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Forensic intelligence applied to questioned document analysis: A model and its application against organized crime
Accepted Manuscript Forensic intelligence applied to questioned document analysis: A model and its application against organized crime
Josep De Alcaraz-Fossoul, Katherine A. Roberts PII: DOI: Reference:
S1355-0306(17)30034-5 doi: 10.1016/j.scijus.2017.04.003 SCIJUS 659
To appear in:
Science & Justice
Received date: Revised date: Accepted date:
17 October 2016 9 March 2017 6 April 2017
Please cite this article as: Josep De Alcaraz-Fossoul, Katherine A. Roberts , Forensic intelligence applied to questioned document analysis: A model and its application against organized crime. The address for the corresponding author was captured as affiliation for all authors. Please check if appropriate. Scijus(2017), doi: 10.1016/j.scijus.2017.04.003
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ACCEPTED MANUSCRIPT Forensic Intelligence applied to Questioned Document Analysis: A model and its application against Organized Crime
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First and corresponding author: Given Name: Josep; Family name: De Alcaraz-Fossoul Affiliation: PhD School of Mathematical and Natural Sciences New College of Interdisciplinary Arts and Sciences Arizona State University-West Campus 4701 W. Thunderbird Rd. Glendale, Arizona 85306 United States of America Phone: 602-543-5810 E-mail: [email protected]
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Josep De Alcaraz-Fossoul and Katherine A. Roberts
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Second author: Given Name: Katherine A. ; Family name: Roberts Affiliation: PhD School of Criminal Justice and Criminalistics California State University, Los Angeles 5151 State University Drive, Los Angeles, California 90032 United States of America Phone: 323-343-4625 E-mail: [email protected]
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Keywords:
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Questioned Documents; Forensic Intelligence; Counterfeits; Criminal organizations.
ACCEPTED MANUSCRIPT TITLE Forensic Intelligence applied to Questioned Document Analysis: A model and its application against Organized Crime
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ABSTRACT
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The capability of forensic sciences to fight crime, especially against organized criminal groups, becomes relevant in the recent economic downturn and the war on terrorism. In view of these societal challenges,
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the methods of combating crime should experience critical changes in order to improve the effectiveness
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and efficiency of the current resources available.
It is obvious that authorities have serious difficulties combating criminal groups of transnational nature. These are characterized as well structured organizations with international connections, abundant
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financial resources and comprised of members with significant and diverse expertise. One common practice among organized criminal groups is the use of forged documents that allow for the commission
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of illegal cross-border activities. Law enforcement can target these movements to identify counterfeits and establish links between these groups. Information on document falsification can become relevant to
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generate forensic intelligence and to design new strategies against criminal activities of this nature and
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magnitude.
This article discusses a methodology for improving the development of forensic intelligence in the
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discipline of questioned document analysis. More specifically, it focuses on document forgeries and falsification types used by criminal groups. It also describes the structure of international criminal
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organizations that use document counterfeits as means to conduct unlawful activities. The model presented is partially based on practical applications of the system that have resulted in satisfactory outcomes in our laboratory.
ACCEPTED MANUSCRIPT INTRODUCTION 1. Forensic Science and Criminal Justice From an etymological perspective, science aims to study and gather knowledge on the structure and the behavior of the physical world1 using the scientific method2 and logical reasoning [1]. Similarly, the development of forensic knowledge, from a forensic science perspective, results from the analysis of
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empirical data and the application of scientific principles and disciplines that focus on the discovery and
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analysis of physical evidence. The goal is to generate objective and reliable proof of fact based on the data
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collected (that is, evidence-based knowledge).
As public providers of safety and security, law enforcement incorporate within their organizational and
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functional structures several units/divisions comprised of scientists with an expertise in a particular forensic discipline and specialized laboratories. Each unit or laboratory applies forensic knowledge in
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relation to their specific discipline with the purpose of assisting the judiciary and criminal investigations and establishing proof of fact based on the analysis and interpretation of physical evidence performed by
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qualified experts. In many cases, these units are grouped within a single department or section of law
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enforcement referred to as forensic laboratories.
Therefore, forensic laboratories. bring together several forensic disciplines and experts who apply
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evidence-based knowledge to criminal investigations; this applied field includes the following objectives 1) obtain and analyze physical evidence, 2) identify criminals, 3) associate criminal cases that may appear to be unrelated and, 4) provide expert testimony in criminal proceedings. In certain countries, these tasks
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may be performed by public/private institutions in addition to governmental agencies.
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2. The necessary evolution towards forensic knowledge
In the past decade, government agencies have implemented austerity policies to their operational systems that have had a direct impact on the services provided. Internal operations are being evaluated, a reality particularly occurring during an economic recession. Any business and administration recommendation dictates that reform should focus on qualitative and quantitative improvements in order to enhance the
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Cambridge English Dictionary & Thesaurus (Online at http://dictionary.cambridge.org), accessed 16-03-2016. Defined as “a method or procedure that has characterized natural science since the 17th century, consisting in systematic observation, measurement, and experiment, and the formulation, testing, and modification of hypotheses” by Oxford English Dictionary. 2
ACCEPTED MANUSCRIPT effectiveness and efficiency of the responses/services provided to citizens. Public security providers are no exception to this assumption and experts associated with all forensic science disciplines (FSD) must collaborate with authorities to overcome the current challenges caused by diminishing budgets. Besides technical and methodological enhancements, FSD should also focus on the adequate processing of information in order to generate forensic knowledge and intelligence. This knowledge and intelligence
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provides the foundation to build the necessary synergies for further operational and functional
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improvement, where interdisciplinary work is the key to success. In this context, we understand forensic intelligence as a scientific or technical3 processing of data and information that produces specific
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knowledge to complement the concept of criminal intelligence 4 [2 - 4]. The process is based on the use of forensic data to cross-reference and relate crime scenes, physical evidence, and suspect identity. This
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opens the possibility of generating robust and evidence-based approaches to policing and security at both operational and strategic levels [5]. Unfortunately, forensic intelligence is currently in its infancy
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primarily because forensic science has traditionally focused on t courtroom testimony and the resolution of crimes on an individual basis.
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3. The new forensic paradigm
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Our society is characterized by rapid technological, legal, and social changes where criminal groups easily adapt to any new surrounding context. They modify their modes of operation in order to avoid the
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legal control of their criminal activities. Similarly, police organizations must adjust to this constantly changing environment. Criminalistics should also experience an equivalent transformation to adapt to the
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ever evolving criminal activities. By doing so, law enforcement agencies would become more effective in responding competently to more demanding security requirements. This efficiency becomes especially
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relevant for organized crime, which establishes in a manner that is not easily detected in society and with the intention to remain inconspicuous while conducting criminal activities.
