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Fall 2005 THE FORENSIC EXAMINER 3

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AMERICAN BOARD PSYCHOLOGICAL SPECIALTIES Chair of the Executive Board of Psychological Advisors: Michael A. Baer, PhD, FACFEI, DABPS, DABFE, DABFM, Master Therapist Vice Chair of the Executive Board of Psychological Advisors: Raymond F. Hanbury, Jr., PhD, DABPS, DABFE Chair Emeritus: Carl N. Edwards, PhD, JD, FACFEI, DABPS, DABFE Members of the Executive Board of Psychological Advisors: Robert J. Barth, PhD, DABPS Alan E. Brooker, PhD, FACFEI, DABPS, DABFE, CMI-III David F. Ciampi, PhD, FACFEI, DABPS Brian R. Costello, PhD, FACFEI, DABPS, DABFE Ronna F. Dillon, PhD, DABPS, DABFE, CMI-V, CHS-III

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The Forensic Examiner® (ISSN 1084-5569) is published quarterly by The American College of Forensic Examiners International, Inc. (ACFEI). Annual membership for a year in the American College of Forensic Examiners International is $130. Abstracts of articles published in The Forensic Examiner® appear in National Criminal Justice Reference Service, Cambridge Scientific Abstracts, Criminal Justice Abstracts, Gale Group Publishing's InfoTrac Database, e-psyche database and psycINFO database. Periodicals Postage Paid at Springfield, Missouri and additional mailing offices. ©Copyright 2005 by the American College of Forensic Examiners International. All rights reserved. No part of this work can be distributed, or otherwise used without the express permission of the American College of Forensic Examiners International. The views expressed in The Forensic Examiner® are those of the authors and may not reflect the official policies of the American College of Forensic Examiners International.

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4 THE FORENSIC EXAMINER Fall 2005

THE

FORENSICEXAMINER

VOLUME 14 • NUMBER 3

®

FALL 2005

The

FORENSICEXAMINER

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2005 Editorial Advisory Board Jack S. Annon, PhD, FACFEI, DABFE, DABFM, DABPS, DABLEE E. Robert Bertolli, OD, CHS-III, CMI-V David T. Boyd, DBA, CPA, Cr.FA, CMA, CFM John Brick, MA, PhD, DABFE, DABFM, CMI-V Steve Cain, MFS, DABRE, DABFE James H. Carter, MD, FACFEI, DABFE, DABFM Leanne D. Courtney, BSN, MFS, DABFN, DABFE D. Larry Crumbley, PhD, CPA, DABFA, Cr.FA Edmund D. Fenton, Jr., DBA, CPA, CMA, Cr.FA Nicholas J. Giardino, ScD, DABFE Daniel P. Greenfield, MD, MPH, DABFE, DABFM James L. Greenstone, EdD, JD, FACFEI, DABECI, DABFE, DABFM, DABPS, DABLEE, CMI-I, CHS-V Raymond F. Hanbury, Jr., PhD, ABPP, FACFEI, DABPS, DABFE James R. Hanley, III, MD, DABFM Nelson H. Hendler, MD, DABFM John R. Hummel, PhD, CHS-III Zafar M. Iqbal, PhD, FACFEI, DABFE, DABFM Paul Jerry, PhD, MA, CPsych, DABFC, DAPA Philip I. Kaushall, PhD, DABFE, DABPS Erik Kreuter, CPA, CMA, CFM, DABFA, FACFEI, SPHR, MA Richard L. Levenson, Jr., PsyD, DABFE, DABPS Jonathan J. Lipman, PhD, FACFEI, DABPS, DABFE, DABFM Judith F. Logue, PhD, FACFEI, DABFSW, DABPS, DABFE, DABFM David B. Miller, DDS, FACFEI, DABFE, DABFM, DABFD Sandralee N. Miller, RN, FACFEI, DABFN, DABFE Terrence W. C. O’Shaughnessy, DDS, FACFEI, DABFD, DABFE, DABFM George B. Palermo, MD, FACFEI, DABFE, DABFM Marc A. Rabinoff, EdD, FACFEI, DABFE Douglas H. Ruben, PhD, FACFEI, DABFE, DABFM, DABPS William R. Sawyer, PhD, FACFEI, DABFE, DABFM Victoria Schiffler, RN, DABFN Stanley Seidner, PhD, DABFE, DABFET, CHS-III Kandiah Sivakumaran, MS, PE, DABFET Marilyn Stagno, PsyD, DABFE, DABFM, DABPS James Stone, MD, MBA Gere N. Unger, MD, JD, FACFEI, DABFE, DABFM Ralph Van Atta, PhD, FACFEI, DABPS Raymond E. Webster, PhD, FACFEI, DABFE, DABFM Paul Zikmund, MBA, Cr.FA

14 24 29

An Update on the Effects of Marijuana and Its Potential Medical Use: Forensic Focus

CME

Eyewitness Memory for Vehicles

By Amy Boothby Villegas, BA; Matthew J. Sharps, PhD, DABPS; Brianna Satterthwaite, BA; Sarah Chisholm, BA

Developmental and Motivational Factors of Transnational Terrorists

By David F. Ciampi, MSc., PhD, FACFEI, DABPS

38 44

The Expanding Role of the Forensic Accountant

By D. Larry Crumbley, PhD, CPA, Cr.FA, CFD, DABFA; and Nicholas G. Apostolou, DBA, CPA, Cr.FA, DABFA

A Comparison of Utilization of Peer Support Services and Perceived Stigma Within the Vermont State Police

By David B. Goldstein, PhD, DABECI

53

Forensic Case Profile - An Interesting Pharmaco-Legal Case

54

Current Issues in the Field of Forensics: The Safety of Security

35

49

Editor: Heather Barbre Blades, MA (editor@acfei.com) Writer: Leann Long, BS

By Scott A. Johnson, MA, LP, DABPS, DAACCE

By Dr. Sherwood O. Cole, PhD, DABPS

Publisher: Robert L. O’Block, MDiv, PhD, PsyD, DMin, STD (Hon.) (rloblock@aol.com) Assistant Editor, Senior Writer: Erica B. Simons, BS

Forensic Considerations for Assessing Violence

60

By Jerry W. Bush, MD

By Bruce Gross, PhD, JD, MBA, FACFEI, DABFE, DABPS, DABFM, DAPA

Register for the 5th Certified in Homeland Security Conference, Sept. 28-29, 2005, in San Diego, CA

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ACFEI News

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Welcome New Members

Register for ACFEI’s 13th National Conference, Sept. 30 - Oct.1, 2005, in San Diego, CA

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Continuing Education (CE) Questions

67

Falsely Accused

Recent Books by Members

Designed by: Brandon Alms, BFA (brandon@acfei.com)

The American College of Forensic Examiners International (ACFEI) does not endorse, guarantee or warrant the credentials, work or opinions of any individual member. Membership in ACFEI does not constitute the grant of a license or other licensing authority by or on behalf of the organization as to a member’s qualifications, abilities or expertise.

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Fall 2005 THE FORENSIC EXAMINER 5

This article is approved by the following for continuing education credit: ACFEI provides this continuing education credit for Diplomates.

ACFEI is approved by the American Psychological Association to offer continuing professional education for psychologists. ACFEI maintains responsibility for the program.

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ACFEI provides this continuing education credit for Certified Forensic Consultants who are required to obtain 15 credits per year to maintain their status.

Abstract I have engaged in the practice of forensic psychology and the assessment of violent offenders for many years and have acquired expertise in the field. In my experience, I have noticed that many psychologists conduct forensic assessments for assault, violence, and sexual offenses that draw conclusions based solely on 1-hour interviews with offenders and at times the administration of the MMPI-2. Psychologists often fail to interview the victims and/or the offenders’ spouses, fail to administer batteries of tests, and fail to gather available criminal records. As a result, many violent offenders are labeled as first time offenders when their criminal history is rich with violent offenses. I propose that forensic assessments for violence (e.g., domestic abuse, sex offenses, child abuse) follow a more detailed checklist and testing protocol and involve gathering criminal records from the courts and police departments to verify criminal history rather than simply relying on a criminal history check.

6 THE FORENSIC EXAMINER Fall 2005

Forensic Considerations for Assessing

Violence

By Scott A. Johnson, MA, LP, DAACCE, Diplomate of the American Board Psychological Specialties Key Words: forensic assessment, domestic abuse assessment, sex offender assessment, anger assessment, child abuse assessment, risk assessment Note: A glossary of the evaluation tools described in this article begins on page 11.

