chapter M. This excellent treatment of the problem should ' Complete instructions in the care of docu- be consulted by all who have occasion to ments, not only during investigation but also handle documentary evidence. [103] ORDWAY HILTON

1. Do Not Mark in some instance, prevent or hinder its Documents become marked either admission. Although the officer marks because investigators deliberately write what he considers characteristic sim- upon them or because in the course of ilarities in two pieces of writing, it is handling someone uses a pen, pencil, entirely possible that these points may dividers, or eraser to point out certain not be the most significant. But because characteristics which appear in the the marks are placed on the original document. document in such a manner that they cannot be removed, they will attract a. Do not Write Upon Documents. the attention of subsequent examiners, Investigating officers should not write especially members of a jury, even to upon any documentary evidence except the extent of emphasizing these points possibly as a means of subsequent and detracting from other more sig- identification. In such cases the identi- nificant characteristics. fication marks should be restricted to initials or numbers placed, preferably, Document examiners frequently en- in a corner on the back of the docu- counter handwriting evidence which ment. Standards, especially request bears extraneous writing placed there by investigating officers standards (i.e., specimens of hand- or other per- writing or handprinting which are sons who have previously handled the evidence and used some executed in the presence of the inves- portion of it tigator for the specific purpose of being for jotting down their own notations. At times these notes are found written compared with some questioned writ- ing), should usually be initialed by the over the writing of the questioned officer who procures them. document, thus covering portions of it. But even when these notes are added Often investigators may be tempted in such a manner as not to interfere to mark handwrirting characteristics with the examination of the questioned appearing in questioned documents or writing, these additions may produce a in a suspect's standard writings. This certain amount of confusion and tend practice is to be avoided for several to delay the laboratory examination. If reasons. Sometimes these markings a document is of sufficient importance destroy some of the identifying evi- to be treated as evidence in a criminal dence originally present in the-docu- investigation, it definitely should not be ment as, for example, underlinings used as a scratch pad or note paper. used as emphasis marks by the author, which may be confused with similar Whenever there is any indication marks indicating a particular character- that an erasure has occurred on a istic that the investigator considers to questioned document, the importance be of importance. If these marks are of refraining from marking such evi- placed on a document which later is to dence cannot be overemphasized. Any be introduced as court evidence, the writing over the suspected area has a fact that the document is marked might, tendency to restrict the laboratory CARE OF DOCUMENTS

examination and, in some cases, to come smeared, and should the fingers render restoration impossible. be damp from perspiration, even ink writing may be blurred. Furthermore, b. Do Not Use Pens, Pencils, or there is always the possibility that Erasers as Pointers. smudge marks or fingerprints may be Whenever a group of investigators left on the document due to the dirt gathers in a discussion of the writing and oils which are present on the characteristics and contents of A fingertips. Damage from these causes document, there usually is a tend- can be avoided if the investigator will ency for some of them to use either pursue a practice of keeping docu- pens, pencils, dividers, or a sim- mentary evidence in transparent enve- ilar type of available instrument to lopes, as subsequently described. point out identifying characteristics. Invariably when this practice is re- 2. Do Not Mutilate by Creasing, Re- sorted to some marks or small holes peated Refolding, Cutting, or Tearing will subsequently be found upon the The cutting or tearing of evidence document. At times these marks may tends not only to restrict the laboratory interfere with some phase of the exam- examination but also to lessen its value ination or with tests to which the as subsequent legal evidence. While evidence might be subjected. Or per- probably few, if any, investigators haps they may cast suspicion upon an would wilfully cut or tear a document, otherwise genuine document. In any it is not infrequent that due to care- event, this practice should be avoided lessness or neglect some piece of evi- at all times. dence is damaged in this manner. If a An equally objectionable practice document becomes torn, the investigator which is resorted to by some is the use should not attempt to mend it himself, of the eraser end of a pencil as a but instead should leave its repair to pointer. When the eraser or rubber the laboratory examiner who can mend comes in contact with the paper, it may it so as to least interfere with subse- either leave a small smudge, remove quent examination. Under no condi- some of the writing in the case of a tions should a document be pasted on pencil written document, or disturb the another sheet of paper or cardboard in paper fibers and cause the genuineness order to repair a tear or to strengthen of the document to be questioned. Even a worn fold. Such a procedure obvious- when none of these changes are appar- ly interferes with an examination of ent to the eye, if the document is later the back of the evidence. Furthermore, subjected to chemical tests, smudges examination by transmitted light (i.e., may appear at the points of contact. an examination conducted by shining a Pointing at or touching the evidence strong light through the document) with the fingers usually has a similar will be seriously hampered, and, as a undesirable effect. If the fingertips are result, in some cases the expert will be rubbed over pencil writing, it may be- unable to determine accurately the ORDWAY HILTON conditions under which the document writing traces. As one of the methods was written. of deciphering the writing is to photo- Documents which are to be subjected graph with oblique illumination, folds to laboratory examination should not in the paper make it difficult to flatten be creased or folded, for whenever a the