The forensic sciences must respond effectively to more demanding mandates from authorities. These are demands that cannot often be undertaken by FSD because of the limited (or inefficient) existing work systems and scarce financial resources. Further, FSD may not be prepared to assume such demanding tasks overall because of untrained experts, scientifically unproven techniques, etc. Therefore, the forensic 3
It deals with the collection and processing of data and information in the respective areas of interest for civil and military security purposes. 4 It is carried out by police intelligence services to solve crimes and fight against organized crime. It is characterized at t he same time, as being of preventive nature of criminal activities and to complement legal repressive action by providing proof of the criminal actions of a suspect to justice.
ACCEPTED MANUSCRIPT sciences must embrace change and update practices and analytical techniques, including the acquisition of new instrumentation and equipment. This will result in greater proficiency in the collection and analysis of information that will in turn generate forensic knowledge. The essence of this new paradigm is the development and management of intelligence.
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4 The basis of the forensic intelligence applied to questioned document analysis
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The current project is the result of a professional deliberation: how can FSD help fight against criminal networks? In an attempt to solve this issue, we have designed a methodology based on forensic
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intelligence specifically focused on Questioned Document Analysis (QDA) and its practical applications; this reflects the approach developed by other disciplines, such as fingerprinting [6], DNA [7] and drug
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analyses [8-10].
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The basis of the proposed model lies in the concept that any information extracted from the analysis of data generates knowledge. The appropriate processing and exploitation of forensic knowledge is likely to become truly (forensic) intelligence. Once generated, intelligence can be utilized within a government’s
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institutional and logistic structures in order to improve and optimize their services and resources against crime. The Latin quote mutatis mutandis (i.e. things needing to be changed) clearly exemplifies this new
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vision of the model. We believe changes should be profound but keeping what is fundamental and already
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efficient.
There is an extensive bibliography on the mechanisms of development of intelligence. They discuss how
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best to examine information in order to generate knowledge and, in turn, intelligence [11-14]. Here, we introduce the application of these techniques of management and analysis of information in QDA to
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generate forensic intelligence.
5. The model of forensic intelligence Forensic intelligence is the knowledge that derives from data processing and information obtained from the examination of physical evidence in order to better understand the fact(s) of a crime. Forensic intelligence can potentially lead to objective and consistent (novel) information in a timely manner [5, 15]. The philosophy behind the shift towards a forensic intelligence model (scientific or technical) can be applied to all FSD. In varying degrees, all FSD should incorporate this concept to better comprehend
ACCEPTED MANUSCRIPT criminal events and actions, beyond the standpoint of a single criminal case. The goal is to build institutional mechanisms to prevent and combat crime from a forensic science approach.
In this paper we propose a new model that aims to redirect efforts in order to generate more useful intelligence. The knowledge developed in each discipline will create new operational possibilities, establish new standards, and provide additional probative information. This will lead to a profound
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transformation of the mode of operation within each discipline. The proposed model aims to generate knowledge, by promoting an interdisciplinary approach to gathering
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physical evidence data in order to facilitate enhanced forensic science-based intelligence. This necessitates collaborations among FSD where various sciences converge, interact and learn from each
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other and is the keystone to improve the effectiveness, efficiency and quality of the product to be
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delivered.
In order to demonstrate the application of the model, the stages shown (described below) are structured in line with the objective of creating operational strategies against organized crime, applied to QDA. Within
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the context of QDA, the model is described specifically as the falsification model. This has been designed to ease the collection and evaluation of data/information and the subsequent dissemination of the
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knowledge generated through suitable coordination channels.
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DISCUSSION
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1. Forensic intelligence in law enforcement systems
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The 2012 European Police Chiefs Convention at EUROPOL held in The Hague (Netherlands) highlighted the existing concern to strengthen intelligence in the structure of police organizations. In this regard, the implementation of police techniques to develop intelligence at European level was discussed5 . At the 2012 European Conference of INTERPOL held in Tel Aviv (Israel) it was stated that "to determine and address future dangers linked to crime, it is essential to develop innovative solutions that are based on past experiences". It is relevant to mention the words of the President of Interpol: "The criminal gangs now have the impression that transnational crime and cybercrime are far more beneficial and profitable than other riskier forms of making money".6 It is obvious that international crime and the need for more 5 6
www.europol.europa.eu www.interpol.int
ACCEPTED MANUSCRIPT forensic intelligence are getting attention from global authorities and that the international crime is in the agenda of the (forensic) community beyond national borders. Lastly, recent terrorist attacks in Europe and around the world have demonstrated that members of criminal networks can move quite freely across borders without being detected (e.g. common authorships of the Paris terrorist attacks in November 2015 and Brussels bombings in March 2016), confirming the inefficiency of current border control systems and
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intelligence.
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Law enforcement agencies are mainly structured depending on their extension of territory and the size of population they serve. These are fully qualified to fight organized/international crime and, therefore, can
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also gather useful data that can become information after proper processing. Currently, the development of intelligence in the various police forces is dealt with different analytical perspectives and by different
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specialized units, although its exploitation mainly occurs by groups/units of data analysis. This shows how disperse the gathering of forensic intelligence can be and how slow the flow (or sharing) of
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information can be when different protocols are used.
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2. Falsification networks: structure and functions
Organized criminal activities are often undetected and uncontrolled by authorities and are invisible to the
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society where they establish. Their transnational nature, global connections and high specialization of their members hamper the fight against these groups. In order for governments to be efficient in fighting
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international crime, it is necessary to find common links that relate these criminal groups. These
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connections will allow authorities to focus on logistic advances for their neutralization.
Criminal organizations need to move their members, as well as their victims and products, between the various countries where they operate. This circumstance forces them to forge (counterfeit or alter) legal
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identity documentation and/or other travel credentials. Thus, the (unique) type of forgery employed by each criminal group is presented here as one of the links between these groups that can be used to identify an entire criminal network. This is a practical application of document falsification as nexus between groups of organized crime.