Introduction Many sex offender assessments, domestic abuse/anger assessments, and other forensic assessments have routinely relied heavily on the criminal’s self-report or only on the criminal complaint for the current offense. Most psychologists do not even bother to obtain a criminal history check, and those who do almost always fail to gather official documentation pertaining to other relevant offenses. The result is a poor assessment, one that most often significantly minimizes the offender’s history and patterns and, therefore, minimizes the awareness of actual risk for repeated violent offenses. Without a thorough review of all pertinent information, the examiners mistakenly indicate that someone has committed his or her first act of assault or his or her first sexual offense because they did not bother to check into the criminal history or take the time to gather relevant records.

The types of evidence listed below allow for the most accurate, detailed assessments for violent offenders.

The following checklist is recommended when conducting forensic assessments of violent offenders. This includes those charged with or convicted of assault, domestic abuse/assault, and any sexual offense. Even if the offender pled guilty to a lesser offense, if the criminal complaint

or police reports suggest that the offense was related to an assault or sex offense, or if the charges began as assault or were sexoffense related, it is still strongly recommended that assessors adhere to the following (or a similar) checklist. A plea agreement does not in any way insinuate that the offender is not guilty of all of the alleged behavior; rather it indicates the court is accepting a plea and in return is offering a lesser punishment. The original facts and criminal charges are still assumed to be true.

Recommended Checklist for Forensic Assessments of Sexual and Non-Sexual Violence The types of evidence below are recommended to adequately and effectively assess an offender’s history. The items on the following checklist appear to have significant relevance when assessing patterns of deviant and violent behavior.

• Relevant documents and information • Interview with the offender • Interview with the victim when appropriate • Interview with spouse/partner • Abuse/assault/sex-related violent criminal history • Non-assault/non-sexual criminal history (including juvenile and adult history)

Fall 2005 THE FORENSIC EXAMINER 7

“Without a thorough review of all pertinent information, the examiners mistakenly indicate that someone has committed his or her first act of assault or his or her first sexual offense because they did not bother to check into the criminal history or take the time to gather relevant records.”

• Additional information related to sexual offending/abusive behavior/child abuse • Treatment history (including participation in abuse or sexual offender treatment programs; participation in chemical dependency treatment programs; other therapeutic interventions such as marital or family therapy, childhood interventions, out of home placements, and any outpatient or inpatient placement to address mental health issues) • History of suicidal ideation and suicidal attempts and/or whether the offender is currently experiencing suicidal ideation or has a current plan to injure or kill him/herself • History of homicidal ideation and/or whether the offender is currently experiencing homicidal ideation or has current plans to kill or seriously harm anyone at this time • History of experiencing psychotic symptoms • History of taking or currently taking psychotropic medications • Diagnoses (including prior and current) • Chemical use and abuse history and screening • Medical history that includes any serious conditions that may impact reality testing or the offender’s ability to reoffend with violence

• Background information (including educational history, discipline history in school settings, residence history, and family of origin information) • Employment history • Relationship/marital history • Development history (e.g., any delays in attaining expected developmental tasks) • History of engaging in paraphiliac/sexually deviant/sexual acting-out behaviors (specifically ask about each of the following areas of paraphiliac behavior, which tend to result in more disclosure: attendance at strip shows, use of sex phone hotlines, use of prostitutes, and frequency and type of pornography use; the use of pornography is significantly correlated with violent behavior) • Sexual orientation • History of experiencing sexual/non-sexual jealousy • Personal abuse history (including whether he or she ever witnessed or experienced physical or sexual abuse in the household or experienced neglect) • Perpetrated abuse history (summarize the offender’s history of abuse/assault; did the offender use weapons or commit assaults that resulted in serious injury, etc.)

• Supervision history, including whether he or she has violated any conditions of probation or parole • History of failing to follow a restraining order or an order for protection • Psychological testing (should include the MMPI-2 and/or MCMI-III, STAXI2, SARA, HCR-20; for sexual offenders at least the MSI, STATIC-99, and possibly the ABEL Assessment and/or Penile Plethysmography) • Summary of all testing together

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• Clinical interview summary • Mental status exam Factors Considered for Risk Assessment In addition to the above, below is a summary of factors that are empirically related to repeated violent offenses. The following allow for a more thorough review of the assessment data before formulating the recommendations and assigning a risk level for violent recidivism.

• Offender’s score on actuarial risk prediction tools • Offender’s criminal history • Offender’s history of violent offenses • Situations and circumstances of the abuse/sex offenses (e.g., relationship between victim and abuser; the ages and vulnerability of the victims; whether the offense committed was predatory, opportunistic, or elements of both; whether the degree of force used was nonviolent, violent, sadistic, kidnapping, bondage, torture, use of weapons, threats, or killing of victim; the duration of each offense situation; and the length of offender’s offense history) • History of participation in recommended treatment • Use and abuse of drugs and alcohol and whether the offender continues to use them despite treatment interventions • Information indicating the presence of additional victims and offenses not prosecuted (obtained from self report, treatment staff, police reports, the pre-sentence investigation report (PSI), and other collateral sources) • Attitude toward the offensive behavior, the treatment, and his or her risk to the community • Demonstration or lack of remorse

• Tendency to acknowledge, deny, or minimize effects of offensive behavior • Traits of psychopathy (lacks remorse, appears shallow, lacks guilt, narcissistic; important to utilize Hare Psychopathy Checklist) • Presence or absence of mental illness and mental disorders and whether the offender has followed recommended treatments (such as taking medication, aftercare, support groups, etc.)

• Presence of mental health diagnoses • Testing and assessment reports, including psychological, intellectual, and courtordered assessments and evaluations • Assessed prediction of level of risk for re-offense, taking into account both the gravity and degree of future offense behavior • Information obtained from the clinical interview (e.g., that the offender provided adequate information to allow for an accurate assessment) • Offense-specific dynamics, which include the following: Were the victims known or strangers? Did the offender use gratuitous violence? Does the offense behavior appear sadistic in nature? Does the offense behavior appear premeditated or opportunistic? Was the offense behavior bold in nature (e.g., occurred in public place, high risk of getting caught)?

The Assessment Process A diagnostic interview. The purpose of this 1-2 hour interview is to review the offense history, gather and review relevant history, assess mental health and safety concerns, and begin to formulate intervention recommendations. Records are obtained from relevant sources such as probation officers, courts, police departments, etc.

Psychological testing. Psychological testing is imperative and should include psychological tests as well as risk assessment tools. Recommended tests and tools for violence risk assessment include the MMPI-2 and/or the MCMI-III, the SARA, STAXI-2, and the HCR-20. For sexual offenders, I add the MSI, STATIC99, and when possible, the ABEL Assessment or Penile Plethysmograph. If the

offender’s victims include children, then the PSI and CAPI are added. Administering only one test appears grossly inadequate and unethical. A battery of tests offers validity information across tests and more effectively identifies the offender’s needs and appropriate risk level. See the reference section (on page 11) for descriptions of each test/tool.

Interview with victim. Interview the victim whenever possible when he or she is willing. This provides an opportunity to obtain the victim’s version of the offense and other pertinent information, such as the abuse history. If the victim is not related to the offender, it is not acceptable to pressure him or her into cooperation.

However, if the victim is family or the partner/spouse of the offender, then the victim should be strongly encouraged to participate.

Interview with spouse/partner.

Whenever possible, an interview with the offender’s spouse/partner should be conducted. This allows for accurate information to be obtained pertaining to the offender’s home life, including the abuse history, drug and/or alcohol-use history, and other areas of concern. This should occur even when the spouse/partner is not the victim of the current offense. This interview is imperative, as most offenders who assault or rape non-relatives also assault and act out with their partners/spouses. I inform an offender that I will not be able to complete the court-ordered assessment without his or her spouse/partner’s participation, and I always interview the spouse/partner.

There is no other way to obtain relevant facts about the assaultive history and no other way to establish rapport in an effort to obtain information about whether abuse continues to occur. In addition, I find that many victims are not provided with adequate information about victim resources and may not have anyone else to talk to about the abuse. An interview allows for a prime opportunity to help the victim/spouse/partner obtain therapeutic services that might otherwise be missed.

Only about two clients a year choose to complete the assessment elsewhere

because they do not want their spouse/partner interviewed. This is generally an indication that the abuse is more severe and ongoing, therefore warranting the offender’s resistance.

A second diagnostic meeting. During the second diagnostic meeting, the test results are discussed, additional information is gathered or clarified as necessary, and the recommendations are discussed.

The Importance of Gathering Official Records It is imperative for examiners to obtain and utilize all pertinent information concerning a violent offender. This certainly includes interviews with the offender and the offender’s partner/spouse, and when possible and appropriate, an interview with the victim. The pre-sentence investigation report, the criminal complaint, and the police reports provide a lot of information about the offender and are crucial aspects to review to complete a forensic assessment. Even police reports that do not result in criminal charges and charges that were dismissed for any reason (other than acquittal by jury) provide crucial information about an offender’s criminal history. It may be necessary to contact law enforcement wherever the offender has resided, not just where the current offense occurred. Treatment records are also excellent sources of information. It seems unprofessional to conduct a forensic assessment without using all available sources of information.

