Print Process Identification for Forensic Document Examiners

Rochester Institute of Technology

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Theses

Thesis/Dissertation Collections

2006

Print Process Identification for Forensic Document

Examiners

Roxanne Stevens

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Recommended Citation

Print Process Identification for Forensic Document Examiners

By

RoxanneStevens

Athesissubmittedinpartialfulfillmentofthe

requirementsforthedegreeofMasterofScience inthe

SchoolofPrint Media inthe

Collegeof

Imaging

ArtsandSciencesofthe

Rochester Instituteof

Technology

May

2006

Thesis Advisor: ScottWilliams

School of Printing Media

Rochester Institute of Technology

Rochester, New York

Certificate of Approval

Master's Thesis

This is to certify that the Master's Thesis of

Roxanne Stevens

has been approved by the Thesis Committee as satisfactory

for the thesis requirement for the Master of Science degree

at the convocation of

May 2006

Thesis Committee:

Scott Williams

Primary Thesis Advisor

Michael Riordan

Secondary Thesis Advisor

Twyla Cummings

Graduate Thesis Coordinator

Twyla Cummings

Graduate Program Coordinator

Illegible Signature

PermissiontoReproduce Thesis

Print Process Identification for Forensic Document Examiners

I,Roxanne

Stevens,

hereby

grant permissionto theWallace Memorial

Library

ofRIT

toreproduce_mythesisinwhole orinpart.

Any

reproduction will notbeforcommercial

use or profit.

Acknowledgements

Thecompletion ofthis thesiswould nothave beenpossiblewithoutthe

help

of_my

family,

friends andtheRIT

Faculty

andStaff.

Iwouldliketo thank_mygoodfriendandstudentadvisorLana

Dolinskiy,

who was one

of_mybiggestsupporters and_cheeringsquad.Her_{encouragement,}patience and_many

hoursspent with meinthe

library

contributed_greatlyto thecompletion ofthis thesis.

Iwouldalsoliketo thank themembersof_{mythesis committee,}ProfessorScott

Williams,

Professor Twyla CummingsandProfessor Michael

Riordan,

fortheirguidance and

support. Specialthanks toProfessor Michael RiordanwhomIfeltwentabove andbeyond

his

duty

as a

faculty

member andthesisadvisor. Withouthisexceptional guidance and

adviceIwould neverhavebeenabletocomplete this thesis.

In

doing

researchforthis thesis thereare several people whohelpedme greatly.These

people areMilton

Pearson,

Bill

Pope,

Ken

Posman,

BarbaraGiordano andJohn Eldridge.

Theirexpertisewas invaluable. Iwould alsoliketo thank the staff atPALfor

helping

me

printthe targetandJared

Schott,

Arlene Stevens andKristina Dunoskiwhotookvaluable

time toproofread_mythesis and_supplyadvice.

Mostof allIwouldliketo thank_mymotherVivianwhohas supportedmeinall of_my

decisionsthroughout_myentirelife. Shehas made great sacrificesinorderfor mysister

andItopursue ourdreams.I loveyoumom.

TableofContents

ListofFigures vi

ListofTables vii

Abstract viii

Chapter 1: Introduction 1

a. StatementoftheProblem 1

b. BackgroundandSignificance 1

c. Reasons for Interest 2

Chapter 2: Literature Review 3

1.

Counterfeiting

and

Forgery

3

a.The CauseandFacilitationof

Counterfeiting

3

b.The DamageandImpactof

Counterfeiting

5

c. EffortstoReducetheEaseof

Counterfeiting

7

d. Limitationsto the

Technology

8

2. The RoleoftheForensic Document Examiner 9

3. The

Printing

Processes andCharacteristics 11

a. Offset

Lithography

12

b.Digital

Printing

13

i. Electro photography 13

ii. Inkjet 15

iii. Thermal Transfer Dye Sublimation 16

4.

Summary

17

Chapter 3: Research Statement 18

Chapter4:

Methodology

19

1. Introductionand

Methodology

19

2. Target DesignandAnalysis 19

3. Methodology: SequenceofEvents 27

4. Print Device Specifications 33

Chapter5: Results 37

1. Observer Population Statistics 37

2.

Survey

Results 37

a.

Frequency

oftheResults 41

b. ConfidenceLevel 42

c.BreakdownofResults

by

Sample 43

d. MostandLeast Helpful ElementsasDescribed

by

the

Observers 45

Chapter 6:

Summary

andConclusions 47

Chapter 7: Recommendations for Further Investigation 51

Bibliography

53

ListofFigures

Figure 1:

Marking

Engine Characterization Target 21

Figure2: RIT Alpha Numeric Test Patch 22

Figure3:FourColor Offset 23

Figure4: PositiveandNegative Micro Lines 24

Figure 5:Radialgradient without

banding

25

Figure 6: Radialgradient with

banding

25

Figure 7: Single character printed withblacktoner 26

Figure8: Micro

Printing

27

Figure9: The Press Run Organizer 30

Figure 10:

Survey

Results 40

Figure 1 1:

Frequency

ofScore 41

Figure 12: ComparisonofConfidence Levels 42

Figure 13:

Frequency

ofCorrect Answer

by

Sample 43

ListofTables

Table 1:

Survey

Results 39

Table 2:

Frequency

ofIncorrect Answers

by

Sample 44

Table 3:Comparison ofMostandLeast Helpful ElementstoOverall Score 45

Abstract

Theadvent ofcurrentdigitalprint

technology

hasresultedinadrasticincrease inthe

accessibilityof_{counterfeiting currency}and securedocuments. Inresponse,organizations

such asthe

CIA,

Secret ServiceandFBImust_continuallytrainandeducatetheir

employeesand staff.Tomeetthe

increasing

demandsof_{these groups, the}Rochester

Institute of

Technology

has developedthe

Marking

EngineCharacterization

(MEC)

target to trainand assistforensic documentexaminersin

identifying

print processes.

The MECtarget's effectivenessin

identifying

print processes wastested

by

printingthe targeton a_varietyof_markingengines and processes.These markingengines

included:

Heidelberg

Speedmaster 74

-Offset

Lithography

Nexpress2100

-Dry

electro-photographic process

Xerox DocuColor6060

-Tonerbasedelectro-photographicprocess

Indigo3000

-Liquidinkelectro-photographic process

FujiPictroproof-_{Silverhalidephotographic process}

Iris Realist FX 5015

-Continuous inkjetprocess

Epson9600

-Piezobased inkjetprocess

Kodak Approval NX- Thermal

dye sublimation

The substrate used

during

the_studywaslimitedto 100# Titanglosstodecrease

variability,

however,

theFuji

Pictroproof,

Epson9600andIris Realist FX 5015 arenot

compatiblewith otherbrandsof stock and usedthe

following

stocks:Fuji Pictroproof

Matte

Paper,

Epson Premium Gloss Photo PaperandIris Realist Inkjet Gloss Paper.

SWOP specificationswere used asbenchmarksettingsfor CMYKandthe specific

settingsof each_markingengineswasdocumented usingthePress Run Organizer.

Thirty-sixMECtargetswere printed per_markingengineand_visuallyevaluatedtoensurethe

markingengines were consistent.A groupof samples were selected and evaluated

by

13

observerswho were participantsintheForensic Document Examiners Seminarheldat

RITonNovember

18,

2005.

Theresults oftheobservation_{group lead}toseveral conclusions.

Firstly,

theMEC

targetisnot effectivein

helping

forensicdocumentexaminers

identify

print processes.

Secondly,

the attendees ofthe seminardidnothaveenough experiencein digital

processes todistinguishbetweenthem.

Thirdly,

the experience_amongtheuser_{group is}

varied.

Fourthly,

observers used_manyaspects ofthe targetsuch as substrate andinkto

determinetheprocess.