Criminal organizations of first order (Diagram 1) have the necessary infrastructure to produce, customize and distribute false documents to the various criminals present in every country where they operate. For example, criminal organizations devoted to terrorism, and drug or human trafficking, depend on
ACCEPTED MANUSCRIPT counterfeiting and altering documents to circumvent authorities. This can be achieved by simulating legal travel and/or lawful stays in the country of origin or destination, identity theft and, in many occasions, creating a new fraudulent identity. We illustrate in Diagram 1 the structure and functions of these criminal organizations, including document manufacturers, networks of transnational distribution and document manipulators and
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customizers (local distributors). In more detail, we distinguish the following components within the
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criminal network:
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(DIAGRAM 1)
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a) Document manufacturers
Dedicated to producing essential parts of the document (e.g. paper, plastics, etc.), specialized equipment
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and/or laboratory instruments to facilitate the simulation of security features contained in legal documents. These materials are distributed within the same network or sold as a product to different
b) Networks of transnational distribution
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criminal organizations of third order (paragraph "c" below).
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Deliver falsified (non-personalized or blank) documentation to different criminal groups. These can be integrated within a larger organization or operate independently. They supply documents and other
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materials to what is known as organized crime of second order, which is usually restricted to one single
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country.
c) Document manipulators and personalization
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Distribute documents at a national level to local criminal groups scattered in the territory. These groups can have laboratories where documents are assembled and customized (personalization) for each member of the organization and their victims. d) Local distributors These are the final executors of the criminal act. They use the fraudulent documents to facilitate and conduct their illegal activities. These groups can belong to the same international organization or be the customers of any of the services provided by larger organized criminal networks.
ACCEPTED MANUSCRIPT 3. Questioned document analysis and the falsification model QDA units are responsible for, among other tasks, the technical examination of documents seized by law enforcement and/or the judiciary. The use of adequate laboratory equipment and forensic expertise allows QDA units to 1) analyze and determine security features present in legal documents; 2) detect printing systems and impression tools; 3) reveal alterations, additions, deletions or other types of manipulations of
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the genuine document as issued by the authorities, among the most relevant duties. Intelligence on document falsification focuses on specific criminal activities that involves forged
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documents of interest for investigators because of their criminal nature, scale, impact, threat or (social) consequences. Establishing genuineness or non-genuineness of a document is essential from a legal
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standpoint to fight illegal activities. From the perspective of fighting organized crime, and in application of the crime intelligence development policies, it is also crucial to obtain additional technical information
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that is extracted by forensic experts.
The falsification model results from detecting repetitive counterfeit patterns in the document’s (forged)
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security features which have been altered or copied, as well as the printing systems employed. The detected patterns generate (forensic) intelligence on falsification. The basic premise for generating
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forensic intelligence involves the seizure of documents and subsequent technical and scientific analysis in specialized laboratories. For example, the application of this model (basic level) to a single criminal case
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may potentially relate a crime with apparently unrelated suspects and other falsified documentation. This model provides investigators with a connection driven by forged documents. It can build new interactions
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between suspects who would be otherwise unrelated following conventional investigative procedures.
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RESULTS
1. The falsification model workflow The model consists of three different levels of application depending on the professionals involved:
The basic model
It includes seven consecutive stages involving QDA experts whose objective is to generate forensic
ACCEPTED MANUSCRIPT knowledge for the application in criminal (or investigation) intelligence, as shown in Diagram 2. The main stages include the following:
1) Seizure of questioned documents Documents presumed falsified must be searched and seized by law enforcement following all legal standards, including records of the property confiscated. Once in possession of the police, these
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documents will be handed over to specialized QDA units that will proceed with the analysis. 2) Specialized screening of documents
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The selection of (presumed falsified) documents to study is based on the type of information that needs to be collected, and on the type of forensic knowledge and intelligence that needs to be generated. The
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identify relevant documents for their examination.
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screening will be exclusively conducted by QDA units following scientific and technical criteria and will
3) Coding of falsification models
The information generated (i.e. from the study of documents) should be properly examined and coded to
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be able to establish the necessary interactions between different codes and criminal cases, these actions are contemplated in the second level (Diagram 3). At this stage we observe two different actions:
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a) Preparation of technical reports
These are prepared in all instances, for documents that do not contain any feature prone to coding
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and for cases where documents are fully coded that could potentially generate intelligence. b) Coding falsified/manipulated documents
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Guidelines for coding falsification models are strictly followed. These technical procedures describe the coding process that must be applied only to documents of interest, completing the
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first stage of the system which results in the collection of data.
4) Database feed
Data feed is a mechanism for users to receive, store and classify updated data from data sources. In this case, QDA experts are responsible for entering the appropriate data and making them available to others. Keeping databases updated and complete in real-time applications eases and expedites the subsequent task of linking crimes.
5) Specialized analysis of data Is the process of evaluating, selecting, transforming, and modeling data using analytical and logical
ACCEPTED MANUSCRIPT reasoning with the goal of discovering useful information, suggesting conclusions, and supporting decision-making. It is conducted by QDA experts. Once relationships between documents have been established we have generated knowledge that must be in turn transferred to the criminal investigation and data analysis units. These units will integrate it into their systems and generate criminal intelligence at the end of the process.
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6) Counterfeiting/Falsification intelligence
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The matured information develops into intelligence as result of cross-referencing codes and establishing connections between falsified documents. Ultimately, it will result in the identification of the criminal
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activity and the illegal strategies of a criminal network.
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7) Investigation intelligence
This is the last stage of the process when knowledge is transferred to the relevant petitioners. In parallel,
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other information of scientific and non-scientific nature is added to the package. The collection of processed data by other forensic disciplines (i.e. drug analysis, DNA analysis, etc.) becomes the basis of
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the interdisciplinary collaboration and generation of criminal intelligence.
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(DIAGRAM 2)
Interactions of the basic model can occur at two levels, named as the simple and the compound interaction
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models. At these levels, scientific, technical and forensic (criminal) intelligence are generated.
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The simple interaction model
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It involves the crime investigation, crime analysis and QDA units within the same agency, in accordance with their central and regional organization, as shown in Diagram 3.
(DIAGRAM 3) The compound model It describes the interaction that takes place between different law enforcement agencies and laboratories. It promotes the transfer of information through national forensic networks, such as the Network of Official Forensic Laboratories of Spain (RLFOE) which involves Spanish national and regional police
ACCEPTED MANUSCRIPT forces (Diagram 4). In this case, the interaction of internally generated intelligence between investigation units from various police organizations is shown, as well as how a particular criminal case can be linked with other investigations through a forensic network.