Another problem is that plea agreements occur so often that they are more the norm than the exception to the rule. If an offender pleads guilty to a lesser offense, that offense still remains as described in the original charges unless the judge orders the criminal complaint re-written or the offender is acquitted by jury. Therefore, what appears on the criminal history check (which is assessors typically use) is often misleading. For example, if the offender was originally charged with domestic assault, terrorist threats, and disorderly conduct, but pleads guilty only to the disorderly conduct, the only charge that will show up on the criminal

Fall 2005 THE FORENSIC EXAMINER 9

“When conducting forensic assessments pertaining to sexual predators and sexual psychopaths, it is very common to find that most

(approximately

70%) have more than two prior sexual offenses that have been pled down to lesser charges.� history check is the disorderly conduct.

The problem is that the disorderly conduct is assault related and remains assault related regardless of the final plea agreement. Therefore, it is important to gather more information concerning any charge or conviction that appears related to violence. Commonly related charges include any type of assault or sexual offense, robbery, burglary, disorderly conduct, and trespass.

When conducting forensic assessments pertaining to sexual predators and sexual psychopaths, it is very common to find that most (approximately 70%) have more than two prior sexual offenses that have been pled down to lesser charges.

Often an offender who is thought to have committed his or her first sexual offense is shown to have documented patterns of sexually violent behavior. This is simply the first time he or she was convicted directly as a sex offender. The same holds true for offenders who commit assault, domestic assault, and child abuse.

Case Examples Justifying Gathering as Much Official Information as Possible Case number 1. An adult incarcerated sexual offender, approximately in his early

20s, was currently incarcerated for attempted criminal sexual contact.

According to his criminal history check, he had a sex-related offense 3 years prior for window peeping, two convictions for robbery, two convictions for burglary, three auto-related felonies, and a conviction for escape. Although he was clearly a career criminal with a felony criminal history beginning when he was approximately 14 years of age, he had only one known serious sexual offense. After ordering copies of the criminal complaints and police reports for the above convictions, however, a new picture emerged.

One of his prior attempted burglaries involved window peeping on a female and attempting to enter the house when the victim was home and alone. While waiting to make his plea for that particular offense, he sought sex offender treatment, suggesting that this would have been a rape/burglary rather than simply a burglary. His other three related burglaries and robberies involved similar situations. In another burglary, he and some friends broke into the home of an elderly couple and beat the man, and he attempted to rape the woman. Had his assessment been based solely on his criminal history report, none of these other details would have been known, and a violent, serial rapist

10 THE FORENSIC EXAMINER Fall 2005

would have been set free.

Case number 2. An adult male in his late 20s had numerous convictions for sexual offenses and assault. Upon further record checks, it was learned that all of his assault convictions involved assaulting female strangers to obtain sexual contact by force. He also had a conviction for window peeping; without reading the criminal complaint or police report this would seem like a fairly innocuous offense. However, the police report indicated that he had been window peeping on the same female on numerous occasions and had stolen her underwear from her apartment dryer. This offense was more suggestive of stalking than simply window peeping.

After obtaining the police report for a theft charge offense, it was discovered that the theft involved confronting a woman, requesting sex from her, and assaulting her. When questioned, the offender admitted that he intended to rape the woman. The fact that the offender was charged with only theft was extremely misleading. The same was true for a burglary conviction, which turned out to be related to one of the attempted rape convictions.

As a result of this individual’s violent sexual history, teletypes were sent out to

all of the local police departments in the areas he had resided in since adolescence.

It turned out that he had numerous police contacts involving window peeping, possibly stalking a female, and at least one incident that may have been an attempted rape, all occurring when he was an adolescent and none resulting in arrest. After a review of his extensive history of attending sex offender treatment, it was discovered that he failed to complete every program as a result of his acting out with violent and sexually violent behavior while in the programs. In fact, disciplinary records indicated that he even engaged in violent sexual and non-sexual behavior toward female staff, and that he regularly entertained sexually violent thoughts about female staff. Although his documented criminal sexual behavior history indicated that he was perhaps untreatable and very dangerous, the additional collateral information was priceless in profiling him. It was only after obtaining the collateral information that his thoughts and plans of raping female staff were revealed.

Case number 3. Another adult male in his late 20s had two known sex-offense convictions as well as several adult and juvenile convictions for disorderly conduct and burglary. After obtaining the police reports and/or criminal complaints, it was discovered that all of his assault convictions were pled down from violent sexual offenses. The burglary involved striking the female victim with a club and attempting to rape her. It turns out that all of his numerous criminal convictions were sex related and that he was becoming far more physically violent with each sex offense.

Case number 4. A male in his early 20s was incarcerated for two separate counts of false imprisonment, each involving two different females. Upon reading the criminal complaint, it turns out that both of these incidents involved kidnapping and physically and sexually assaulting females.

The victims were strangers. After reading the criminal complaint and police reports, it turned out that there was a third victim who managed to escape.

The police reports and criminal history

indicated that he also had convictions for aggravated battery and disorderly conduct, as well as for violation of an order for protection. After obtaining the records on each of his convictions, it turned out that all involved seriously assaulting his significant other. When interviewed, he also admitted that he was convicted of aggravated criminal sexual abuse, which was nowhere to be found in the records.

He indicated that this involved sexually molesting one of his sisters and attempting to rape another one of his sisters.

Discussion Far too many psychologists conduct forensic assessments for assault, violence, and sexual offenses that draw conclusions on only a 1-hour interview with the offender and perhaps an administration of an MMPI-2. Psychologists have an ethical obligation to utilize all available resources when assessing an offender, especially when risk is to be estimated. The public and especially the original victim are at grave risk for being assaulted or raped again if the psychologist underestimates the offender’s actual risk. This will continue to occur much too frequently if psychologists fail to gather the available information and reports. Psychologists need to take the time to obtain relevant police reports, criminal histories, psychological records, and treatment reports and incorporate the information into the assessment. A new effective, accurate, and professional standard needs to be set to collectively establish a recommended and acceptable checklist for forensic assessments addressing violence.

Summary Criminal history checks are often very deceiving. A disorderly conduct conviction could have been the result of a plea agreement where the original charge may have been assault, criminal sexual conduct, robbery, or a more serious crime than “disorderly conduct” suggests. Investigators should go beyond criminal history checks in order to obtain all of the necessary information to adequately assess an offender’s criminal history. All history has

some degree of relevance. You cannot accurately assess or treat an offender or accurately assess psychopathy or assess the true risk for violent recidivism without a detailed history.

Official sources of information provide much more detail than criminal history checks. Often, police reports, criminal complaints, and pre-sentence investigation reports contain valuable and rich information concerning the offender’s history, including relevant information pertaining to the offender’s criminal history, family and relationships, employment history, and mental health history and may also suggest the use of an alias and/or the existence of other police reports or criminal charges that did not result in formal convictions or that were eventually dismissed or sealed.

It is often rewarding to contact the local police departments and ask for any information known about an individual. At times, local law enforcement will have several police reports indicating sexual and non-sexual violence that did not result in arrest or criminal charges. This information is very useful as it suggests a much more significant violent history regardless of whether there was an arrest or conviction. The information contained in a police report or criminal complaint is usually enough to affirm criminal charges being filed.

Prior psychological assessments and psychological testing offer rich information to compare the offender’s current and persistent personality traits and behavior.

Often juvenile treatment records provide rich information concerning an offender’s history of engaging in violent behavior.

Remember that out-of-home placements are typically the result of either abuse occurring in the home or the child engaging in assaultive or sexually assaultive behavior, both of which are indicators for higher risk of engaging in future acts of violence.

Tools and Tests CAPI. The Child Abuse Potential Inventory (CAPI) is a self-report instrument used as a screening tool for the detection

Fall 2005 THE FORENSIC EXAMINER 11

of physical child abuse. Milner, J. S. (1980). The Child Abuse Potential Inventory. Webster, NC: Psytec Corporation.

HCR-20. The HCR-20 (Assessing Risk For Violence) is a checklist for violent behavior. This tool defines violence as actual, attempted, or threatened harm; it specifies that threats must be clear and unambiguous and that the behavior is likely to cause harm to another person. It includes behavior that would create fear to the average person, such as stalking. Verbal and psychological abuse is not counted unless specific threats of harm are made. The HCR-20 is a research tool.

Webster, C. D., Douglas, K. S., Eaves, D., & Hart, S. D. (1997). HCR-20: Assessing Risk for Violence. Burnaby, British Columbia: Mental Health, Law, and Policy Institute, Simon Fraser University.