Finally,

that thereisno_{relationship between}theobservation

group's confidenceleveland acorrectorincorrectanswer.

Chapter 1

Introduction

StatementoftheProblem

In_{the past,counterfeiting}wasleftto the_artisticallyand_{creatively gifted;}each

counterfeiter a craftsmaninthe art of reproduction.Afalse documentcouldtakea

painstakingamount of_energy, resources andtime tocreate.

Today

the sametaskcould

takeafractionofthe timeandfarlessskill

(Gillen,

2004). "Itusedtobethatyouhadno

choicebuttogotoa printerforwhat you can_{easily do}on ahome computer today"

says

Bob

Puleo,

president ofGlobe TicketandLabel

(Selingo,

2004).

Advancements in printingtechnologieshavemade_{counterfeiting comparatively}

effortless andinexpensive.Technologiessuchashome_printers,color copiers and

scanners make_{counterfeiting}a_cheapand portable crime. Documents suchas _currency,

identification

documents,

checks,

bonds,

ticketsand even product_packagingare now

subjecttoincreasedcounterfeiting.Thedamageis

devastating

_costingeconomiesbillions

ofdollars thatresultsinthelossofjobsand eventhelossofhumanlife.

BackgroundandSignificance

organizationsoffer continuous

training

to theiremployeesto

help

thembetter

identify

counterfeitdocuments.Inresponseto this

demand,

other organizations now offer

training

inForensic Document Identification. The RIT Print

Industry

Centeris_amongthese

organizations andoffersthe

Printing

Process Identification for Forensic Document

ExaminersSeminartwiceayear.

Along

witha series of guestspeakers,hands-on

activitiesandinformative

lectures,

theRITattendees also receiveapacket ofinformation

coveringall lecturesand a set of print samplesfroma_varietyof printprocesses.

Theresearcher_alongwithMilton PearsonandBill Popedevelopedatest target

calledthe

Marking

EngineCharacterizationtargetthatserves as a

training

tooltobeused

intheForensic Document Examiners Seminar. Thisthesis tested theMECtarget's_ability

to

help

Forensic Document Examiners

identify

print processes.

Reasons for Interest

Thoughadvancements and achievementsthathave beenmadeinthe

Printing Industry

have hada_generallypositive effectintheworld, thereisalso a negative effect.

Currently,

thereisa worldepidemic of counterfeiters who usetheseadvancements inprint

technology

for illegalintentions.Thedamagecaused

by

the_{illegal counterfeiting}

industry

affects_everyaspect ofsociety. Privatecompanies and government

organizations fromall overtheworld must spendtimeand resources

battling

this

criminal element. Thisisanissuethatrequires constant attention

today

and even more so

Chapter 2

Literature Review

Counterfeiting

and

Forgery

The CauseandFacilitation of

Counterfeiting

Therearethreedramaticandimportant keystoneswithinthe

Printing

Industry

thathave

acceleratedtheact of_{counterfeiting}andforgery:theadventofthefirstphotocopierin

1963

by

Xerox,

theintroductionofthefirst bubble jetprinter

by

Canonin 1985andthe

wide spread use of computersinthemid 1990s. The easeand_availabilityof_computers,

inexpensiveprinters and software packages(driven

by

theconsumer_{market) have}made

it easy forthecounterfeiter(Lamer &

King,

2004). The

following

excerptfroman article

in The Boston Globe illustratestheabove statement:

TwoChelmsford High Schoolstudents were arrested_{yesterday for allegedly}

printingcounterfeit

bills,

police said. Ricardo J.

Morales, 17,

wascharged with

possession of counterfeit_moneyand_{manufacturing}money.Asecond_student, a

15-year-oldmale was charged with possession of counterfeit money.Chelmsford

police _alongwiththeSecret Serviceare

trying

todetermine how_manybillswere

Itis clearthat

technology

hasreachedthepoint where

high-quality

copiers and

printersare capable of_producingadequatelook-alikes

(Selingo,

2004). The factis

counterfeitingisenabled

by

today's inexpensivescanners, colorprinters and_easytouse

publishing software

(Selingo,

2004). Withinthelast 10years,anincrease intherise of

counterfeitingincertain sectors hasgrown400%intheUSalone, accounting foran

estimated 10%of worldtrade

during

2005 and2006. Thisincrease has beenaided

by

the

advancements_{in high quality home printing}capabilities

(Printing

World,

2004;

Llewellyn,

2004). Governmentagencieshavealsoindicated

increasing

threatsoffraud

and counterfeit_currency

(Sparshott, 2004; Brooke,

2004).

The availabilityof

technology

is _onlyone ofthe_{factors contributing}to the

increase incounterfeiting.

Counterfeiting

typically

has

irresistibly

largeprofit_margins,as

it is relatively easytomanufacture afakeproduct and

typically

requires_verylittle

advance capital

(Sparshott,

2004). Thisis becausecounterfeiters are not subjectto the

same_safetyand_qualitystandards astheoriginal manufacturer

-often_{resulting in}

shoddilymadeproducts

(Foster,

2004).

The developmentoftheInternetas a commercetoolhasalso caused

counterfeitingto

flourish;

dueto the ease of_sellingand

distributing

counterfeit

items,

more ofthese itemsare

being

purchasedovertheInternet

(Roberts,

2004). Whateverthe

counterfeititem_may

be,

consumers oftenfind it difficulttodistinguish it fromthe

The DamageandImpact of

Counterfeiting

Mostpeople wouldbe surprisedtoknowthat_{counterfeiting}isnotlimitedto

currencyandfakeCDs.

Counterfeiting

is_growinginscope and_severity no product

categoryissafe

(Sparshott,

2004). Bob

Puleo,

PresidentofGlobe TicketandLabelstates,

"Technology

makesiteasiertoproduce_{credible-looking}counterfeits acrossthe

boards,

from moneytotickets"

(Selingo,

2004). Authorities have discovered illegalcopies of

software, music, movies,car_{parts, clothes,}facecream, washingpowder,prescription

drugs,

designersunglasses, cigarettes and photocopiertoner_amongothergoods

(Foster,

2004; Sparshott,

2004). Sincethepurpose of_{counterfeiting}isto

deceive,

typically

brand

names of reputed companies are placed onthe_packagingoffraudulentproducts

(Sparshott,

2004).

Thedamagecaused

by

_{counterfeiting}is immeasurable. Economic damagecaused

by

themillions ofdollarsworth offake_currency,checks,credit cards andintellectual

property rightsviolations.

Security

threatsfrom false identification- the threat_of

terrorismalonehasbroughtunprecedented attentionto theproblem ofinsecure

documents (Larner &

King,

2004)

as well asthelossofhuman lifefromthe_growing

market of counterfeit prescriptiondrugsandhealthcareproducts

(Foster,

2004).

Itisestimatedthat_{intellectual property}crimesdrainan estimated $200- $250

billion fromtheUS economy,resulting inthelossof750,000American jobs anditisnot

limitedto theUnitedStates alone

(Sparshott,

2004). "Thesecriminalsare a global

problem,"

Commerce

(Sparshott,

2004).

Theeffectsof_{counterfeiting}are notlimited_{to countries;}

they

also affect

big

businessandindividuals.The

Identify

Theft Resource Centerhasreportedthat the

number of

identity

theftcaseshas increased80%overthepast_year,withmorethanseven

millionpeople_reportingcasesnationwide (Larner &

King,

2004). This

is,

of_course,

facilitated

by

theincrease_{in printing}technologiesusedto_copy

identity

documents,

such

asdrivers'

licenses,

passports,birth certificates and social_securitycards. Thereisa close

relationship between individuallosses and corporatelosses.

According

to a recent

investigation

by

Meridian

Research,

thefinancialinstitutionsector willlose$8billionto

identity

theft

by

2006 (Larner &

King,

2004).