(DIAGRAM 4)
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2. The practical application of the falsification model The application of this type of forensic intelligence in policing can, firstly, solve a specific crime where
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false documents were seized; secondly, it may establish relations between cases that are apparently unrelated; and, finally, may generate forensic knowledge on the operation of criminal organizations,
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specifically the modus operandi of illegal laboratories dedicated to counterfeiting and personalization of
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documents.
The selection and screening of documents of interest is an important point in the process of data collection and generation of information. This step is essential for optimal results because the wrong
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choice of documents will produce negative effects in the document coding and, consequently, the data input, search and comparisons. Therefore, it is recommended this step to be performed by QDA experts
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who are familiar with the coding system and comparisons. QDA experts can also discriminate those
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documents that could be redundant or unnecessary, shortening the process of generating intelligence. In the proposed intelligence model, coding every (forged) feature becomes the engine generator of
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information and the necessary basis for analysis. Coding is the process to assign an alphanumeric identifier linked to specific security elements present in the documents and the respective printing systems
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employed. The selected alphanumeric codes should be as specific as possible to allow for unique case identifiers but sufficiently general to permit case association. That is, more detailed and specific codes, will result in more complex comparisons that may impede the detection of patterns, thus hindering the generation of knowledge or intelligence.
The generation of new knowledge under the model derives from the management and analysis of information systems. These systems detect interactions between criminal cases that share documents with common codes patterns. Once relationships are established and knowledge is generated, this new information must interact with data obtained from the criminal investigation and analysis units. This collaboration will increase the efficiency in crime prevention and crime solving for which this system is
ACCEPTED MANUSCRIPT designed. Communication and dissemination of the generated knowledge must then reach all those crime units that require it for the fulfillment of their investigative tasks. This is the moment when forensic intelligence becomes a real operating tool with tangible and practical applications towards a criminal investigation in daily police activity. The main purpose of the system is to identify and dismantle 1) networks of organized crime and 2) the distribution of counterfeits and their laboratories. The practical application of forensic intelligence generated by common patterns of document forgeries is then
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demonstrated.
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3. Current forensic networks available to police agencies
A forensic network is essential to transfer technical information, but even more so when that information
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becomes knowledge in the form of intelligence. Currently, there exists a number of forensic networks whose function is to share the information generated; however, these networks do not always perform
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efficiently. The flow of information between police agencies allows the interconnection and resolution of criminal cases through the identification and definition of the falsification model. In Spain, there is the RLFOE (Network of Official Forensic Laboratories of Spain) which include various police agencies and
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other forensic-related institutions. RLFOE operate nationwide and is used as an instrument for
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coordination, standardization and dissemination.
From a European perspective, ENFSI (European Network of Forensic Science Institutes) represents a
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network of forensic laboratories whose mission is to share knowledge, exchange experiences, and the standardization of forensic science procedures. It is composed of 64 laboratories that belong to 36
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countries, including Spain, as of 2015. Other international entities include ASCLD (The American Society of Crime Laboratory Directors), AICEF (Latin American Academy of Criminalistics and
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Forensic Studies), AFSN (Asian Forensic Sciences, Network) and SMANZ (The Senior Managers of Australian and New Zealand Forensic Laboratories), and, from a more global perspective, IFSA (International Forensic Strategic Alliance).
4. Practical results of the model The proposed method is flexible and dependent on how its components are related, so if one component is added or modified we would expect its operation to vary. Its functionality is based on the relationship of its elements where the result is better than the sum of its individual parts. The likelihood of obtaining relevant forensic knowledge increases as the system expands with additional data and information. The
ACCEPTED MANUSCRIPT outcome is expected to be useful for 1) solving ordinary and organized crimes and 2) generating the necessary intelligence to be able to relate unconnected events. In addition, it should generate relevant knowledge to define new police strategies to combat these criminal organizations. The implementation of this project of intelligence has already been successful at a regional level (Catalonia) in its initial phase, conducted by the Policia de la Generalitat – Mossos d’Esquadra. It is now
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time to consider its extension to the second stage mentioned earlier, i.e. on a national level and
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coordinated by all police forces, especially in the field of forensic science. Regarding global risks, Jaume Cubert7 stated "Yet, despite the skepticism and misrepresentations, in front of the breadth and depth of
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global risks (ecological, economic, social), hereinafter nothing that occurs will be locally confined (all risks are global risks), and in return, every local risk is also the result of the situation of mankind”. The
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current project on falsification intelligence adheres to this postulate, and its practical application could be taken one step further to a transnational level. The interaction police agencies from multiple countries can
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contribute to the project and place it in an international context. In order to integrate more knowledge into the system, the coordination between (international) law enforcement agencies must be based on the interaction and exchange of knowledge. This will generate more criminal intelligence and better and more
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accurate tools will be developed to fight against organized crime.
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CONCLUSIONS
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The proposed falsification intelligence model arose from the request of a criminal investigation unit with the need to gather information on counterfeited payment documents belonging to an alleged criminal
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group. Despite that fact that the intelligence data very specific to that criminal case, we achieved the
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expected results by implementing the coding guidelines8 . In practice, our team was successful in dismantling a criminal group dedicated to forging foreign transport documents established in different regions of Spain. Investigators needed probative evidence to relate the suspects with false documents in order to expose and dismantle the operating criminal network. The application of the falsification model contributed significantly in solving the case. Subsequent to this case, the request for technical collaboration of forensic intelligence applied to questioned documents analysis has grown continuously in our laboratory.
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Jaume Curbet i Hereu, page 22, Revista Catalana de Seguretat Pública, ISPC, M ay 2011. Specialized procedures that provide instructions and technical details for encoding questioned documents.
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The model presented is not intended to be a panacea to the complex and difficult problem of fighting global organized crime but is intended as an additional tool for criminal investigations. The application of the model discussed can also be applied to other legal documents, such as bank notes, forged checks, and visas, among others. Furthermore, forensic knowledge generated by this method can be applied to various fields, including the research, analysis, and approaches to combat terrorism. Finally, this article is an
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attempt to describe a model for the generation of forensic intelligence from a strictly scientific and
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fundamental tool against crime that will lead to the social justice.
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practical perspective that, together with other models from other scientific disciplines, will become a
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ACCEPTED MANUSCRIPT Acknowledgments
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We would like to thank Mr. Joan Guinovart i Gracia who made this project possible.
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ACCEPTED MANUSCRIPT Highlights
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Criminals use forged documents to commit illegal cross-border activities. Law enforcement can target international activities to identify and relate criminal groups. Questioned Document Analysis can be used to link criminal groups by creating forensic intelligence. A methodology is presented to help develop forensic intelligence based on counterfeit documents.