MMPI-2. The MMPI-2 (Minnesota Multiphasic Personality Inventory–2) provides a general measure of dimensions of personality, psychiatric symptomatology, and information about validity and impression management. Butcher, J. N., Graham, J. R., Ben-Porath, Y. S., Tellegen, A., & Dahlstrom, B. (1989). Multiphasic Personality Inventory-2. Minneapolis: University of Minnesota Press.

MCMI-III. The MCMI-III (Millon Clinical Multi-axial Inventory-III) is a selfreport measure that provides a measure of more categorical forms of psychiatric disturbance. MCMI-III reports are normed on patients who were in the early phases of assessment or in psychotherapy for emotional discomfort or social difficulties.

Millon, T. (1983). Millon Clinical Multiaxial Inventory (MCMI) (3rd ed.). Minneapolis: National Computer Systems.

MSI. The MSI (Multiphasic Sex Inventory) is a self-report questionnaire designed to assess a wide range of psychosexual characteristics of the sexual offender. Nichols, H. R., & Molinder, I. (1984).

Multiphasic Sex Inventory. Washington: Nichols & Milinder.

PSI. The Parenting Stress Index (PSI) is a screening and diagnostic assessment designed to yield a measure of the relative magnitude of stress in the parent-child relationship. It is appropriate for use with

parents of children as young as one month and up to 12 years. It is a self-report inventory completed by the patient. The PSI is divided into two parts. The first part is the child domain, which measures the qualities of the child that make it difficult for parents to fulfill their parenting roles. The second part is the parent domain, which measures sources of stress and potential dysfunction of the parentchild system that may be related to the parent’s functioning. Abidin, R. R. (1983). Parenting Stress Index Test (3rd ed.). VA: Pediatric Psychology Press.

SARA. The SARA (Spousal Assault Risk Guide) is a screening tool to assess for risk factors associated with spousal or familyrelated violence. The risk factors utilized have been empirically supported to predict spousal abuse. The term “spousal assault” refers to “…any actual, attempted, or threatened physical harm perpetrated by a man or woman against someone with whom he or she has, or has had, an intimate, sexual relationship.” The definition is not limited to acts that result in physical injury, is not limited to married couples, and is not limited by the gender of the victim or perpetrator. It is not a psychological test per se, but rather a checklist or assessment guide to ensure that pertinent information is considered and weighed by the examiner. The research continues to evaluate the tool’s interrater reliability and predictive validity. The presence of several factors would tend to support the existence of reasonable risk. Kropp, P. R., Hart, S. D., Webster, C. D., & Eaves, D. (1999). Spousal Assault Risk Assessment Guide. NY: MultiHealth Systems, Inc & B.C. Institute Against Family Violence.

STATIC-99. The STATIC-99 is intended to be a measure of long-term risk potential. This tool can meaningfully differentiate between sex offenders with higher or lower probabilities of recidivism; however, the labels of various risk levels (low, medium-low, and high) do not reflect any absolute standard of risk. This tool was designed to predict sex offense recidivism and has also shown reasonable accuracy in the prediction of any violent

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recidivism among sex offenders. Hanson, K. R. (1999). STATIC 99. Ontario, Canada: Public Works and Government Services Canada.

STAXI-2, The State-Trait Anger Expression Inventory–2 (STAXI-2) is designed to provide easily administered and objectively scored measures of anger experience and expression for individuals age 13 to adult. Spielberger, C. D. (1999). StateTrait Anger Expression Inventory-2 (STAXI-2). Florida: Psychological Assessment Resources, Inc. About the Author Scott A. Johnson, MA, LP, is a Diplomate of the American Board Psychological Specialties and has been a member of ACFEI since 1998.

He holds a master’s degree in counseling and psychological services from St. Mary’s College. He is a licensed psychologist and an Academy Certified Diplomate of the American Academy of Certified Consultants and Experts. He is also an adjunct instructor at St. Mary’s University of Minnesota School of Graduate Studies. Johnson works as a consulting forensic psychologist and therapist in his company, Mending Path Relationship Center, Inc. His extensive experience includes working with abusers and victims and addressing the issues of sexual psychopathic personalities, civil commitment, relationship and domestic violence, sexual assaults, rape, and child molestation, as well as general marital and relationship issues.

Johnson has presented at national and international conferences and trainings on issues involving sexual offenses and domestic abuse.

His book is titled When “I Love You” Turns Violent (New Horizon Press, 1993). His booklets include Man-To-Man: When Your Partner Says No and Detecting Truth From Deception (selfpublished). He has also published cutting edge research related to sexual offenders and domestic batterers.

Earn CE Credit To earn CE credit, complete the exam for this article on page 64 or complete the exam online at www.acfei.com (select “Online CE”).

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*Conference schedules are subject to change

Fall 2005 THE FORENSIC EXAMINER 13

Abstract

There is a specific need to provide updated data on marijuana effects for scientific accuracy and forensic credibility. Marijuana is difficult to classify as a substance, and there is a widespread lack of a balanced perspective on the effects of the drug. After discussing the latest evidence on marijuana effects and the drug’s potential for dependence, the present review provides current and balanced coverage of the deleterious effects of the drug on a variety of behaviors and the drug’s potential for medical use. Finally, the importance of a balanced view in light of the Supreme Court’s Daubert decision and the increased need for a current database to provide forensic testimony in cases involving marijuana effects are discussed.

This article is approved by the following for continuing education credit:

CME

ACFEI provides this continuing education credit for Diplomates.

ACFEI is approved by the American Psychological Association to offer continuing professional education for psychologists. ACFEI maintains responsibility for the program.

ACFEI is recognized by the National Board for Certified Counselors to offer continuing education for LMFTs, LCSWs, and National Certified Counselors.

We adhere to NBCC Continuing Education Guidelines. Provider #5812.

ACFEI provides this continuing education credit for Certified Forensic Consultants who are required to obtain 15 credits per year to maintain their status.

ACFEI is accredited by the Accreditation Council for Continuing Medical Education (ACCME) to sponsor continuing medical education for physicians. ACFEI designates this educational activity for a maximum of 1 hour in category 1 credit towards the AMA Physicians Recognition Award.

By Sherwood O. Cole, PhD, Diplomate of the American Board Psychological Specialties Key Words: marijuana, cannabis, dependence, deleterious effects, medical marijuana, Daubert decision, forensic credibility Introduction Marijuana is the most commonly used illicit drug in the United States (National Institute on Drug Abuse [NIDA], n.d.; Compton, Grant, Colliver, Glantz, & Stinson, 2004). The task of offering expert testimony on the clinical or psychological effects of the drug is particularly difficult. This is due to two primary factors: (1) the controversy related to classifying marijuana compared to other psychoactive drugs and (2) the widespread lack of a balanced perspective on the effects of marijuana.

Regarding the first factor, marijuana is not a simple drug (it contains over 200 compounds) and, unlike most psychoactive drugs, is hard to describe from a single perspective. Also, its effects are phase-dependent and, to a large degree, individualistic. Accordingly, rather than classifying marijuana among other psychoactive drugs, most authors prefer to treat it as a separate topic or issue (Ray & Ksir, 2004). Most certainly, marijuana is not a narcotic, as it is often incorrectly referred to by law-enforcement agencies and the legal system.

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Regarding the second factor, the public is bombarded with culturally confusing messages about the risks and benefits of marijuana (Alexander, 2003). The public and some professionals view marijuana from two conflicting perspectives, resulting in a lack of a balanced (moderate) view of its action. Some view marijuana as a very dangerous drug while others see it as a harmless drug. Those viewing marijuana as a dangerous drug are supported by the federal government’s prohibition of possession and use of the drug and by outdated and unproven horror stories about marijuana-related criminal acts (Ray & Ksir, 2004). Those viewing marijuana as a harmless drug base their opinions primarily on personal experiences with the drug and on the belief that the federal government has been lying and exaggerating the potential danger of marijuana.

In view of the above issues, there seems to be a specific need to provide updated data on marijuana for scientific accuracy and forensic credibility. Forensic science relies upon facts and scientific findings (not speculation or anecdotal information), and the value of forensic testimony is seriously compromised in those instances where such standards are not implemented.

This article attempts to present an

updated picture of the effects, potential dangers, and possible beneficial uses of marijuana in hopes that it will provide a valuable database for scientific reporting in the context of expert forensic testimony.

In order to assure that the picture of marijuana presented here is current, only recent studies are reviewed. While no attempt has been made to exhaust all available studies, a genuine attempt has been made to be representative and fair in reviewing such findings.