Becausecounterfeiters can now_easilycounterfeit_packagingand

labels,

the

number of counterfeit productsisontherise.As indicated

by

_{the research,}most

counterfeitershave little or no concern over who getstheirproducts or who could

potentiallygethurtorkilled

by

theirproducts and actions. Thissentimentis beststated

by

GrahamVenn, headofNorth Yorkshire's

trading

standards

team,

"Cornersare cutin

producing copyproducts, which means

they

will not_onlybesub-standard,but mayalso

beunsafe or eveninsomecasesdangerous forexample powertoolswhichhave both

electronic and mechanical

failings"

(Foster,

2004).

Themostobviousimpactsof_{counterfeiting}are_monetaryand_physical;

however,

thereare other seriousissuesthatarise. Asstated

by

MilesSouthworth in his book

Quality

separatesoneproductorservicefromanother, one_{company from}

another. _{It really}isanimagethat theconsumerperceives aboutboththeproduct

andthecompany.

Therefore,

it is_{extremely important}tocommunicatethat the

product andthe_companyare ofthe_{highest quality}level...Customers

keep

a

company inbusiness.The customerdeterminestheperceived_qualityneedfora

product.Thenthecustomer expectstoreceivethisstandard as a minimum

acceptancelevel fortheproduct

(Southworth,

1989).

Oftenwhenacounterfeit item is_used,it is

discovered;

howeversomeconsumers

donotdiscover

they

havea counterfeititem. To

illegally

attach abrandnametoalower

qualityproducthurtsthebrandcompany'simageand_{qualityperception,resulting in}the

lossofcustomers and repeatbuyers.

EffortstoReducethe_{Ease of}

Counterfeiting

Agreatdealof resourceshavebeenallocatedto thwartcounterfeiters andto

identify

weaknessesin

documents,

which are assumedtobesecure. Thisefforthas

yieldedimprovements in security printing technologies,as well ashowthoseparticular

documents aredesigned. This informationand

technology

isutilized

by

bothgovernment

agencies and privatebusinesses. For_{example, the}FDAnow encourages pharmaceutical

manufacturerstoinclude_{radio-frequency identification}tags intheir_packagingwhile

ticketmakers are_addingmore_securityfeaturesto thephysicalticket tohalt

2004; Selingo,

2004). Governmentagencies such astheUS Mint are now_updatingthe

securityfeatureson_currency,oneofthenewerfeatures

being

the_printingof"The United

StatesofAmerica"in scanner-defyingletters_alongtheedge ofPresidentGrant'scollar

(Peterson,

2004).

The primaryrole ofthe_securityprinteristoproducedocumentsthataredifficult

tocounterfeit andalter,as well as provide_consistencywithintheirsecure documents

(Larner &

King,

_{2004). Private security printing}companieshavetakenresearch

informationanddevelopedtechnologies thatmake itmoredifficulttoduplicate

items,

such as micro-optic filmsand scanner securedocuments

(Anonymous,

2004).

However,

even with all ofthecurrent

technology,

thereisstill no guaranteethata

documentcannotbe duplicated. There has notbeena singular_{security feature}thatcan

protect an entiredocument

(Sparshott,

2004). Securedocumentcreators must utilize as

manycomponents as possible

design,

_{manufacturingprocess,}paper, andink to

reducethelikelihoodofthedocument

being

counterfeited

(Sparshott,

2004).

Limitationsto the

Technology

Eventhoughnewtechnologies are_constantly

being

_created,counterfeitershave

always managedtoworkaroundtheadvancements. For_{example, technologies}suchas

barcodes andhologramshave been_easilyduplicated

(Printing

World, 2004; Selingo,

2004). Nomatterhow_{many security features}are implementedwithinthe

document,

the

jobof

identifying

a counterfeitis

inevitably

lefttoa_person,nottechnology.Ifthat

security

features,

thenall_{anti-counterfeiting}

technology

isrendered useless

(Printing

World,

2004). Theresult

being

that themost sought afterdocuments arethose thatbear

themost_securityand arethus theleastchallenged when encountered(Larner &

King,

2004). Tocounter

this,

_securityprinters are

trying

toofferadetectionsystem, as well as

thesecuredocument

(Peterson,

2004). Businessesand government organizations are

offeringtheiremployees

training

and educationin howto

identify

fraudulentdocuments.

The RoleoftheForensic Document Examiner

Thedilemmaof

identifying

counterfeit merchandiseis

typically

left upto

governmentagenciessuch asthe

CIA, FBI,

andtheUS Secret Service. EventheUS

Customs andBorder Protection

Agency

are_seizingcounterfeit goods at ourborders

(Printing

World,

2004). Trainedprofessionals withintheseorganizations,knownas

forensic documentexaminers, aretrained toinspectand

identify

counterfeit printed

items. With

technology

_movingat such a rapidpace,

they

must_stayupdated and educated

inorderforthem tobe betterableto

identify

fraudulent documents.Dueto thisneed,

manyorganizations now offer seminars andconferences toeducate forensicdocument

examiners. The RochesterInstituteof

Technology

isone oftheseorganizationsthatoffer

suchtraining.Twicea yearthe

Printing Industry

CenteratRIToffers aPrint Process

Identification for Forensic Document Examiners Seminar. Atthis seminar,forensic

documentexaminers fromaroundthe_countryand acrosstheworld attendtoleam

moreabout_{security printing}and print processesinrelationtocounterfeiting.

following

critical questions:

Whoproducedthedocument?

Howwasitproduced(typeof

ink,

_{paper,printing}

device,

_printingprocess)?

Whatisthe age ofthedocument?

By

answeringthesequestions, forensic documentexaminers can provideinvestigative

leads,

linksand courtroom

testimony

(Larner &

King, 2004),

as well asdeterminethe

authenticityofthe

document,

establishthe origin and

identify

thedifferencesbetweenthe

counterfeit andtheoriginal.This informationcanthenbeusedto_{improve existing}

technologies

(Pearson,

2004). Peoplemustbe ableto

identify

thedocument'svulnerable

areas andknowtheverification environment

(Sparshott,

2004).

As stated_earlier,forensic documentexaminers must_constantly

keep

abreast ofthe

latesttechnologies. _{The security features}thatmanufacturers placeintheirdocumentsare

allcomponentsthatdocumentexaminers mustbeableto

identify

to determinetheir

authenticity. Theseincludeovert componentdetection

(security

_threads,

fibers/planchettes,

watermarks,micro_printing,holographic

laminate,

_embossingraised

printing)and covert components (UV_printing,IR

Printing,

magnetic

information,

reacting

Inks,

barcodepatterns) (Larner &

King,

2004).

Otherthan

identifying

_printingprocesses,forensicdocumentexaminers must also

determine ifadocumentisan altered_genuine,

fraudulently

obtained_genuine, or a

counterfeit(Lamer&

King,

2004). Analtered genuine_usuallyhascluesastohowitwas

altered; erasure,

bleach,

scratched,sandblasting, alcohol,photo substitution or

Photoshop_{alterationstobothpictures and signatures (Lamer &}

King,

2004). A

common exampleofthiswouldbeadriver'slicensewherethepicturehas beentampered

with.

Fraudulently

obtainedgenuine documentsareharderto

distinguish,

though

they

typically

originate fromcounterfeitbreeder documents. Breeder documentsare

documentssuchasdriver'slicenses andbirth certificates.These documentscanbeused

toobtaingenuineidentificationdocuments inordertoperpetratefraud

(identity

theft)

or

establishafalseidentity. Counterfeit breeder documentsare

frequently

accepted as

authenticbecause

they

contain a wide_varietyof

formats,

designsand_securityfeatures.

Forexamplebirthcertificates exist with no standardization andinover1000 different

authorizedformats (Larner &

King

2004).