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Josep De Alcaraz-Fossoul, Katherine A. Roberts PII: DOI: Reference:
S1355-0306(17)30034-5 doi: 10.1016/j.scijus.2017.04.003 SCIJUS 659
To appear in:
Science & Justice
Received date: Revised date: Accepted date:
17 October 2016 9 March 2017 6 April 2017
Please cite this article as: Josep De Alcaraz-Fossoul, Katherine A. Roberts , Forensic intelligence applied to questioned document analysis: A model and its application against organized crime. The address for the corresponding author was captured as affiliation for all authors. Please check if appropriate. Scijus(2017), doi: 10.1016/j.scijus.2017.04.003
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ACCEPTED MANUSCRIPT Forensic Intelligence applied to Questioned Document Analysis: A model and its application against Organized Crime
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First and corresponding author: Given Name: Josep; Family name: De Alcaraz-Fossoul Affiliation: PhD School of Mathematical and Natural Sciences New College of Interdisciplinary Arts and Sciences Arizona State University-West Campus 4701 W. Thunderbird Rd. Glendale, Arizona 85306 United States of America Phone: 602-543-5810 E-mail: [email protected]
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Josep De Alcaraz-Fossoul and Katherine A. Roberts
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Second author: Given Name: Katherine A. ; Family name: Roberts Affiliation: PhD School of Criminal Justice and Criminalistics California State University, Los Angeles 5151 State University Drive, Los Angeles, California 90032 United States of America Phone: 323-343-4625 E-mail: [email protected]
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Keywords:
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Questioned Documents; Forensic Intelligence; Counterfeits; Criminal organizations.
ACCEPTED MANUSCRIPT TITLE Forensic Intelligence applied to Questioned Document Analysis: A model and its application against Organized Crime
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ABSTRACT
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The capability of forensic sciences to fight crime, especially against organized criminal groups, becomes relevant in the recent economic downturn and the war on terrorism. In view of these societal challenges,
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the methods of combating crime should experience critical changes in order to improve the effectiveness
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and efficiency of the current resources available.
It is obvious that authorities have serious difficulties combating criminal groups of transnational nature. These are characterized as well structured organizations with international connections, abundant
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financial resources and comprised of members with significant and diverse expertise. One common practice among organized criminal groups is the use of forged documents that allow for the commission
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of illegal cross-border activities. Law enforcement can target these movements to identify counterfeits and establish links between these groups. Information on document falsification can become relevant to
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generate forensic intelligence and to design new strategies against criminal activities of this nature and
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magnitude.
This article discusses a methodology for improving the development of forensic intelligence in the
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discipline of questioned document analysis. More specifically, it focuses on document forgeries and falsification types used by criminal groups. It also describes the structure of international criminal
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organizations that use document counterfeits as means to conduct unlawful activities. The model presented is partially based on practical applications of the system that have resulted in satisfactory outcomes in our laboratory.
ACCEPTED MANUSCRIPT INTRODUCTION 1. Forensic Science and Criminal Justice From an etymological perspective, science aims to study and gather knowledge on the structure and the behavior of the physical world1 using the scientific method2 and logical reasoning [1]. Similarly, the development of forensic knowledge, from a forensic science perspective, results from the analysis of
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empirical data and the application of scientific principles and disciplines that focus on the discovery and
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analysis of physical evidence. The goal is to generate objective and reliable proof of fact based on the data
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collected (that is, evidence-based knowledge).
As public providers of safety and security, law enforcement incorporate within their organizational and
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functional structures several units/divisions comprised of scientists with an expertise in a particular forensic discipline and specialized laboratories. Each unit or laboratory applies forensic knowledge in
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relation to their specific discipline with the purpose of assisting the judiciary and criminal investigations and establishing proof of fact based on the analysis and interpretation of physical evidence performed by
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qualified experts. In many cases, these units are grouped within a single department or section of law
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enforcement referred to as forensic laboratories.
Therefore, forensic laboratories. bring together several forensic disciplines and experts who apply
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evidence-based knowledge to criminal investigations; this applied field includes the following objectives 1) obtain and analyze physical evidence, 2) identify criminals, 3) associate criminal cases that may appear to be unrelated and, 4) provide expert testimony in criminal proceedings. In certain countries, these tasks
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may be performed by public/private institutions in addition to governmental agencies.
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2. The necessary evolution towards forensic knowledge
In the past decade, government agencies have implemented austerity policies to their operational systems that have had a direct impact on the services provided. Internal operations are being evaluated, a reality particularly occurring during an economic recession. Any business and administration recommendation dictates that reform should focus on qualitative and quantitative improvements in order to enhance the
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Cambridge English Dictionary & Thesaurus (Online at http://dictionary.cambridge.org), accessed 16-03-2016. Defined as “a method or procedure that has characterized natural science since the 17th century, consisting in systematic observation, measurement, and experiment, and the formulation, testing, and modification of hypotheses” by Oxford English Dictionary. 2
ACCEPTED MANUSCRIPT effectiveness and efficiency of the responses/services provided to citizens. Public security providers are no exception to this assumption and experts associated with all forensic science disciplines (FSD) must collaborate with authorities to overcome the current challenges caused by diminishing budgets. Besides technical and methodological enhancements, FSD should also focus on the adequate processing of information in order to generate forensic knowledge and intelligence. This knowledge and intelligence
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provides the foundation to build the necessary synergies for further operational and functional
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improvement, where interdisciplinary work is the key to success. In this context, we understand forensic intelligence as a scientific or technical3 processing of data and information that produces specific
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knowledge to complement the concept of criminal intelligence 4 [2 - 4]. The process is based on the use of forensic data to cross-reference and relate crime scenes, physical evidence, and suspect identity. This
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opens the possibility of generating robust and evidence-based approaches to policing and security at both operational and strategic levels [5]. Unfortunately, forensic intelligence is currently in its infancy
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primarily because forensic science has traditionally focused on t courtroom testimony and the resolution of crimes on an individual basis.
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3. The new forensic paradigm
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Our society is characterized by rapid technological, legal, and social changes where criminal groups easily adapt to any new surrounding context. They modify their modes of operation in order to avoid the
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legal control of their criminal activities. Similarly, police organizations must adjust to this constantly changing environment. Criminalistics should also experience an equivalent transformation to adapt to the
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ever evolving criminal activities. By doing so, law enforcement agencies would become more effective in responding competently to more demanding security requirements. This efficiency becomes especially
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relevant for organized crime, which establishes in a manner that is not easily detected in society and with the intention to remain inconspicuous while conducting criminal activities.