The Nature of Marijuana and Its Action Marijuana (also referred to as cannabis in the literature) is a preparation of leafy material from the cannabis plant (Cannabis sativa). While herbal cannabis contains over 400 compounds, including over 60 cannabinoids, its most important and primary active ingredient is delta-9tetrahydrocannabinol (THC) (Ashton, 2001). Cannabinoids are chemicals that are unique to the cannabis plant and are structurally related to THC. The main recreational purpose of marijuana is its euphoric effect or high, although the drug can also produce dysphoric reactions such as panic and anxiety (Ashton). The potency of marijuana varies depending upon the part of the plant used and the amount of

resin present. The flowering top of the plant contains the most resin, with the leaves and fibrous stalk containing progressively less. While marijuana of past years may have been relatively harmless, experimentation and crossbreeding have resulted in an increase in the potency of the drug found on the market today (Compton et al., 2004; ElSohly, et al., 2000). Evidence obtained from confiscated marijuana suggests that its increase in potency nearly doubled during the period from the early 90s to the late 90s (ElSohly, et al.). There is also some suggestion that the increase in the potency of marijuana may contribute to the rising rate in abuse (Compton et al.).

The mechanism of action underlying cannabinoids has only recently been clarified (D’Souza & Kosten, 2001) and involves the identification of two receptor subtypes referred to as CB1 and CB2 (Ledent et al., 1999; Watson, Benson, & Joy, 2000). CB1 receptors are distributed throughout the central nervous system including the cerebral cortex, hippocampus, amygdala, basal ganglia, cerebellum, thalamus, and brainstem (Ashton, 2001) as well as some areas of the peripheral nervous system (Ledent et al.). The newly discovered endogenous cannabinoid anandamide is believed to be a critical pre-

Fall 2005 THE FORENSIC EXAMINER 15

synaptic component of neurotransmitter systems related to CB1 subtype systems and involved in the central mediation of marijuana effects (Ashton). This conclusion finds support in studies where pretreatment with the CB1 antagonist SR 141716 blocked the effects of smoked marijuana on self-reports of acute intoxication (Huestis et al., 2001) as well as the effects of peripherally administered anandamide on induced overeating (Williams & Kirkham, 1999). In contrast to CB1 receptors, less is known about CB2 receptor types, although they are found mainly in immune cells. However, the role of cannaboids in the immune system is likely to be multifaceted and, at present, remains vague (Watson et al., 2000).

Marijuana Dependence, Withdrawal, and Treatment While the latest edition of the American Psychiatric Association’s Diagnostic and Statistical Manual of Mental Disorders recognizes marijuana dependence (2000), it is less certain about marijuana withdrawal symptoms and their clinical significance.

However, evidence clearly suggests that individuals using marijuana can develop both dependence and withdrawal symptoms, although under a narrower range of conditions than with some other drugs (Watson et al., 2000; Johns, 2001). Such withdrawal symptoms include restlessness, insomnia, anxiety, increased aggression, anorexia, muscle tremors, and autonomic effects (Ashton, 2001). In heavy users of marijuana, these symptoms appear to be more pronounced during the initial 10 days of abstinence, but some symptoms may persist as long as 28 days (Kouri & Pope, 2000). The symptoms are similar in type and magnitude to those observed with nicotine withdrawal and less severe than those observed with alcohol or opiate withdrawal (Budney, Hughes, Moore, & Novy, 2001). While the development of tolerance to the drug may lead some marijuana users to escalate dosage, the presence of withdrawal symptoms encourages continued use of the drug.

While the treatment of marijuana dependence is still in its infancy, there appear to be some interesting prospects on

the horizon. For one, there is some optimism about the potential therapeutic use of the CB1 antagonist SR 141716A (and possibly other similar antagonists) in the treatment of marijuana dependence, although caution is advised (D’Souza & Kosten, 2001). In contrast to chemical treatment, brief intervention programs that utilize multi-component therapy (motivational, cognitive, behavioral) appear to be more effective than single component therapy in treating cannabisdependent adults (Babor, 2004). Additional intervention programs directed at curbing marijuana use/abuse include the use of targeted public service announcements with high-sensation-seeking adolescents (Palmgreen, Donohew, Lorch, Hoyle, & Stevenson, 2001) and family skill training to equip parents with drug information and coping strategies (Spoth, Redmond, & Shin, 2001).

One additional important finding of interest is the evidence from animal studies of an interconnected role of CB1 and opiate receptors in brain areas and its potential importance to the mediation of addictive behavior (Ledent et al., 1999).

The cross-sensitization observed between delta-9-THC and morphine, which was symmetrical, suggests that common neurobiological substrates may be involved in addiction to marijuana and opiates (Cadoni, Pisanu, Solinas, Acquas, & DiChiara, 2001). These homologies between cannabinoids and opiates, while not providing direct evidence for a causal relationship between cannabis and opiate use, are nonetheless consistent with this possibility (Parolaro & Rubino, 2002).

The functional link in the mechanism of addictive action by both types of drugs may be through u-opiate receptor influence on mesolimbic dopamine systems (Manzanares et al., 1999; Rubino, Massi, Vigano, Fuzio, & Parolaro, 2000). While there may also be functional links between cannabinoid properties and other centrally acting drugs, these links are at present less clearly defined (Wiley & Martin, 2003).

Deleterious Effects of Marijuana The areas reviewed here include (1) the

16 THE FORENSIC EXAMINER Fall 2005

effects of marijuana on cognitive performance; (2) the potential role of marijuana as a stepping-stone to “hard drug” use; and (3) the relationship of marijuana use to the later development of psychotic illness. Following this, comments will be made regarding some additional marijuana effects of continued interest in the literature.

The effects of marijuana on cognitive performance. The impairment of cognitive performance by cannabis is generally well accepted in the literature. In some respects, this impairment is similar to that observed with alcohol and includes slow reaction time, lack of coordination, deficits in concentration, and impairment in performance of complex tasks (Ashton, 2001). However, two specific issues appear to be of primary interest in the context of such impairment: (1) the influence of amount of marijuana on cognitive impairment, and (2) the duration or sustaining power of the cognitive impairment produced by the drug.

Regarding the first of these issues, evidence clearly suggests that there is a direct relationship between the amount of marijuana use and the degree of cognitive impairment. For example, in studies where a large battery of neuropsychological tests were employed, abstaining subjects with a history of heavy marijuana use performed significantly less well than controls or subjects with a history of moderate drug use (Bolla, Brown, Eldreth, Tate, & Cadet, 2002; Solowij et al., 2002). Interestingly, while heavy marijuana users differed from controls on the majority of tests administered in one study, the moderate drug users differed very little from controls (Solowij et al.). In general, while the impairment in cognitive functions resulting from marijuana use is moderate, it would appear to have the potential of impairing driving ability, operation of equipment, task proficiency, and daily functioning.

Regarding the duration or sustaining power of cognitive impairment resulting from marijuana use, results are less consistent. For example, some evidence suggests that the cognitive deficits associated with cannabis use may persist up to only 7 days

“Regarding the labeling of marijuana as a Schedule I drug by the federal government (FDA) and its lack of availability by prescription, the issue is not black and white.” after subjects last smoked the drug (Pope, Gruber, Hudson, Huestis, & YurgelunTodd, 2001), while other evidence suggests that such cognitive deficits may persist up to 28 days after abstinence from marijuana (Bolla et al., 2002). Such a difference in findings raises critical issues related to possible mechanisms by which the drug mediates such discrepancies. In the case of the short-term deficits, the effects may simply be associated with marijuana-induced agitation associated with withdrawal from the drug often lasting this long (Pope et al.). However, in the case of cognitive deficits persisting up to 28 days, such an explanation is inadequate. In this case, the deficits may be due to neurological changes in the previously mentioned cannabinoid receptor systems and the effect of marijuana on such systems over a longer period of time (Solowij et al., 2002). In addition, marijuanainduced hypo-activity in the posterior cerebellum may play an immediate role in such a cognitive deficit, particularly in light of the role of this brain area in the sense of timing (Block et al., 2000a). The effects of marijuana on attention-related regional cerebral blood flow may also play some underlying role in such a cognitive deficit (Block et al., 2000b). However, the relevance of these changes in activity level

and blood flow to the issue of duration of cognitive impairment remains unclear.

While the bulk of evidence strongly supports the findings of a cognitive impairment produced by marijuana, one study reported no evidence for cognitive decline between heavy, light, and non-users of cannabis (Lyketsos, Garrett, Liang, & Anthony, 1999). However, the failure to detect cognitive decline in this case may reflect insufficient heavy or chronic use of cannabis or the use of insensitive assessment instruments (Solowij et al., 2002).

The potential role of marijuana as a stepping stone to “hard drugs.” Marijuana has long been referred to as a gateway drug, implying that its use serves as a stepping stone to the later use of other “hard drugs” (e.g., heroin, cocaine, hallucinogens, etc.). Such an assumption finds strong support in studies where both national diversity and differences in subsequent “hard drug” use have been investigated.

In one Australian twin study, twin pair members who had used cannabis by age 17 had higher additional drug-use rates than their twin siblings who had not used cannabis by age 17 (Lynskey et al., 2003).