The

Printing

Processes andCharacteristics

Inordertobetterunderstandthepurposeand results ofthis_thesis,the

following

section

ontherelevant print processeshasbeenadded. Eachprocess producesanimage using

differenttechnologiesand_{mechanics, thus the}printsthemselves shouldhaveunavoidable

differencesthatare criticalin recognizingthespecific print process.

Offset

Lithography

Firstdeveloped in

1796,

lithography

hasgrowntobeone ofthemostimportant

and_commonlyused_printingprocesses

today

(Kipphan,

2001). The lithographicprocess

isa

"planographic"

process_meaningthat theimagearea and non-image area are located

onthe sameplane and maintainedthrougha chemical process

(Kipphan,

2001;

Pocket

Pal,

2004). Thischemical process isbasedontheprinciple_{that grease,} or_oil,and water

donot mix. The "offset"

inoffset

lithography

referstoanintermediate stepintroduced

betweentheplate

hitting

and_{the substrate,}whichisa

"blanket"

typically

madeofrubber.

Therubberblanketallows foracleaner sharper

image,

increasedlifespan of_{the plate,}

andallowsfor lithographicprocesstouse a wider_varietyof substrates.

Aftertheplateandblanket havebeen loadedontotheappropriatecylinders, the

dampening

rollersthatareincontact withtheplate_applyan even coat offountain

solution(aqueous

fluid)

to theplate.Thenthe

inking

rollers,which are alsoincontact

withtheplate, _{apply ink}to theplate

(greasy

substance).Theink is appliedto theimage

areas only.Thecylindersturnandtheimage isthen transferred

(offset)

to therubber

blanketandisthen againtransferred to thesubstrate

(Kipphan,

2001;

Pocket

Pal,

2004).

Key

Offset-Lithography

PrintCharacteristics:

1. Flatprinted product

-Thesubstrate shouldfeelasif it hasa uniform smoothness.

2. Uniform inkcoverage ofimagearea.

3. Smalltraces ofink may bevisibleinnon-_{imageareasduetoinkcontamination on}

theblanket.

4. Itispossibletouseoffset

lithography

on a_varietyofdifferentsubstrates and still

maintainaclearimage.

5. Cleanedges aroundtype.

6. Eachcolorinthelithographicprocess islaid downseparately;

therefore,

alldot

colorsshouldbevisible under magnification.

7. Registration

(placement)

of each colorbecomescritical.

8. Mostcolors are createdthrough theuseof_{accurately placing}

C, M,

YorKdots

overeachother.Customcolorscanbecreatedforthosecolorsthatcannotbe

achievedthrough_combining

C, M,

YandKdots (Lamer &

King,

2004).

Digital

Printing

Digital

imaging

technologiesare_relativelynew as

they

_relyon computer

technologies,

unlike

lithography

thatutilizes plates and pressuretoproduce animage. Digital printingtechnologies areconsideredplate-less and pressure-less_printing

methods; each cycle ofthe_printingenginetransfersafresh imageto thesubstrate.

Therefore,

the_{resulting image}can vary.

Many

different_{digital printing}technologieshaveemerged over_{the years,}

including: inkjet technologies,electrophotographic

(xerography)

laser,

color electronic

laser,

twoEPcolor_printing,

iconography,

_{magnetography, thermal}transfer,thermal transferdyesublimation and electro coagulation. Theprocesses relevantto this thesis include: electrophotography

(xerography),

thermal transferdyesublimationandinkjet.

Electrophotography

Thisprocessisalso_{commonly known}asXerography. Aphotoconductivedrum is

charged and_usingalightthatis

typically

generated

by

a

laser,

createstheimage. This

laser de-chargesthenon-image area onthedrumandtonerof an opposite chargeis then

appliedto thedrum. Thedrumrotates and placesthe tonerincontact withthepaper(with anintermediate carrierissometimes_used); an electrostatic chargeisthencreatedwhich

holdsthe tonerto thesubstrate.Thetonerand substrate arethensentthrougha

fixing

unit,whichusesheatorpressuretosecure the toner to the substrate

(Kipphan,

2001;

Pocket

Pal,

2004).Thisisonereason_whysubstrates _comingout ofadigitalprinter

arewarmto the touch. Thisalsolimitsthesubstrates availableto the_printingdevice due

tosome substrates_{possibly melting}withinthedeviceif heat isusedtosecure the toner.

Dry Tonervs. Liquid Toner

Asmentioned_above, electrophotographic processes usetoners toprintimages. There

aretwo differenttypesoftoners,each_{yielding slightly different}printcharacteristics;

dry

toners,which arethemost_common,andliquidtoners.Therearefourmaindifferences

between

dry

andliquidtoners

(Kipphan,

2001).

1. Particlesize

-Dry

tonerparticles arelarger insize(6- 20

um), liquidtoner

particles are smaller(<2um).

2. Inklayerthickness

-Dry

tonerinklayersarethicker(5-10um),liquidtoner

layers arethinner(1-3um);inklayerthicknessisrelativeto thesize ofthe

particles.

3. Tonercarriers

-Dry

tonerusesparticle carriersto_carrythe toner throughout the

processbeforemelting.Liquidtonersuse a carrierliquidforthisprocess.

4. Dueto thenature ofthe

toners,

each requiresdifferentprocesses for

fixing

the

toner to thesubstrate.Asmentioned_earlier,

dry

tonersrequire pressure orheat.

However,

liquidtonersrequire an_evaporatingprocess such as_pressure, heator

anchoringtoremovethecarrierliquid.

Key

Characteristics

of

Electrophotography:

1.

Typically

agranular appearanceis_visible.Each _color

(C, M, Y,

and

K)

is a

differentgranule.

2.

Stray

tonerparticles_maybevisibleinnon-image_areas; seen as color/black

speckles. Speckles_maybemorefrequentaroundtheedgesofimageareas and

text.

3. Sinceheat is_commonlyusedtosecure

toner,

tonerareas_mayappear"melted"or

slightlyglossy.

4. Substrates arelimited because of risk of melting.

5. Surfacearea shouldfeelasif it haduniform smoothness.

6. Particlesoftoner thatare not_properly fixedto thesubstrate_maycome off(Lamer

&

King,

2004).

Inkjet

Theinkjet_printingprocessisalso a_relativelynew process.

Basically,

theinkjet

head

directly

transferstheinkto thesubstrate. Thismakesinkjet differentfromthe two

previous_processes,asthere isnointermediatecarrier neededto"hold"theimage. Within

inkjettherearetwodistinctivesub-processes, continuous inkjetandpiezo

drop-on-demand inkjet.

Continuous inkjet technology

Thistypeofinkjet

technology

creates acontinuous stream ofink

droplets,

which

similarto

toner,

are charged_accordingtheimage. Chargedparticles arethenattractedto

the"gutter"andfed back into thesystem. Unchargedparticles are abletoreachthepaper

andcreateanimage

(Kipphan,

2001;

Pocket

Pal,

2004).

Piezo Drop-on-demand inkjettechnology

Drop-on-demandinkjet

technology

operates ontheconceptthateach

drop

is

specificallyproducedforthatimage.Inother_words, insteadof acontinuousflowofink

comingfromtheprint

head,

dropsare_onlycreatedwhennecessary."Piezo"referstohow

theinkistransferred to the substrate; where an electronic

imaging

signalforcestheink

out ofthenozzle

(Kipphan,

2001).

Key

Characteristicsofinkjettechnologies:

1. Liquidinksare_used;

therefore,

dots_{may bleed}into substrates_creatingblurred

edges.

2. Irregularshapeddots.

3.

Many

home inkjetprinters use water-solubleinks. Theaddition of water will run

inks (Lamer&

King,

2004).