The forensic sciences must respond effectively to more demanding mandates from authorities. These are demands that cannot often be undertaken by FSD because of the limited (or inefficient) existing work systems and scarce financial resources. Further, FSD may not be prepared to assume such demanding tasks overall because of untrained experts, scientifically unproven techniques, etc. Therefore, the forensic 3
It deals with the collection and processing of data and information in the respective areas of interest for civil and military security purposes. 4 It is carried out by police intelligence services to solve crimes and fight against organized crime. It is characterized at t he same time, as being of preventive nature of criminal activities and to complement legal repressive action by providing proof of the criminal actions of a suspect to justice.
ACCEPTED MANUSCRIPT sciences must embrace change and update practices and analytical techniques, including the acquisition of new instrumentation and equipment. This will result in greater proficiency in the collection and analysis of information that will in turn generate forensic knowledge. The essence of this new paradigm is the development and management of intelligence.
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4 The basis of the forensic intelligence applied to questioned document analysis
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The current project is the result of a professional deliberation: how can FSD help fight against criminal networks? In an attempt to solve this issue, we have designed a methodology based on forensic
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intelligence specifically focused on Questioned Document Analysis (QDA) and its practical applications; this reflects the approach developed by other disciplines, such as fingerprinting [6], DNA [7] and drug
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analyses [8-10].
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The basis of the proposed model lies in the concept that any information extracted from the analysis of data generates knowledge. The appropriate processing and exploitation of forensic knowledge is likely to become truly (forensic) intelligence. Once generated, intelligence can be utilized within a government’s
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institutional and logistic structures in order to improve and optimize their services and resources against crime. The Latin quote mutatis mutandis (i.e. things needing to be changed) clearly exemplifies this new
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vision of the model. We believe changes should be profound but keeping what is fundamental and already
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efficient.
There is an extensive bibliography on the mechanisms of development of intelligence. They discuss how
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best to examine information in order to generate knowledge and, in turn, intelligence [11-14]. Here, we introduce the application of these techniques of management and analysis of information in QDA to
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generate forensic intelligence.
5. The model of forensic intelligence Forensic intelligence is the knowledge that derives from data processing and information obtained from the examination of physical evidence in order to better understand the fact(s) of a crime. Forensic intelligence can potentially lead to objective and consistent (novel) information in a timely manner [5, 15]. The philosophy behind the shift towards a forensic intelligence model (scientific or technical) can be applied to all FSD. In varying degrees, all FSD should incorporate this concept to better comprehend
ACCEPTED MANUSCRIPT criminal events and actions, beyond the standpoint of a single criminal case. The goal is to build institutional mechanisms to prevent and combat crime from a forensic science approach.
In this paper we propose a new model that aims to redirect efforts in order to generate more useful intelligence. The knowledge developed in each discipline will create new operational possibilities, establish new standards, and provide additional probative information. This will lead to a profound
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transformation of the mode of operation within each discipline. The proposed model aims to generate knowledge, by promoting an interdisciplinary approach to gathering
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physical evidence data in order to facilitate enhanced forensic science-based intelligence. This necessitates collaborations among FSD where various sciences converge, interact and learn from each
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other and is the keystone to improve the effectiveness, efficiency and quality of the product to be
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delivered.
In order to demonstrate the application of the model, the stages shown (described below) are structured in line with the objective of creating operational strategies against organized crime, applied to QDA. Within
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the context of QDA, the model is described specifically as the falsification model. This has been designed to ease the collection and evaluation of data/information and the subsequent dissemination of the
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knowledge generated through suitable coordination channels.
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DISCUSSION
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1. Forensic intelligence in law enforcement systems
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The 2012 European Police Chiefs Convention at EUROPOL held in The Hague (Netherlands) highlighted the existing concern to strengthen intelligence in the structure of police organizations. In this regard, the implementation of police techniques to develop intelligence at European level was discussed5 . At the 2012 European Conference of INTERPOL held in Tel Aviv (Israel) it was stated that "to determine and address future dangers linked to crime, it is essential to develop innovative solutions that are based on past experiences". It is relevant to mention the words of the President of Interpol: "The criminal gangs now have the impression that transnational crime and cybercrime are far more beneficial and profitable than other riskier forms of making money".6 It is obvious that international crime and the need for more 5 6
www.europol.europa.eu www.interpol.int
ACCEPTED MANUSCRIPT forensic intelligence are getting attention from global authorities and that the international crime is in the agenda of the (forensic) community beyond national borders. Lastly, recent terrorist attacks in Europe and around the world have demonstrated that members of criminal networks can move quite freely across borders without being detected (e.g. common authorships of the Paris terrorist attacks in November 2015 and Brussels bombings in March 2016), confirming the inefficiency of current border control systems and
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intelligence.
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Law enforcement agencies are mainly structured depending on their extension of territory and the size of population they serve. These are fully qualified to fight organized/international crime and, therefore, can
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also gather useful data that can become information after proper processing. Currently, the development of intelligence in the various police forces is dealt with different analytical perspectives and by different
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specialized units, although its exploitation mainly occurs by groups/units of data analysis. This shows how disperse the gathering of forensic intelligence can be and how slow the flow (or sharing) of
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information can be when different protocols are used.
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2. Falsification networks: structure and functions
Organized criminal activities are often undetected and uncontrolled by authorities and are invisible to the
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society where they establish. Their transnational nature, global connections and high specialization of their members hamper the fight against these groups. In order for governments to be efficient in fighting
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international crime, it is necessary to find common links that relate these criminal groups. These
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connections will allow authorities to focus on logistic advances for their neutralization.
Criminal organizations need to move their members, as well as their victims and products, between the various countries where they operate. This circumstance forces them to forge (counterfeit or alter) legal
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identity documentation and/or other travel credentials. Thus, the (unique) type of forgery employed by each criminal group is presented here as one of the links between these groups that can be used to identify an entire criminal network. This is a practical application of document falsification as nexus between groups of organized crime.