It is unlikely such differences were due to environmental factors since the twin pairs were raised in the same household. While

the association between early marijuana use and later additional drug use did not differ significantly between monozygotic and dizygotic twins, the age of initiation of cannabis use (before age 17) was influenced by heritable factors (Lynskey et al.).

Additional non-twin studies conducted in New Zealand and the United States generally support the findings of the above study in that early cannabis use preceded the later use of other illicit drugs (Fergusson & Horwood, 2000; Wagner & Anthony, 2002; Merline, O’Malley, Schulenberg, Bachman, & Johnston, 2004). In one of these studies, subjects previously using cannabis on more than 50 occasions per year demonstrated hazards of subsequent illicit drug use that were 59 times higher than non-users (Fergusson & Horwood). Another one of these studies also points out the persistence of such subsequent drug use; it was still rather prevalent among adults 35 years of age, although influenced by adult role and experiences (Merline et al.). Not only does marijuana use increase the risk of subsequent illicit drug use, it also increases the risk of problems in general, which limits the individual’s adjustment and performance (Brook, Balka, & Whiteman, 1999).

While there is little dispute over the influence of early marijuana use on subse-

Fall 2005 THE FORENSIC EXAMINER 17

“While the evidence for the previous use of marijuana increasing the subsequent development of mental illness is relatively strong, the mechanism underlying this linkage is a controversial and highly debated topic.” quent “hard drug” use, one of the major focal points of recent studies has been on the possible mechanism mediating such a relationship. One author suggests that the relationship is due to the fact that initial cannabis use may encourage later broader experimentation, reduce perceived risk of using other drugs, and bring users into contact with other drugs (Lynskey et al., 2003). A similar view is the suggestion that the interconnection between early marijuana use and subsequent illicit drug use is due to drug exposure opportunities; i.e., marijuana users will increasingly be exposed to greater opportunities to experiment with other drugs (Wilcox, Wagner, & Anthony, 2002). While both of the above mechanisms have a ring of truth about them, one cannot rule out, in light of previous evidence of cross-sensitization of delta-9-tetrahydrocannabinol and morphine (Cadoni et al., 2001), the potential role of neurobiological substrates in such a relationship. Although such a mechanism may not mediate the relationship between early marijuana use and all types of subsequent “hard drug” use, it may serve some role in the subsequent use of opioids. It is also possible that the relationship between early marijuana use and subsequent illicit drug use is non-causal and reflects factors not yet adequately addressed by studies

(Fergusson & Horwood, 2000).

The relationship of marijuana use to later development of psychotic illness.

One of the most interesting and important areas of marijuana research in recent years is the relationship between early marijuana use and the subsequent development of mental illness. In general, recent evidence obtained from cross-sectional national studies supports the conclusion that the previous use of marijuana significantly increases the subsequent occurrence of schizophrenia (van Os et al., 2002; Arseneault, Cannon, Witton, & Murray, 2004; Veen et al., 2004) and major depression (Brook, Brook, Zhang, Cohen, & Whiteman, 2002). Overall, cannabis use appears to confer a two-fold risk of the later development of schizophrenia compared to that found in the general population (Arseneault et al.). Further evidence also suggests that, while gender and age may further influence the onset of the first psychotic episode, it is the use of cannabis itself that proves to be a much stronger predictor of the onset of the first psychotic episode (Veen et al., 2004). Parenthetically, it is of further interest to note that comorbidity (presence of additional mental illness) is also present in many adolescent substance users (including marijuana users) (Latimer, Stone, Voight, Winters, &

18 THE FORENSIC EXAMINER Fall 2005

August, 2002; Robbins et al., 2002). Such an overlap in adolescent predictors increases, markedly, the difficulty of defining the association between early marijuana use and subsequent mental illness (McGee, Williams, Poulton, & Moffitt, 2000).

While the evidence for the previous use of marijuana increasing the subsequent development of mental illness is relatively strong, the mechanism underlying this linkage is a controversial and highly debated topic. Although it is fairly clear that the linkage between previous marijuana use and mental illness is not simply a fortuitous or temporal association, suggestions as to the causative factors that may contribute to it are diversified. For example, one author suggests that early cannabis use may trigger or exacerbate symptoms of mental illness in subjects who may already be at genetic risk for developing the mental illness (Veen et al., 2004). This view appears to have some credibility in light of the aforementioned evidence for a cooccurrence of drug use and mental illness in adolescents (Latimer et al., 2002; Robbins et al., 2002). However, the majority of evidence suggests that cannabis use demonstrates temporal priority in relationship to mental illness (precedes it) and can produce psychosis in individuals who

have no history of mental illness (Johns, 2001; van Os et al., 2002). More realistically, it may be appropriate to suggest that cannabis use is likely to play a causal role with regard to psychosis, but that it is not a necessary or sufficient condition for schizophrenia (Arseneault et al., 2004).

That is to say, cannabis use is a component cause, one part of a constellation of causes that leads to subsequent schizophrenia (Arseneault et al.). Additional evidence suggests that such a “component cause” explanation of the linkage between cannabis use and mental illness may not go far enough (Leweke, Giuffrida, Wurster, Emrich, & Piomelli, 1999). In this case, the level of endogenous cannabinoids in the cerebrospinal fluids of schizophrenics was significantly higher than in controls, suggesting that a type of “hypercannabinergic state” in the central nervous system may contribute to the pathogenesis of schizophrenia (Leweke et al.). However, the relatively small sample of subjects in this study (10 schizophrenic patients) somewhat restricts the generalities of the findings. It is quite apparent that the final word on the mechanism underlying the linkage between marijuana use and subsequent mental illness awaits further study.

Additional miscellaneous marijuana effects. The harmful effects of marijuana on the respiratory and cardiovascular systems have long been recognized (National Institute on Drug Abuse, n.d.; Ashton, 2001). Like tobacco, marijuana smoke increases the risk of cancer and lung damage (Watson et al., 2000). This should not be surprising since marijuana contains most of the same chemical components (except nicotine) that are found in tobacco. Also, the smoking of marijuana causes changes in the cardiovascular system that are, in general, characteristic of stress (Ray & Ksir, 2004). Recent studies further emphasize the increased risk of cardiac problems associated with such changes.

For example, evidence suggests that chronic abuse of marijuana may increase the risk of stroke in young men aged 18-30 years (Bulletin Board, 2002) and that such an increased risk remains well past the period of withdrawal symptoms caused by abstinence from the drug. Additional evidence

suggests that, within 1 hour after smoking marijuana, the risk of myocardial infarction onset was elevated approximately 5 fold (Mittleman, Lewis, Maclure, Sherwood, & Muller, 2001). Fortunately, after 1 hour, the risk of such an effect decreases markedly. While the risk of myocardial infarction significantly increases after smoking marijuana, the risk is much less than that associated with cocaine use (Mittleman et al., 1999).

Another long-standing interest associated with marijuana use is the concept of “amotivational syndrome” (Ray & Ksir, 2004). This syndrome is generally described as a diminished motivation accompanied by a loss of energy and drive to work. Such characteristics can, undoubtedly, have an important impact on one’s ability to learn, school performance, and general effectiveness in dealing with everyday problems. However, such a syndrome may represent nothing more than the ongoing intoxication in frequent marijuana users (Johns, 2001). This appears to be particularly plausible in light of the long half-life of marijuana in the body and the fact that daily smokers can be chronically intoxicated (Ray & Ksir, 2004).

Finally, the impairment of short-term memory (ability to easily recall information learned just seconds or minutes before) by marijuana remains one of the most consistent findings in the literature.

Since CB1 receptors are distributed in the hippocampus, interference with their function may play a role in such impairment by marijuana, possibly by disrupting the encoding process (Hampson & Deadwyler, 1999). As to whether such an impairment in short-term memory is more permanent or tends to diminish with the passage of time is debatable (Johns, 2001). In any event, such impairment in short-term memory has the potential for impacting cognitive performance as discussed previously.

The Potential Medical Use of Marijuana One of the most hotly-debated issues in our society is the legalization of marijuana for medical purposes. In spite of the con-

tinued debate, the evidence for the medical benefits of the drug grows and presently includes, by conservative estimate, the following uses (Watson, et al., 2000; Ray & Ksir, 2004): 1. Reduction of the fluid pressure in the eyes of glaucoma patients.

2. Reduction of severe nausea caused by certain drugs in the treatment of cancer.

3. Stimulation of appetite and reduction of pain associated with wasting syndrome in patients with cancer and AIDS. 4. As a possible anticonvulsant in the treatment of epilepsy.

While the potential medical benefits of marijuana are generally recognized, the legalization of the drug for such purposes has, nevertheless, been hampered by three critical issues: 1. Marijuana is labeled a Schedule I drug under the Controlled Substance Act of 1970, which implies it has no accepted medical use and has high abuse potential.