Thermal Transfer Dye Sublimation

This_process,alsoknownas thermalsublimation,utilizes specificheat

temperatures totransferinkto thesubstrate.Athermalheadreceives an

imaging

signal

andfromthesignal adjustsitstemperature. Anink filmreactsto theheatandreleasesink

through sublimation/diffusion.The amount ofinkreleasedisbasedonthe_temperature;

highertemperaturestransfermore

ink,

whilelowertemperatures transferless

(Kipphan,

2001;

Pocket

Pal,

2004).

Key

Characteristics ofDye

Sublimation:

1. Nearphoto

qualityispossible.

2. _{Product may}seem

blurry

undermagnification.

3. Coatedpaperisrequired.

4. Imageis

flat,

_shinyand glossy.

5. Grid-likepattern_maybeapparent(Lamer&

King,

2004).

Summary

Withthegrowth of newtechnologiesinthe

Printing

Industry,

thegrowthof

counterfeitingand

forgery

has alsoincreased.

Counterfeiting

involvesmultipleproducts

fromthe

Printing Industry

including

_{currency, checks,} identification documentsand

packagingandisalso a problem of global proportions.

Counterfeiting

damages

economies andbusinessandharms individuals.

However,

organizations areina constant

state of

developing

newtechnologies to thwartcounterfeiters.

They

are also_continually

educatingtheiremployeestobe betterat

identifying

print processes and counterfeit

items.

Chapter3

Research Statement

Withadvancementsin printing

technologies,

theact of_{counterfeiting}and

forgery

has

also_quicklyprogressed.Withtheintenttobettertrainand educate examinersinprint

process

identification,

Milton PearsonandBill PopefromtheRIT Print

Industry

Center,

alongwiththeresearcherhavedevelopedatarget the

Marking

Engine

Characterizationtarget thatcontainsthecharacteristicsthatareimportanttoforensic

documentexaminers.Thepurpose ofthis thesisistoprovethat thisnewtest target

effectively delineatesthecharacteristics ofthe_printingprocessinordertoenable

accurate print process identification. Thiswillbeaccomplished

by

_printingtheMEC

targetona_varietyof_markingengines underdocumentedand consistent conditions.

Multipleobservers willbeusedto_objectivelyevaluatethe targetandtheirresults willbe

usedtodeterminethe_accuracyoftheMECtarget.

Chapter4

Methodology

Introductionand

Methodology

_Overview

Milton PearsonandBill Pope fromtheRIT PrintApplications

Laboratory

_originally

developedthe

Marking

Engine Characterizationtargetas a

teaching

aidforthe"Forensic

Document ExaminersSeminar"

heldatRITbi-annually.

Later,

theresearcherfurther

developedthe_target,withguidancefrom Pearsonand

Pope,

toincludemore elements

thatwouldbe meaningfultoaforensic documentexaminer.

Thepurposeofthis thesisistoprovethat the

Marking

Engine Characterization

target throughcomparative visual analysis enables accurate and efficient print process

identificationto aidforensic documentexaminers.Thiswas accomplished

by

_printingthe

MECtargeton adiverse_varietyof_{printing devices. The}targetwasthenverifiedthrough

a_surveygiventoparticipants oftheForensicDocument ExaminersSeminar.

Target DesignandAnalysis

The MECtargetwasdesignedwith several assumptionsthatdefinethescope ofthis

thesis:

1. Forensicdocumentexaminers_maynotbeexpertsinprint processes.

2. Forensicdocumentexaminerswillmost

likely

nothavesophisticated print

analysis equipment(e.g. colorimeters, spectrophotometers, etc.) readilyavailable

inthefield.

3.

Thus,

this targetcanbeusedas a

training

toolandfieldguide. TheMECtarget's

mainpurposeistoeducate and assistforensic documentexaminersin recognizing

thecharacteristicsbetween differentprint processes.

Becausethis targetis bothafieldguide and a

learning

_{tool, it}wasdesignedto_{be easy}

to use,easytounderstand and portable. The

following

diagramand

description,

describes

the targetelements andthemethodthatwas usedtoanalyzethe target.

The Print

Industry

Center

Marking

Engine CharacterizationTarget

G>

-Figure1:_MarkingEngineCharacterizationTarget

1. RIT Alpha Numeric Textpatch

- Developed

by

Franz

Sigg

anRIT

Professor,

the

RITAlpha Numeric Textpatch isincludedtodeterminetheresolution capabilities

ofthe_{markingengine,}bothas regular and reversetext. Eachline isprogressively

numbered,fromsevento25. This specifictargetwas chosenbecauseofits ease of

use,whichis_{particularly beneficial}toaforensic documentexaminer who_may

[image:32.543.96.473.112.473.2]

notbe familiarwithtest targets. Theresearcher_visuallyinspectedthe textand

determinedatwhichpointthe textbecomesunreadable. Figure 2shows the text

becoming

difficulttoreadatline 15 and notidentifiable

by

line 17.

! 'IICV,

<SB3

!2EEB

[image:33.542.252.392.144.347.2]

10B32

Figure 2: R.I.T. Alpha Numeric Test Patch

2. Paperwhite. Threecolorgray.Black,

C,

MandY- These

swatches were added

sothat theforensic documentexaminer couldobservethecharacteristicsdifferent markingengines createtoproduce colors.Throughthesecolor

blocks,

viewers can also observedot_shape, size andplacement,allof which areimportant characteristicsto theprint process.Allcolorblockswere examinedto see what colorants are present.Blackwas examinedfor consistencyoftheink layerand

banding.For_example,Figure3 shows a magnified view of afourcolor offset

sample,which showsthehalftonepattern,dotshape,number of colorants and whichcolorants.Allofthesecharacteristics canbeusedtodeterminea print process.

[image:34.543.136.452.60.286.2]

Figure 3: Four Color Offset

3. PositiveandNegative Microlines- These

areincludedtoobservethe_capability

ofthe_markingenginetosustainthinblack lines andthinwhite

lines,

aswell as

show edge_qualityand pressdirectionality. Thetargetcontainsblockswithblack

and whitelinesof_varyingsizes anddirections from

0.0005,

0.001, 0.002,

0.004,

0.006, 0.008,

0.01 to0.015inches insize. Throughvisual

inspection,

the

researcherdeterminedatwhich pointthe lines disintegrate. Qualitiesof

disintegration includebroken

lines,

poor edge_qualityorlackoflines (blackor

white).Asanexample.Figure 4showsthatlinesare maintained at0.004"but

becomebrokenanddonot printfrom orsmaller.

[image:35.543.158.440.70.317.2]

Figure 4: PositiveandNegative Micro Lines

4. ISO ImageNlA.tiff-_{Since manyforged}

documents,

suchasdriver'slicenses

and_passports, contain animage of aperson,this element wasincludedinthe

MECtarget.Eachimagewillbecomparedtoone anotherfromeach print method

forvisualdifferences. Qualitiestobeexaminedincludelevelofdetailmaintained,

blurriness/crispnessofthe

image,

and edge quality.

5. Radial Blend

-Thiselement was includedtodeterminethe extentofthe_marking

engines

banding

andits _abilitytoresolvegradients. Thegradients arecreatedin

C,

M,

YandK. Theresearcherobservedfor any

banding;

thisis definedasthe

pointinthegradientwheretheoutput

device

can nolongermaintainthegradient

andinconsistentlyrevertstoasolid.Figures5 & 6showawell-resolvedradial

[image:36.543.85.480.94.290.2]

gradient(figure

6)

versus a radial gradientthatcontains

banding

(figure6).