sheet and illuminate it properly. fold crosses an ink line the ink stroke may be damaged. Thus, in the case of 3. Do Not Carry in Pocket for a Pro- longed Period of Time or Handle a suspected forgery if the document is Excessively folded, the resulting injury may occur in an area which is particularly indica- Documents which are carried in the tive of forgery, with the result that investigator's pocket or handled a great some valuable evidence is lost. Again, deal often become so worn, frayed, and in problems of determining which of dirty that they are seriously damaged. two intersecting lines was written last, The repeated folding and unfolding, the folding might possibly alter the appear- rubbing of the unprotected surface ance of the ink crossing to such an against the sides and contents of the- extent that the examiner will be unable pockets, the exposure to perspiration- to ascertain the sequence in which the coupled with the handling by witnesses, lines were executed. investigators, and interested bystanders When paper is refolded a number of -all have their destructive effects. The times along the same crease, there is a time in which this deterioration occurs gradual wearing away or fraying of the is often surprisingly short, and investi- paper fibers until finally they may gators should be continually on guard actually break apart. Combined with to keep evidence from being damaged this possibility is the tendency of the or destroyed in this manner. writing, especially when in pencil, to Since photographs or photostats will become obliterated along the folds. in almost every instance serve the Consequently, even though a document investigator equally, as well as the orig- may already have been folded, it is inal documents, it is strongly recom- always best to open the paper out flat mended that such copies be made when- and to place it unfolded in a large ever it appears as though the investi- envelope. gation will extend over some period of When the problem consists of the time. As a further precaution in pro- decipherment or reading of indented tecting evidence, officers -should make writing (i.e., indentations left on a some arrangements to file or store doc- sheet of paper laying under the sheet uments at their headquarters whenever upon which some message was written), these are not needed in the current the paper should not be folded and phase of the investigation. must in all cases be handled with the Of the various types of documentary utmost care. These indentations are evidence, pencil writing is especially usually very slight, and any fold or easy to damage by excessive handling. crease is apt to destroy a portion of the Since a large amount of handwriting CARE OF DOCUMENTS evidence involved in police investiga- envelope which protects the document tions consists of pencil writing, officers from dirt, dust, and wear occasioned by should be particularly cautious as to handling. Once a document is placed how they handle it. In the case of a in such a covering, there is no necessity check endorsement written in pencil, for an investigator to remove it for this warning must be strictly observed, purposes of later examinations. Various as the small amount of writing involved sizes of these envelopes are available makes it imperative to preserve the in stationery stores, or they may be document in the best possible condition. constructed from sheets of heavy cello- Carbon or second sheet typing is also phane. Any officer who has occasion to readily smeared by handling. If the investigate cases involving documentary carbon copy of a letter is all that is evidence should have several such available, it should not be handled until envelopes available. a photograph has been made, for other- In the event that transparent envel- wise many of the identifying defects opes cannot be obtained, heavy manila appearing in the typed impressions may envelopes or folders are satisfactory be lost. In extreme cases the smearing substitutes. Here again the range of may cause difficulty in determining the sizes is sufficient to accommodate with- exact outline of the letters and, conse- out folding the usual sizes of paper or quently, the make of typewriter. standard bank checks. The disadvan- Particular care must be taken with tage of this type of envelope as com- evidence which may contain erasures pared with the transparent ones is that or traces of indented writing. Exces- it is necessary to remove the document sive hanffling may further obliterate from the envelope in order to examine the writing if the erasure is not com- it. However, these envelopes form a plete, may soil the surface of the paper relatively stiff covering which protects so as to hinder restoration, may destroy the evidence at all other times and some of the small indentations upon greatly reduces the wearing effect due which the decipherment of erased pen- to carrying. cil or indented writing is dependent, or Whenever documents are to be filed may leave deposits which will cause they should always be unfolded and smudges to appear when chemicals are placed in protective envelopes or fold- used to restore the erased writing. ers, which, if not transparent, should be clearly marked so that frequent 4. Keep Documents in Envelopes or rehandling is unnecessary in order to Protective Folders determine the contents. Stapling, pin- As has been indicated in the preced- ning, or clipping several sheets of paper ing paragraphs, there is a definite need together is objectionable because of the for documents to be kept in some sort tendency to damage portions of the of protective covering. The most satis- documents. With any amount of han- factory type of envelope or covering is dling the staples or pins very often a heavy weight, transparent, cellophane cause tears, while the pressure of the ORDWAY HILTON paper clips usually produces small 6. Do Not Allow Anyone Except a creases or folds. The best method of Qualified Expert to Make Chemical grouping papers together without in- or Other Types of Tests juring the documents is to place each All types of tests on inks, typing, or group in a single envelope or folder. composition of paper, and any attempts This procedure protects the evidence to decipher or restore obliterated and as well as keeps it properly grouped. erased writing, should be made by a qualified expert. There are many per- 5. Keep Dry and Away from Excessive sons, having read slightly and remem- Heat and Strong Light bered less, who are only too willing to Exposure to moisture, heat, or light attempt to apply their "sure" methods may