Accordingly, it is not available by prescriptions written by physicians.

2. There is general fear by the public that the legalization of marijuana for medical purposes would open the door to a general increased availability and abuse of the drug in our society.

3. There may not be a necessity for legalizing marijuana for medical purposes since there are presently alternative drugs that are equally effective and available for treatment.

Each of these issues will be briefly discussed in order to disclose the nature and potential fallacy of the position. It is hoped that such a discussion will indicate that medical marijuana may have a future, albeit in a slightly different direction than it is presently going.

Regarding the labeling of marijuana as a Schedule I drug by the federal government (FDA) and its lack of availability by prescription, the issue is not black and white.

The National Institute on Drug Abuse did provide medical-grade marijuana cigarettes to a few patients with FDA approval of a “compassionate use” protocol (Ray & Ksir, 2004). The labeling of the drug as Schedule I pertains to the plant (botanical product) or to synthetic equivalents of the plant, not to all drugs containing THC

Fall 2005 THE FORENSIC EXAMINER 19

Medical Marijuana Laws in the United States Medical marijuana has been a controversial issue for years, and one can easily become confused about what the law has to say about it.

On the one hand, some state laws allow the use of medical marijuana, and in these states doctors are allowed, by state law, to prescribe the drug to certain classes of patients, such as those with cancer or other serious illnesses.

Currently 12 states have laws on their books allowing the use of medical marijuana with a doctor's approval: Alaska, California, Colorado, Hawaii, Maine, Maryland, Montana, Nevada, Oregon, Vermont, and Washington. Arizona also has a similar law, but it does not have a formal program in place to administer prescription marijuana.

Most of these states' laws specify that marijuana can only be prescribed for certain conditions, such as wasting disorders, cancer, chronic pain, epilepsy, and other disorders characterized by seizures, glaucoma, HIV or AIDS, multiple sclerosis, persistent nausea, etc.

On the other hand, marijuana remains classified as a Schedule I controlled substance by the federal government, making it a federal crime to possess, use, or grow the drug.

The conflict between the federal law and states' laws reflects a similar divi-

(The Science of Medical Marijuana, n.d.).

For example, Marinol (dronabinol) is a synthesized drug in capsule form containing THC in sesame oil and is available by prescription under a Schedule II label (The Science of Medical Marijuana, n.d.).

The factor limiting the prescribing of Marinol by physicians may simply be the lack of awareness of the drug’s efficacy or the fact that a Schedule II label, while making the drug available, is still a restricted category. In any case, the future of Marinol and other potential cannabinoid medications would appear to be found in

The states in black allow the use of medical marijuana. However, federal law still prohibits the possession, cultivation, and distribution of the drug.

sion in America over whether the use of medical marijuana should or should not be allowed. While this issue remains to be resolved in the court of public opinion, a recent Supreme Court decision, Gonzales v. Raich, clarified the issue of whether state or federal law takes precedence. The justices ruled 6-3 that doctors can be blocked from prescribing medical marijuana, even if the states they live in allow it.

This, in essence, means that the federal law banning marijuana trumps the laws of individual states. A pervious Supreme Court ruling in 2001 also declared that anyone who distributed marijuana could be prosecuted under federal law, even if the distribution was for medical purposes. Thus, the possession, use, or cultivation of marijuana

pure drugs delivered by some means other than smoking (Watson et al., 2000).

The most promising delivery system to date would appear to be some form of inhalation, owing to the rapid onset and potential for better titration by the patient (The Science of Medical Marijuana, n.d.).

Ironically, the federal government’s handling of the marijuana issue has been so poor that a growing number of states have passed ballot initiatives (e.g., California’s Proposition 215) designed to allow individuals to grow their own marijuana (Nofziger, 1998). This has led to addition-

20 THE FORENSIC EXAMINER Fall 2005

remains a federal crime.

The issue will now go to Congress. In May of 2005 a bill, HR 2087, was introduced by Republicans Ron Paul (TX), Dana Rohrabacher (CA),and 28 co-sponsors to permit the use of medical marijuana by seriously ill patients.

If passed the bill would reschedule cannabis under federal law, allowing physicians to prescribe it in those states that have recognized its use under their state law. The bill would also give state governments that want to establish medical marijuana distribution systems the legal authority to do so.

Sources: Bierbauer, C. (14 May, 2001). High Court rejects medical marijuana.

CNN. Retrieved July 18, 2005, from www.cnn.com Mears, B. (7 June, 2005). Supreme Court allows prosecution of medical marijuana. CNN. Retrieved July 18, 2005, from www.cnn.com Active state medical marijuana programs. (n.d.) NORML. Retrieved July 18, 2005, from www.norml.org

al state and federal legal action that has only further delayed a solution to the medical-marijuana issue (Murphy, 2004; Ray & Ksir, 2004).

Regarding the issue of general fear by the public that the legalization of marijuana for medical purposes would encourage a general increase in the illicit use and abuse of the drug in society, the answer is not immediately clear. However, evidence available suggests that this is not the case.

For example, a comparison of marijuanause practices in two cities that are very similar demographically but different in

legal availability of marijuana for recreational use (San Francisco, California, and Amsterdam, Netherlands) indicated such practices do not differ in the two locations (Reinarman, Cohen, & Kaal, 2004). Since total removal of criminalization restraints (Amsterdam) does not appear to increase the abuse potential over that observed in the context of such restraints (San Francisco), the partial relaxing of drug-control standards in making medical marijuana available would not appear to exacerbate marijuana abuse problems.

Furthermore, a time-series analysis could be undertaken to determine whether society is consuming marijuana at higher rates or in greater quantities than it was prior to medical legalization (Yacoubian, 2001). Such results could be achieved by monitoring the use of marijuana with national data collection systems (e.g., The National House Survey on Drug Abuse, The Drug Abuse Warning Network, etc.). A further benefit of the relaxing of drug control standards in making medical marijuana available might possibly be the control in the spread of disease by clean needle programs and controlled environments for drug use.

Regarding the fact that the legalization of marijuana may not be necessary because there are alternative drugs that are equally effective and available for treatment, the statement may be partially true and partially false. In the case of some treatment contexts, additional available drugs may be better and safer than marijuana. This appears to be true in the case of the treatment of fluid pressure in the eyes of glaucoma patients with available prescription eye drops. The effect of marijuana, in this case, is short-lived and the doses so high that the modest benefits gained are outweighed by the side effects (Watson et al.

2000). Also, in the case of the possible use of marijuana as an anticonvulsant, the available drug Dilantin (phenytoin) may prove to be equally effective.

In other instances, medical marijuana may not necessarily be better than other legal drugs on the market, but simply an alternative choice in the array of available medications. If marijuana is chosen as an alternative medication to those legally

available, it is important to keep in mind that smoked marijuana is a complex mixture of active and inactive ingredients (The Science of Medical Marijuana, n.d.).

Accordingly, concerns arise about product consistency, potency of active ingredients, and contamination.

While the debate over medical marijuana continues, cannabinoids are being developed for therapeutic application beyond those previously mentioned here.

One of the most important new applications of cannabinoids is their potential role in “neuroprotection,” a role associated with their antioxidant action (The Science of Medical Marijuana, n.d.). However, the future of such medications would appear to be found in pure drugs (chemically defined), not with the use of the plant or smoked form of marijuana (Watson et al., 2000).

Summary and Concluding Comments Marijuana is not a completely benign substance but, rather, is a powerful drug with a variety of effects. Accordingly, it is important to examine these effects in a fair and balanced manner. This article attempts to do this by, first of all, presenting a general review on the nature of marijuana, its mechanisms of action, and evidence for dependence. Following this, the adverse effects of the marijuana on cognitive performance, the drug’s role as a “stepping stone” to hard drugs, its potential for contributing to the development of mental illness, and other effects are reviewed for the purpose of demonstrating the cost associated with the drug’s use. While these adverse effects are real, they are well within the range of effects tolerated by other medications on the market (Watson et al., 2000). A counterbalance to the adverse effects of marijuana is the fact that the drug clearly has some therapeutic value, albeit in a somewhat different form than the smoked one. Undoubtedly, the future of the growing medical use of cannabinoids depends upon the development of pure drugs, where the consistency of content, purity, and potency of the product can be carefully controlled.

Such a balanced and up-to-date view on

the effects of marijuana, as presented here, is particularly important in the context of the forensic need to assure the accuracy and reliability of expert testimony. Such accuracy and reliability of testimony would appear to be particularly critical in light of the United States Supreme Court’s ruling in the Daubert decision (Daubert v.