Figure 5: Radialgradient without

banding

Figure 6: Radialgradient with

banding

6. Serif TextandFine LineDrawing-_Theserif

text,

including

theknockouttext,

represents_{commonly found}texton

frequently

counterfeiteddocuments. The "A"

containsboth horizontal anddiagonal

lines,

the"O"containscurvedlinesandthe

"T"

has bothverticalandhorizontal lines. Thedetailed line

drawing,

takenfrom

anintaglio_print,was scanned aslineart at300dpiandis includedtoseethe

markingengines_abilitytoreproducefine lineart,which is_{commonly found}on

checks,currency,banknotes and other securedocuments. Theedgesofthe text

andline

drawing

willbeexaminedfor known printingcharacteristics.For

example,throughvisual

inspection,

it isclearthatFigure 7was produced_usinga

digitaltoner

technology,

whichis indicated

by

therough edge ofthe text andthe

blacktonerparticles present.

[image:37.543.161.428.99.391.2]

Figure 7:Singlecharacter printed withBlack Toner

7. 50%

C,

M andYtones

-Thesepatches were added sothattheobserver could

comparethedifferences_{in marking}engineswhen

they

are

dealing

withtones.

The 50%tonepatches are alsobetterat_revealingwhetherthe_markingengineis

usinga single coloranttocreatethetone,or multiple colorants. Similarto the

other colorpatches,the50%toneswere observedto seewhatcolorantsare used

toproducethe tonesanddotshape.

8. Microprinting

-Bothvertical and

horizontal

_directions areincluded.Textsizes

are

0.1mm,

0.2mm,

0.3mmand_{0.4mm. Micro}

printingiscommonlyfoundon

documentssuch as_checks,bonds and currency. Typicalmicro_printingfoundon

checks is 0.5pts. Thisfeature determinedthemicro_printingcapabilitiesofthe

markingengine.Thiswas_visuallyinspectedtoobservethepoint at which notext

canberead.In figure

8, 0.1mm,

0.2mmand0.3mm are_shown,

however,

_only

0.3mmisreadable,0.2mmandsmallerdoesnot resolve(as indicated

by

thered

circle).

^M^ MM^aI'W>Mili<im)QiWlMrtoiT>rw>amiiftitoiiiicP)i

Figure 8: Micro

Printing

Methodology: SequenceofEvents

The

following

isadescriptionofthesequence of events:

1. Throughaconsensusamong Bill

Pope,

Milton Pearsonandthe researcher,itwas

determinedthat thecurrentMEC targetcouldincludemore elements thatwould

bemeaningfultoaforensic documentexaminer.

1.1 The Fine Line

Drawing,

ISO

Image,

andPositiveandNegative Micro

lineswereadded

by

theresearchertorepresent common elements found in

frequently

counterfeited elements.

2. Thecurrent samplesused

by

theseminarinclude a_variety of processes and

markingengines. Sincethe targetisbestused whentheobserverisableto

visuallycomparethe

targets,

several_{printing devices}were chosen.Thespecific

print processes(listedonpages34

-37)

andtechnologiesselected were chosen forthe

following

reasons.

2.1

Popularity

-These technologiesandprocessesarethose_commonly

usedinboth largeandsmall-scaleprint production and are most

likely

tobe encountered

by

examiners inthe field.

2.2

Diversity

-Thespecific print characteristics of each oftheseprocesses

vary sufficientlyto enable meaningful comparisonbetweenthem.

2.3

Availability

- Each

ofthese technologiesis availablethroughRIT

facilitiestoenable acontrolledand repeatable environmentfortarget

production.

3. Media Selection- Determined

throughresearch and

testing,

100# Titan Gloss

Textstock was usedasthedefaultstock.This stock was chosenfor its

availability.Threeoftheselected_{printing devices}weredeterminedthrough test

runs tobeincompatiblewiththeTitan Stock. Theseparticulardevicesarethe

Epson

9600,

Fuji Pictroproofandthe_{Iris Realist. These printing devices}require

theirbrandspecific stockbeused- Fuji Pictroproof Matte

Paper,

Epson Premium

Gloss Photo

Paper,

Iris Realist Inkjet Gloss Paper.

By

_using adefaultstockpaper,

variabilityisreduced as much as possible.

4.

Printing

oftheMEC Target followedthe

following

procedureforeachdevice: 4. 1 Alltheproper supplies were ensuredtobeathand. This includesthe

substrate,press run organizer andPDFtest targetfile.

4.2The Press RunOrganizerwasusedtodocumentthe settings.

4.2. 1 Theoutputdevicewascheckedforproper resolution

and adherencetoSWOP specifications(ortheclose

simulation ofthem).

4.2.2 The Press Run Organizerwas usedtodocumentthe

press ran settingsfor repeatability (figure 9). The Press

RunOrganizerisa checklist where specifications ofthe

press,press settings and other relevantinformationcan

bedocumented.

4.2.3

Using

thePress Run Organizerall relevantRIPsettings

werenoted astheseimpactcolor

handling,

_screening

andetc.

Picssdale: PlUjLVldocliptRUI.

ProjectU-'-mV-Kvi

Telephone Nu

Tola*s lijic.

Press Run Organizer

LV,vnfc!Unii,

JWIl

Jb SpecLficaricitti PruduLiiuu Duij QualityAiiurance

PREPRESS

Signaturecontents: InanflL' resolution: t'ii'i controlbai:

Note*nnJiciLilwurkll

Note: PROOF Manufacture!; liiii.-. Proofingguide: PLATE Manufacturer

Nu4esimRIPjnd_screening

Notesonstandjidizcdplatcrnaking.

Brand:

i'Ll.1^vpusuleeuide.

PRESS

Manufacturer:

Brand: Size (max):

FOUNTAIN SOL \ Manufacturer

N

:l-ki>d*.i_-i'.i"ii.ju. im.iIj*T.unpolarizatiun.absolute)used

B.ji-e. pHiCunductivitv : BLANKET Manufacturer Brand: PiU._klll INK Manufacturer: Brand: linn!' T.i'A. PAPER BtJILll. Bansneieh SLz<.\ Qu_jiiiit):

PRLNTING Reference:

Ink-dowDsequence:

'Solid ink density:

(0.10)

Dotgain:

SAMPLING

Figure9: The Press Run Organizer

[image:41.542.107.477.124.574.2]

5. Thetest targetwasprintedfromaPDF_{file using CMYK}color mode.

5.1 Atotalof36 samples were outputtedfromeachdevice. Thepurposeof

thiswasto ensurethat the_markingengineis operating inaconsistent

and repeatablestate

-furtherdetailscanbe found insection6.2ofthe

methodology.

5.2A listof alldevicesused was created and a number wasbeassignedto

eachdevice. A numbering system was used sothatwhenthe targets

were

labeled,

theobservation_groupwould notbe able to

identify

the

devicesthe targetswere printedfromwithout_evaluatingthem.

5.3 Theprintedtargetswerecollected andlabeledonthebackleft-hand

comer withtheir_{corresponding}numberto

identify

theprint process

andspecific printermodel.

6. Thetargetswereevaluated.

6. 1 Allsamples were_visuallyevaluatedbasedonthetesttargetevaluation

criteriacontainedinthismethodology.

6.2 Theresults oftheevaluations werethencompared. Elementsofthe

target thatwere_{only visually}evaluated were

"shingled"

(spreading

out

the targets sothata single elementisvisibleand more_easily

compared) sothat the targetscouldbe visuallycomparedand variation

canbemore_easilyidentified

(Southworth,

1989). Elementsofthe

target thatare_numericallyquantitativewere subjectedtoa variance of

a population equationtodeterminethestandarddeviation forthat

element.

Any

samplesthatcontain elementsthathadmeasurements

exceedingonestandarddeviation forthatparticular element were

deemedunacceptable.Thepurposeofthisisto ensurethe sample set

was consistent.

7. Developmentofthe

Survey

-The MECtarget _{survey had}tobe_easyto

understand andtimeefficient. An initial surveywasdevelopedand a pilottestwas

conducted,

however,

itwasfoundtobecomplicated andtimeconsuming.A

secondsurvey,which was more_{time efficient,}was created.