Criminal organizations of first order (Diagram 1) have the necessary infrastructure to produce, customize and distribute false documents to the various criminals present in every country where they operate. For example, criminal organizations devoted to terrorism, and drug or human trafficking, depend on
ACCEPTED MANUSCRIPT counterfeiting and altering documents to circumvent authorities. This can be achieved by simulating legal travel and/or lawful stays in the country of origin or destination, identity theft and, in many occasions, creating a new fraudulent identity. We illustrate in Diagram 1 the structure and functions of these criminal organizations, including document manufacturers, networks of transnational distribution and document manipulators and
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customizers (local distributors). In more detail, we distinguish the following components within the
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criminal network:
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(DIAGRAM 1)
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a) Document manufacturers
Dedicated to producing essential parts of the document (e.g. paper, plastics, etc.), specialized equipment
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and/or laboratory instruments to facilitate the simulation of security features contained in legal documents. These materials are distributed within the same network or sold as a product to different
b) Networks of transnational distribution
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criminal organizations of third order (paragraph "c" below).
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Deliver falsified (non-personalized or blank) documentation to different criminal groups. These can be integrated within a larger organization or operate independently. They supply documents and other
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materials to what is known as organized crime of second order, which is usually restricted to one single
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country.
c) Document manipulators and personalization
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Distribute documents at a national level to local criminal groups scattered in the territory. These groups can have laboratories where documents are assembled and customized (personalization) for each member of the organization and their victims. d) Local distributors These are the final executors of the criminal act. They use the fraudulent documents to facilitate and conduct their illegal activities. These groups can belong to the same international organization or be the customers of any of the services provided by larger organized criminal networks.
ACCEPTED MANUSCRIPT 3. Questioned document analysis and the falsification model QDA units are responsible for, among other tasks, the technical examination of documents seized by law enforcement and/or the judiciary. The use of adequate laboratory equipment and forensic expertise allows QDA units to 1) analyze and determine security features present in legal documents; 2) detect printing systems and impression tools; 3) reveal alterations, additions, deletions or other types of manipulations of
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the genuine document as issued by the authorities, among the most relevant duties. Intelligence on document falsification focuses on specific criminal activities that involves forged
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documents of interest for investigators because of their criminal nature, scale, impact, threat or (social) consequences. Establishing genuineness or non-genuineness of a document is essential from a legal
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standpoint to fight illegal activities. From the perspective of fighting organized crime, and in application of the crime intelligence development policies, it is also crucial to obtain additional technical information
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that is extracted by forensic experts.
The falsification model results from detecting repetitive counterfeit patterns in the document’s (forged)
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security features which have been altered or copied, as well as the printing systems employed. The detected patterns generate (forensic) intelligence on falsification. The basic premise for generating
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forensic intelligence involves the seizure of documents and subsequent technical and scientific analysis in specialized laboratories. For example, the application of this model (basic level) to a single criminal case
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may potentially relate a crime with apparently unrelated suspects and other falsified documentation. This model provides investigators with a connection driven by forged documents. It can build new interactions
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between suspects who would be otherwise unrelated following conventional investigative procedures.
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RESULTS
1. The falsification model workflow The model consists of three different levels of application depending on the professionals involved:
The basic model
It includes seven consecutive stages involving QDA experts whose objective is to generate forensic
ACCEPTED MANUSCRIPT knowledge for the application in criminal (or investigation) intelligence, as shown in Diagram 2. The main stages include the following:
1) Seizure of questioned documents Documents presumed falsified must be searched and seized by law enforcement following all legal standards, including records of the property confiscated. Once in possession of the police, these
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documents will be handed over to specialized QDA units that will proceed with the analysis. 2) Specialized screening of documents
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The selection of (presumed falsified) documents to study is based on the type of information that needs to be collected, and on the type of forensic knowledge and intelligence that needs to be generated. The
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identify relevant documents for their examination.
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screening will be exclusively conducted by QDA units following scientific and technical criteria and will
3) Coding of falsification models
The information generated (i.e. from the study of documents) should be properly examined and coded to
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be able to establish the necessary interactions between different codes and criminal cases, these actions are contemplated in the second level (Diagram 3). At this stage we observe two different actions:
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a) Preparation of technical reports
These are prepared in all instances, for documents that do not contain any feature prone to coding
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and for cases where documents are fully coded that could potentially generate intelligence. b) Coding falsified/manipulated documents
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Guidelines for coding falsification models are strictly followed. These technical procedures describe the coding process that must be applied only to documents of interest, completing the
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first stage of the system which results in the collection of data.
4) Database feed
Data feed is a mechanism for users to receive, store and classify updated data from data sources. In this case, QDA experts are responsible for entering the appropriate data and making them available to others. Keeping databases updated and complete in real-time applications eases and expedites the subsequent task of linking crimes.
5) Specialized analysis of data Is the process of evaluating, selecting, transforming, and modeling data using analytical and logical
ACCEPTED MANUSCRIPT reasoning with the goal of discovering useful information, suggesting conclusions, and supporting decision-making. It is conducted by QDA experts. Once relationships between documents have been established we have generated knowledge that must be in turn transferred to the criminal investigation and data analysis units. These units will integrate it into their systems and generate criminal intelligence at the end of the process.
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6) Counterfeiting/Falsification intelligence
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The matured information develops into intelligence as result of cross-referencing codes and establishing connections between falsified documents. Ultimately, it will result in the identification of the criminal
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activity and the illegal strategies of a criminal network.
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7) Investigation intelligence
This is the last stage of the process when knowledge is transferred to the relevant petitioners. In parallel,
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other information of scientific and non-scientific nature is added to the package. The collection of processed data by other forensic disciplines (i.e. drug analysis, DNA analysis, etc.) becomes the basis of
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the interdisciplinary collaboration and generation of criminal intelligence.
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(DIAGRAM 2)
Interactions of the basic model can occur at two levels, named as the simple and the compound interaction
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models. At these levels, scientific, technical and forensic (criminal) intelligence are generated.
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The simple interaction model
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It involves the crime investigation, crime analysis and QDA units within the same agency, in accordance with their central and regional organization, as shown in Diagram 3.
(DIAGRAM 3) The compound model It describes the interaction that takes place between different law enforcement agencies and laboratories. It promotes the transfer of information through national forensic networks, such as the Network of Official Forensic Laboratories of Spain (RLFOE) which involves Spanish national and regional police
ACCEPTED MANUSCRIPT forces (Diagram 4). In this case, the interaction of internally generated intelligence between investigation units from various police organizations is shown, as well as how a particular criminal case can be linked with other investigations through a forensic network.
(DIAGRAM 4)
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2. The practical application of the falsification model The application of this type of forensic intelligence in policing can, firstly, solve a specific crime where
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false documents were seized; secondly, it may establish relations between cases that are apparently unrelated; and, finally, may generate forensic knowledge on the operation of criminal organizations,
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specifically the modus operandi of illegal laboratories dedicated to counterfeiting and personalization of
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documents.