seriously injure documents. In if given a chance. Unfortunately, these extreme cases, when water causes ink methods often do more harm than good. writing to smear or become obliterated, This fact was well illustrated recently or when paper is charred or burnt by in a case of erased pencil writing. Here fire or intense heat, or when sunlight the effects of an amateur's unsuccessful fades the color of an ink, the changes attempt at restoration, plus the process are apparent to the eye. However, an of removing the traces of his efforts, investigator should remember that precluded the possibility of a complete microscopic changes also occur in doc- decipherment by a laboratory techni- uments when they are exposed to much cian. If a qualified expert is available, smaller amounts of moisture, heat, or investigators should depend upon him light. These microscopic changes in- at all times for assistance of a technical fluence certain types of examination or scientific nature. among which are the determination of the age of documents, development of 7. Take Documents to Laboratory or latent fingerprints on paper, identifica- Expert at the Earliest Convenience tion of inks, etc. While some of these In practically all handwriting cases problems may not occur frequently in there are advantages in taking evidence criminal investigations, nevertheless, all to the laboratory as soon as possible. documents should be kept dry and Whenever the expert has an opportun- away from excessive heat and strong ity to examine documents which have light so that no alterations or changes not been handled a great deal or car- may occur in them which might modify ried on the person of the investigator the results of later laboratory examina- for an extended period of time, or sub- tions. The possible effects of moisture jected to any of the other possible and heat should always be given spe- mishandlings previously discussed, he cial consideration whenever an investi- will usually be able to render a more gator is filing or storing documents for comprehensive and definite report than some length of time, and storage spaces in cases in which the evidence reaches which are unusually damp or warm him in a poorer state of preservation. should not be used. In certain types of cases, as when CARE OF DOCUMENTS attempts are to be made to develop There it can be opened and the con- latent fingerprints on paper, or when tents removed by a technician in such an examination is to be made to deter- a manner that the latent fingerprints mine the approximate age of documents will not be destroyed. If necessary, a (especially if it is suspected that they copy of the contents can then be made have been written very recently), the for purposes of further investigation. evidence should be taken to the expert An alternative though less desirable with the least possible delay. procedure may be used if it is neces- Even when the investigator does not sary to know the contents of the letter have the writing of a suspect available immediately upon receipt. According- for comparison the laboratory expert ly, the envelope may be slit with a may be of assistance. In such instances knife, the contents removed with tongs there is always a possibility that either or tweezers (in the same manner in through files which the laboratory which they would be removed at the maintains on the same kind of cases or laboratory), read, and without touching from the examiner's knowledge and carefully replaced in the envelope. experience with similar types of evi- Papers on which latent fingerprints dence, some information may be ob- may be found should be protected from tained which will lead to the apprehen- rubbing and friction and kept away sion of the writer of the questioned from excessive heat or moisture as the document. prints are easilly affected by any of these factors. Moreover, because latent Special Precautions in Handling fingerprints on paper become indistinct Anonymous Letters or disappear entirely within a very In anonymous letter cases, especially short time, evidence should be brought those in which the anonymous author to the laboratory immediately upon writes a series of letters, the develop- receipt. Fingerprint evidence in this ment of latent fingerprints on these type of case is important not only be- letters may lead to his apprehension or cause it may be possible thereby to identification. However, if latent prints search through fingerprint files and are to be successfully developed, the identify the writer, but once a suspect following rules must be carefully 2 is apprehended it forms identifying evi- followed. dence in addition to the handwriting. In order that the only prints found on the letter shall be those of the Conclusion anonymous writer, no one must touch The previously mentioned examples the contents of the envelope. If a letter of valuable evidence which might be is suspected as being from the anony- lost by disregarding some one of the mous author, the best procedure is to precautionary measures or rules do bring it to the laboratory unopened. not, of course, constitute an exhaustive

2 For a thorough discussion of the problems prints in Criminal Investigation," J. Criminal involved in the care and preservation of finger- L. and Crim. 30 (6): 938 (1940). print evidence, see ONeill, M. E., "Finger- ORDWAY HILTON list. On the other hand, these illustra- Investigators should remember that tions are cited merely to give the police in handwrirting examinations the ex- investigators some idea of how such pert is interested in more than mere evidence may be preserved by care and letter formations. Many important effort on their part. In some instances, points which are found in an examina- tion of documentary evidence may not of course, violations of a particular rule necessarily be visible to the eye. Con- may not alter the evidence sufficiently sequently, mistreatment of the evidence affect the expert's findings, but in- to often does not seem to the non-expert vestigators do not always realize or to alter the documents because no know the extent of tests and examina- visible changes occur, but, neverthe- tions which the expert may have to less, in many cases the invisible altera- apply to a piece of documentary evi- tions and the loss of small writing dence. Therefore, unless all precautions details place definite limitations on the are constantly observed, important evi- subsequent laboratory examinations dence may in some cases be damaged which need not have been imposed had or destroyed by mishandling. the proper precautions been observed.