7. 1 The survey (see

Appendix)

includedeight answerspacesthat

correspondedtoa numberedtarget.Withineach answerspace,the

observerdeterminedwhich process was usedtoprintthe targetand

howconfident

they

wereintheirdecision basedon a scalefrom 1

to

10,

1

being

theleastconfident and 10

being

themostconfident.

They

also answered which_element(s)ofthe target

they

feltwasmost

helpfulandleasthelpful. There is also additional space providedfor

comments.

8. Evaluationof mastertargets

by

objective observers.

8.1 Selectionoftheobservation_group- For

thisobservationgroup, 13

participantswere chosento_visuallyevaluatethetarget.

They

were

those_attendingtheForensicDocument Examinersseminar on

November

18th,

2005 at_{RIT. This group}was chosenbecausetheMEC

targetsmain use willbeforthisseminar as an educationaltooland

those_attendingtheseminar possessedtheknowledgeneededto

evaluatetheMECtarget.

8.2 Participantswere providedwith pre-packaged envelopes_containing

eightdifferent_samples,a

loupe,

a_survey, a_{complimentary RIT}pen

and abriefdescriptionoftheMEC targetsuchasthe onefound inthe

methodology.Notimelimitwassetfor evaluatingthe target.All

results weredocumentedinatableand aPercentAgreementformula

was usedtodetermine ifthe targetisaccurate. Tablesand graphs were

usedtoillustrate theresults and conclusions were writtenbasedonthe

data.

Print Device Specifications

Severaldifferentoutputdeviceswere usedtoprintthe testtarget.Alloutput

devices arelocatedattheRochester Instituteof

Technology,

withinthe SchoolofPrint

MediaandthePrintApplications Laboratory. Below isalistofthesedevicesanda short

descriptiongrouped

by

process.

Offset

Lithography

HeidelbergSpeedmaster 74- The Speedmaster 74is_a6_{color offset}

lithography

sheet-fedpress with a maximum sheet size_upto20" x29".

Electrophotographic

Nexpress2100- The Nexpress 2100is _a

dry

electro-photographic sheet-feddigitalcolor

press. Maximumsheet size availableforthepressis 13.8"x 18.5"andusesDrylnk

Technology

at_upto600 dpi. Thepresshasvariabledata printingcapabilities, as well as

some inline

finishing

capabilities.

Xerox DocuColor 6060

-The Xerox DocuColor 6060runs_upto600 dpion a maximum

sheetsizeof12.6" x 19.2."The DocuColoruses colorlasertonerandhasvariabledata

printingcapabilities.

Indigo 3000- The Indigo 3000is

a7color press with a maximum sheet size of12"x 18"

at_upto800dpi.The IndigoutilizesLiquid HP

Electroink,

aliquidtoner. Itisalso

capable of_{printingmicro-text,}

barcodes,

alphanumeric _codes,digital_watermarks, andis

capable of_{using security inks.}

FujiPictroproof- _{The Fuji Pictroproofcombines a silverhalidephotographic process}

with alaser diode exposureto create an

image,

whichisthen

thermally

transferred to the

substrate.Maximum sheet sizefortheFuji Pictroproofis 12.4"

x 18.3" at400dpi.

Inkjet

Iris Realist FX 5015 The Iris Realist FX 5015 isa4-colorcontinuous inkjetprinter

typically

usedtoproofimpositions. This isa web printerthatcan print_upto 14" x21"

wideat300or600

dpi,

though theprinted piecehas a

"perceived"

resolutionof_upto

2400dpi.

Epson9600 - Thisis

a6 colorPiezobased inkjetsystemwith a resolution of_up to720

dpi. Itaccepts substrates_upto44" wideandcan use sheet or web rolls. Thisis

typically

usedasa color_proofingsystem(acheaper alternativeto theKodak

Approval)

though

sometimes usedforthe_printingof posters and artwork.

Thermal DyeSublimation

KodakApproval NX- The KodakApproval NX is_{often considered a}

necessity inthe

digital

halftone-proofing

category.

By

_using

thermography

of

C,

M,

Y,

Kand2 spot

colors, thisprinteris abletoreplicate millions of_colors,manyspot_colors, as well as

mimic_{different printing}processes at_upto2540dpi.

The MECtestformswillberunatthe

following

resolutions sothatall sample

characteristicsandlimitationscanbe_accuratelycompared.Alloutputdevices will runto

SWOP specificationsforcolor.

Offset

Lithography

Heidelberg

Speedmaster 74 - 150

lpi;

theresolution oftheplate setteris 2400 dpi

Digital Color

Nexpress2100 - 600dpi

Xerox DocuColor 6060- 600 dpi

Indigo3000-812 dpi

FujiPictroproof- _400dpi

Inkjet

Iris Realist FX 5015 - 600dpi

Epson 9600- 720dpi

Thermal DyeSublimation

KodakApproval- 2540

dpi;

200 lpi

Chapter5

Results

Observer Population Statistics

Itis importanttonotethatnot all observers aredocumentexaminers. Allobservers work

inthefieldoflawenforcement/crimeprevention or are

directly

dealwith_printing

processes. To betterunderstandtheresults of_{the survey, the}

following

is abrief

descriptionoftheobservationgroup:

5 ofthe 13observers describedthemselves asDocument Examiners

3 ofthe 13observers describedthemselvesas aScientistorEngineer

1 ofthe 13 observers described him/herselfasLaw Enforcement Personnel

1 ofthe 13 observers described him/herselfas aFraudAnalyst

3ofthe 13 observers didnotdescribethemselvesas _anyoftheabove

Dueto thismix,itcouldbethat theexperience ofthis_{group is}varied,anideawhich will

besupported

by

thefindings fromthe_surveyandfurtherdetailedwithinChapter6.

Survey

Results

Table 1 representsthedatacollectedfromthesurvey. The correct answerforeachsample

islistedatthe top. Inparenthesisto theright of each answeristhe confidencelevel

marked

by

theobserver.Thisis donetoshow_anycorrelationbetweenanswers and

confidencelevels. Thebottomrowinthe tablerepresentshow_manyoftheobservers

wereableto_correctly

identify

thesample. Thelastcolumn representsthenumber of

sampleseach observer was ableto_accurately

identify

out ofthe totalnumber of_samples;

a percentageis also giventorepresentthis data.Answersrepresented

by

anNA(Not

Applicable),

indicatethat theobserverdidnot answerthatquestion. Thisisinterpretedas

theobserver

being

unabletodeterminetheprocess ofthe sample.

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Survey

Results

90.00%

80.00%

70.00%

60.00%

Percent

Accurate

50.00%

40.00%

30.00%

20.00%

10.00%

0.00%

=

t

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Accuracy

1

87.5|

37.5[12.5

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_25%|37.5

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12.5

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37.5

[

12.5

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12.5 10 11 12 13

Observers

Figure10:

Survey

Results

The precedinggraph(Figure

10)

illustratesthebreakdownoftheresults

by

observer.Asthegraph

"Survey

Results"

shows,Observer 1 was ableto_correctly

identify

7ofthe8samples(87.5%accuracy).Observer

2, 7,

and 10wereableto_correctly

identify

3ofthe8samples(37.5% accuracy).Observers 6and12were ableto

identify

2ofthe8

samples(25%accuracy).Observers

3, 5, 8, 9,

1 1 and13 wereableto_correctly

identify

1

ofthe8samples(12.5%accuracy).

Finally

Observer4was unableto

identify

_anyofthe

samples_correctly

(0%

accuracy). [image:51.543.62.490.57.361.2]

Frequency

oftheResults

The

frequency

chart representstherange of accuracies andhow

frequently

they

appeared.

This allowstheresearchertoseparatetestresults and observers intocommon groupsto

allowtheobservation of_anyrelationshipsthat_mayexist.