The selection and screening of documents of interest is an important point in the process of data collection and generation of information. This step is essential for optimal results because the wrong
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choice of documents will produce negative effects in the document coding and, consequently, the data input, search and comparisons. Therefore, it is recommended this step to be performed by QDA experts
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who are familiar with the coding system and comparisons. QDA experts can also discriminate those
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documents that could be redundant or unnecessary, shortening the process of generating intelligence. In the proposed intelligence model, coding every (forged) feature becomes the engine generator of
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information and the necessary basis for analysis. Coding is the process to assign an alphanumeric identifier linked to specific security elements present in the documents and the respective printing systems
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employed. The selected alphanumeric codes should be as specific as possible to allow for unique case identifiers but sufficiently general to permit case association. That is, more detailed and specific codes, will result in more complex comparisons that may impede the detection of patterns, thus hindering the generation of knowledge or intelligence.
The generation of new knowledge under the model derives from the management and analysis of information systems. These systems detect interactions between criminal cases that share documents with common codes patterns. Once relationships are established and knowledge is generated, this new information must interact with data obtained from the criminal investigation and analysis units. This collaboration will increase the efficiency in crime prevention and crime solving for which this system is
ACCEPTED MANUSCRIPT designed. Communication and dissemination of the generated knowledge must then reach all those crime units that require it for the fulfillment of their investigative tasks. This is the moment when forensic intelligence becomes a real operating tool with tangible and practical applications towards a criminal investigation in daily police activity. The main purpose of the system is to identify and dismantle 1) networks of organized crime and 2) the distribution of counterfeits and their laboratories. The practical application of forensic intelligence generated by common patterns of document forgeries is then
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demonstrated.
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3. Current forensic networks available to police agencies
A forensic network is essential to transfer technical information, but even more so when that information
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becomes knowledge in the form of intelligence. Currently, there exists a number of forensic networks whose function is to share the information generated; however, these networks do not always perform
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efficiently. The flow of information between police agencies allows the interconnection and resolution of criminal cases through the identification and definition of the falsification model. In Spain, there is the RLFOE (Network of Official Forensic Laboratories of Spain) which include various police agencies and
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other forensic-related institutions. RLFOE operate nationwide and is used as an instrument for
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coordination, standardization and dissemination.
From a European perspective, ENFSI (European Network of Forensic Science Institutes) represents a
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network of forensic laboratories whose mission is to share knowledge, exchange experiences, and the standardization of forensic science procedures. It is composed of 64 laboratories that belong to 36
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countries, including Spain, as of 2015. Other international entities include ASCLD (The American Society of Crime Laboratory Directors), AICEF (Latin American Academy of Criminalistics and
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Forensic Studies), AFSN (Asian Forensic Sciences, Network) and SMANZ (The Senior Managers of Australian and New Zealand Forensic Laboratories), and, from a more global perspective, IFSA (International Forensic Strategic Alliance).
4. Practical results of the model The proposed method is flexible and dependent on how its components are related, so if one component is added or modified we would expect its operation to vary. Its functionality is based on the relationship of its elements where the result is better than the sum of its individual parts. The likelihood of obtaining relevant forensic knowledge increases as the system expands with additional data and information. The
ACCEPTED MANUSCRIPT outcome is expected to be useful for 1) solving ordinary and organized crimes and 2) generating the necessary intelligence to be able to relate unconnected events. In addition, it should generate relevant knowledge to define new police strategies to combat these criminal organizations. The implementation of this project of intelligence has already been successful at a regional level (Catalonia) in its initial phase, conducted by the Policia de la Generalitat – Mossos d’Esquadra. It is now
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time to consider its extension to the second stage mentioned earlier, i.e. on a national level and
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coordinated by all police forces, especially in the field of forensic science. Regarding global risks, Jaume Cubert7 stated "Yet, despite the skepticism and misrepresentations, in front of the breadth and depth of
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global risks (ecological, economic, social), hereinafter nothing that occurs will be locally confined (all risks are global risks), and in return, every local risk is also the result of the situation of mankind”. The
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current project on falsification intelligence adheres to this postulate, and its practical application could be taken one step further to a transnational level. The interaction police agencies from multiple countries can
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contribute to the project and place it in an international context. In order to integrate more knowledge into the system, the coordination between (international) law enforcement agencies must be based on the interaction and exchange of knowledge. This will generate more criminal intelligence and better and more
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accurate tools will be developed to fight against organized crime.
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CONCLUSIONS
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The proposed falsification intelligence model arose from the request of a criminal investigation unit with the need to gather information on counterfeited payment documents belonging to an alleged criminal
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group. Despite that fact that the intelligence data very specific to that criminal case, we achieved the
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expected results by implementing the coding guidelines8 . In practice, our team was successful in dismantling a criminal group dedicated to forging foreign transport documents established in different regions of Spain. Investigators needed probative evidence to relate the suspects with false documents in order to expose and dismantle the operating criminal network. The application of the falsification model contributed significantly in solving the case. Subsequent to this case, the request for technical collaboration of forensic intelligence applied to questioned documents analysis has grown continuously in our laboratory.
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Jaume Curbet i Hereu, page 22, Revista Catalana de Seguretat Pública, ISPC, M ay 2011. Specialized procedures that provide instructions and technical details for encoding questioned documents.
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The model presented is not intended to be a panacea to the complex and difficult problem of fighting global organized crime but is intended as an additional tool for criminal investigations. The application of the model discussed can also be applied to other legal documents, such as bank notes, forged checks, and visas, among others. Furthermore, forensic knowledge generated by this method can be applied to various fields, including the research, analysis, and approaches to combat terrorism. Finally, this article is an
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attempt to describe a model for the generation of forensic intelligence from a strictly scientific and
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fundamental tool against crime that will lead to the social justice.
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practical perspective that, together with other models from other scientific disciplines, will become a
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ACCEPTED MANUSCRIPT Acknowledgments
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We would like to thank Mr. Joan Guinovart i Gracia who made this project possible.
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ACCEPTED MANUSCRIPT Highlights
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Criminals use forged documents to commit illegal cross-border activities. Law enforcement can target international activities to identify and relate criminal groups. Questioned Document Analysis can be used to link criminal groups by creating forensic intelligence. A methodology is presented to help develop forensic intelligence based on counterfeit documents.
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