Frequency

of

Accuracy

Frequencyof_Accuracy

Figure11:_{FrequencyofScores}

As Figure 11

illustrates,

mostobserverswere 12.5%accurate;6 ofthe 13

observers(46.15%). Theout

laying

accuraciesarethehighest

(87.50%)

andlowest

(0%)

accuracies,withboth

having

a

frequency

of one. Because onlyoneobserver possesseda [image:52.543.65.485.218.548.2]

accuracyhighenoughtoconsiderthe MECtargetasuccess, theMECtargetis considered

unsuccessful. This couldbe because_{of several reasonsthat}willbe described further in

Chapter6.

ConfidenceLevel

Eachobserver was not_onlyaskedto

identify

the_{process, but}alsotorate on a scale of1

to 10(1

being

the

lowest,

10

being

the

highest)

theirconfidencelevel intheirdecision.

Theconfidencelevel frequenciesfor bothcorrect andincorrectanswers are shownto

observe_anypattern. Asshowninthe graphbelow (figure

12),

otherthana slight

deviationat confidencelevel

6,

bothcorrect andincorrectanswers showed a similar

pattern of confidencelevels.

Comparison of Confidence levels for Correctand

Incorrect answers

4 5 6 7

[image:53.543.79.465.362.620.2]

ConfidenceRating

Figure 12: Comparison ofConfidenceLevels

Breakdown ofresults

by

Sample

Frequency

of

Correct

Answers

by

Sample

[image:54.543.71.498.92.445.2]

Samples

Figure 13:_{Frequencyof Correct Answers}

by

Sample

Figure 13 illustrates the

frequency

of correctanswers

by

sample. Itis clearthatSample 1

(Offset

Lithography/Heidelberg

Speedmaster)

was_{correctly identified}

by

a_majorityof

the observers(10outof13 or76.92%). Sample 5 (Silver Halide/Fuji

Pictroproof)

was

correctly identified

by

nearly halfoftheobservers (6out of10or46.15%). The

remainingsampleswere identified

by

lessthan23%ofthe Observationgroup.

Inordertobetterunderstandtheresults of samples2-3 and

6-8,

the

following

comparisontablewas created(Table 2). Inthis table the

frequency

ofincorrectanswers is

shown. Eachnumberrepresentsthenumberoftimes thatparticularprocesswas chosen

by

the observation group._{The gray}blockswith an"x"representthecorrect answer.

Frequency

ofIncorrect Answers

by

Sample

Table2:

Frequency

ofIncorrectAnswers

by

Sample

Sample1

-Offset

Sample 2 -DryToner

Sample 3 -DryToner

Sample 4

-LiquidToner

Sample 5

-Silver Halide

Sample6 -InkjetCont.

Sample7

-Inkjet Piezo

Sample 8 -DyeSub

Inkjet Cont 0 3 2 1 0 . . ..X.- 0 0

Inkjet Piezo 0 1 1 2 0 1 X 1

DryToner 0 ^ X 1 0 7 1 0

Liquid Toner 1 0 2 X 1 1 1 0

Dye Sub 1 0 0 0 1 1 6 .-Jlk..

-Silver Halide 0 0 0 0 X 0 3 0

Offset X 5 0 3 1 0 1 8

Toner 0 0 0 0 2 1 0 0

Inkjet 1 1 1 0 0 0 0 1

NA 1 2 3 4 2 0 0 2

Incorrectanswers forsamples 1 through5 show a greaterdealofindecisiveness

amongthe observationgroup.Noone process was chosen with a greatfrequency.

Samples 6 through8 (greaterthan

46%)

showthatalargerpopulationoftheobservation

groupchose aspecificincorrectanswer(tallies are

highlighted)

out ofthe totalnumber of

incorrectanswers.

[image:55.542.76.494.193.379.2]

MostandLeastHelpful Elements asDescribed

by

theObserver

Each surveyincludeda sectionfortheobservertowritethemost andleast helpful

elements ofthe target. The

following

tablerepresentsthe datareceivedfromthe

observation group.The columntitled"Most"represents_{the elements,} which were most

helpfulin_makingtheir

decision;

thecolumntitled"Least"represents the_elements,which

wereleasthelpful in makingtheirdecision. Thefinalcolumn representsthescorethe

observersreceivedoverallonthesurvey. Thisis donetoshow_{any relationship between}

theelements theObserverusedtomaketheirdecisionandtheiroverallscore.

Table_{3: Comparison ofMost}andLeast Helpful ElementstoOverall Score

Most Helpful Least Helpful Score

Observer 1 Micro-printing, Micro-lines,ISOImage,Radial Blend NA 87.50%

Observer 2 NA NA 37.50%

Observer 3 usedall aspects ofthe target NA 12.50%

Observer 4 NA NA 0%

Observer 5 usedall aspects ofthetarget NA 12.50%

Observer 6 Micro-lines,ISO Image NA 25%

Observer 7 Micro-printing,RadialBlend, ISO Image Micro-lines,Text Patch 37.50%

Observer 8 Blackcolorblock,Micro-lines,seriftext ISO 12.50%

Observer 9 Lines NA 12.50%

Observer 10 ISO Image NA 37.50%

Observer 1 1 NA NA 12.50%

Observer 12 ISOImage,Color blocks Micro-lines 25%

Observer 13 NA NA 12.50%

Almost 70% oftheobservers identifiedwhat

they

foundtobemosthelpfulabout

the targetincontrastto_only23%thatidentifiedwhat

they

foundleasthelpful. Ofthe

top

threehighestscores oftheobservation_group (scoresequal or greaterthan

37.5%)

that [image:56.543.74.484.323.557.2]

identifieda mosthelpful element, eachidentifiedtheISO Imageas

being

themost

helpful. SecondtotheISO

Image,

observers alsofoundthemicro_printingand

micro-linesthemost ofhelpful.The lackofresponsesforthe leasthelpfulelementdoesnot

allowfor anyconclusions_regardingthatcategory.

Chapter 6

Conclusions and

Summary

Thereare severalconclusionsthatcanbemadebasedonthedataobtainedfromthe

survey:

Thetargetis ineffective.Visualexamination ofthe targetdoesnot allowthe

viewerto_readily

identify

theprint process usedtoproduceit.Theelements withinthe MECtargetdonot offerthedefinitive evidence_necessaryto

help

theobserver_visually

identify

theprint processes.EventhoughObserver 1 was ableto_accurately

identify

the

processes andalsothepressesthe targetwasprinted_{on, the}vast_majorityof participants could not. Itcouldbethat theothermembers ofthe_{Observation group do}nothave extensiveknowledgeofdigitalprocesses anddevicesasdoesObserver 1.

The overall experience oftheuser_{group is}varied. Scoresoftheobserver_group rangedbetweenthosewho were ableto

identify

_nearlyall processes_correctlyto those

whohad

difficulty identifying

_anyprocesses correctly.Therange of answersillustrates

that the experience leveloftheobserversisvaried. Theobserver who was unableto correctly

identify

anyofthesamples couldhave little_experience,whereastheobserver

thatwas_correctlyableto

identify

7ofthe8 samples couldhave a greatdealof

experience.The levelofexperience oftheobservation_{group did}not match_upto thelevel

of experience neededtousetheMECtarget.

Theobservation_grouphas

difficulty identifying

between digitalprocesses. The

datashowsthatthe_majorityofobserverswere ableto _correctly

identify

Sample 1 as

Offset

Lithography,

however,

mostobserverswere unableto

identify

severaldifferent

digitaldevices.Thiscouldbeinpartduetodeficienciesinthe targetas well as

deficienciesintheobserver'straining.A lackof

training

or experience in digitaldevices

mayaccountforthelow score results. Observer 1 shows thatwith

training

and

experience,one can

identify

between digitalprocesses. Itisalso possiblethat the

selection of_printingdevicesandthekno