Merrell Dow, 1993). While previous evidence was admissible on the basis of its “general acceptance” in the scientific community, the Daubert decision established a new set of criteria for courts to determine the admissibility of evidence. An outline and discussion of these criteria are presented elsewhere (Bloomer & Hurwitz, 2002; Cole, 2003). One of these criteria, “the actual or potential rate of error in the expert’s methodology,” is particularly relevant to the present discussion. For example, any inaccuracy or deficiency in the assessment of marijuana effects can potentially increase the rate of error in the testimony offered by expert witnesses. Protective measures appear to be particularly relevant in the case of marijuana, where anecdotal information and unscientific assumptions about the drug are still prevalent in the public mindset.

While there has been considerable debate as to whether the Daubert decision has made it easier or more difficult to admit expert testimony (Joseph, Atkins, & Flaks, 2000), there is little doubt that the decision has provided useful and standardized rules for such admission. Contrary to the loose criteria for expert testimony in existence prior to the Daubert decision, testimony that is subjective and controversial is now more likely to be excluded as unreliable (Cole, 2003). Experts in the courtroom are expected to employ the same level of intellectual rigor that characterizes their practices.

Expert witnesses need to become more aware of the scientific basis of their evidence, and up-to-date data is critical to this process. The evidence presented here provides a solid and current database for such witnessing related to marijuana effects. Thorough preparation by a potential witness will increase his or her credibility and will allow the witness to speak with authority and effectiveness.

Fall 2005 THE FORENSIC EXAMINER 21

While serving as an expert witness on the effects of marijuana (or any other psychoactive drug) can be an exciting and challenging role, the changes that have taken place in court procedures suggest the need for better and more thorough preparation. In the final analysis, it is important to remember that the legal game is still an adversarial system of justice.

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About the Author Sherwood Cole, PhD, DABPS, received his master’s degree from the University of California, Los Angeles, and his doctorate in psychology from Claremont Graduate University. He is professor emeritus of psychology at Rutgers University and taught clinical psychopharmacology on a part-time basis at Rosemead School of Psychology, Biola University, for 8 years. In addition to teaching at the graduate level for more than 30 years, he has published numerous articles on neural mechanisms and behavior effects of psychoactive drugs in professional journals. He is a member of the Society for Neuroscience and the American Psychological Association (Division 28-Psychopharmacology and Substance Abuse), and he is a Fellow of the Royal Society of Health, England. He is also a Diplomate of the American Board Psychological Specialties (specialty in psychopharmacology) and has been a member of the American College of Forensic Examiners International since 1999.

Earn CE Credit To earn CE credit, complete the exam for this article on page 64 or complete the exam online at www.acfei.com (select “Online CE”).

Fall 2005 THE FORENSIC EXAMINER 23

This article is approved by the following for continuing education credit: ACFEI provides this continuing education credit for Diplomates.

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By Amy Boothby Villegas, BA; Matthew J. Sharps, PhD; Diplomate of the American Board Psychological Specialties; Brianna Satterthwaite, PsyD; and Sarah Chisholm, BA

Key Words: eyewitness memory, recognition memory, recognition of vehicles Abstract The ability to recognize vehicles based on their presence in or around crime scenes, frequently a critical point of evidence in court and in criminal investigations, has been ignored in forensic and experimental psychology.

This article reports on an experiment in which this ability was assessed under idealized conditions. Memory performance was relatively poor in this study, although performance varied with vehicle attributes: color was more important in the formation of erroneous identification than was vehicle type. The results suggest that eyewitness identifications of vehicles allegedly used in crimes are unlikely to be accurate under the conditions typical of real-world crime scenes.

n the Washington, D.C., sniper case, (see page 26) several eyewitnesses reported seeing a white or cream-colored van in which the sniper apparently traveled. No such vehicle in fact existed. During that period of regional police emergency, when peak lawenforcement efficiency was paramount, an appreciable level of police attention was directed toward the identification of this nonexistent vehicle. This situation highlighted the need for attention to the littlestudied area of eyewitness identification: the ability of witnesses to make accurate identifications of the vehicles used in crimes.

Over the past century a great deal of research attention has been directed toward the eyewitness identification of persons, especially of faces (Sporer, Malpass, &

I

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Koehnken, 1996). Broad consensus has emerged among experts in the field in a number of areas, including such issues as the wording of questions, lineup instructions, post-event information, cross-race bias, weapon focus, exposure time, unconscious transference, and others (Kassin, Tubb, Hosch, & Memon, 2001). However, little attention has been directed toward the identification of the inanimate objects used in criminal activities, frequently a significant point in court proceedings.

Witness abilities in this regard may be significantly poorer than expected. In a recent study (Sharps, Barber, Villegas, & Stahl, 2003) of firearms identification under ideal laboratory conditions, correct response rates for semi-automatic pistol identification were slightly less than half correct, with more familiar handgun types

Eyewitness Memory for Vehicles

being better recognized than less familiar types. Nondescript revolvers were recognized correctly only 43% of the time.

Assault weapons used less frequently in crimes are subject to a higher level of “feature-intensive” processing due to their larger size and complex features (Sharps, 2003; Sharps & Nunes, 2002) and were correctly recognized less than three-quarters of the time. These figures strongly suggest appreciable reconfiguration of memory for inanimate objects after encoding.

Such reconfiguration of memory is not unexpected. Over 70 years ago Bartlett (1932) showed that memory is not the static, videotape-like system of popular imagination. Rather, memories become reconfigured in three directions. Memories become shorter and more abbreviated.

Details are lost, leaving a general gist representation on which later factors (e.g.,

post-event information, the wording of questions during investigations and preliminary proceedings) may act to enhance or weaken memory elements that may or may not have been correct in the first place. Finally, personal belief can alter memory significantly in both the visual and verbal realms. Bartlett showed that customs and cultural beliefs significantly altered European memories of Native American stories, and that responders recalled relatively abstract figures as specific, meaningful pictures of everyday objects if they were suggested to be such by the experimenter. Modern work in several venues has confirmed the main points originally described by Bartlett (e.g., Ahlberg & Sharps, 2002; Bergman & Roediger, 1999).

A recent theoretical formulation has shown that these phenomena may be encapsulated along a single processing dimension (Sharps & Nunes, 2002; Sharps, 2003). People in eyewitness situations frequently encode the original memory in a “gestalt” manner with little actual attention to details that might assist in making a correct identification. However, a later analysis of the situation, especially under circumstances where others (e.g., attorneys and law enforcement officers) are directing and framing the analysis, shows the processing involved moves in a direction termed “feature-intensive,” in

which a relatively slow and meticulous analysis of elements of the initial situational configuration is undertaken. The problem here is that the initial gestalt configuration was relatively devoid of the details needed for feature-intensive analysis, and as Bartlett demonstrated, such details may be readily fabricated, unconsciously on the part of the witness, from vague impressions, later information, or other sources.

In view of these considerations, it was anticipated that eyewitness’ memory for vehicles would exhibit similarly low levels of accuracy. Given the significance of accurate vehicle identification in investigations and in court proceedings, as in the Washington sniper case mentioned above, the general ability of witnesses to make accurate identifications of vehicles was evaluated.

Two major characteristics of vehicles contribute to their identification: color and type. It was important to determine the degree to which each of these characteristics contributed to the accuracy or inaccuracy of eyewitness recognition.

Logistically, it was not possible to acquire actual vehicles that varied systematically along these two dimensions (e.g., a truck, a van, and a sedan all of the exact same shade of red, and identical models of vehicles in different uniform colors). It was also impossible to photograph real vehicles in an identical neutral context. Attempted

Fall 2005 THE FORENSIC EXAMINER 25

The Washington, D.C., Sniper Case: A Case Study in How Eyewitness Identification of Vehicles Can Go Wrong

By Heather B. Blades In 2004 Lee Boyd Malvo, age 18, and John Allen Muhammad, age 42, were both convicted of the October 2002 sniper shooting spree that left 13 people shot, 10 dead, and the entire population of the Washington, D.C., area terrorized for three weeks.

The two men’s reign of terror over the Washington, D.C., area began on October 2 when they murdered James Martin, age 55, by firing a single shot from a highpowered rifle. Martin, who had been buying groceries, never knew he was in danger. Earlier that same evening windows were shot at a nearby craft store.

The next day James L. “Sonny” Buchanan Jr., age 39, became the next victim when he was shot in the chest while mowing the grass at an auto dealership in the area. He did not survive. A half hour later taxi cab driver Prem Kumar Walekar, age 54, stopped at a gas station in Rockville, Md. He was shot in the chest at he pumped gas into his cab.

He also died. Less than 30 minutes later Sarah Ramos, age 34, was shot in the head as she sat on a bench waiting for her ride to work. This time police got a lead in the case when a witness reported two men fleeing the scene in a white “box truck.” A matter of hours later the snipers claimed their fourth victim when they shot Lori Ann Lewis-Rivera, age 25, as she was vacuuming her minivan at a gas station in Kensington, Md. The snipers struck once again that night, killing Pascal Charlot, age 72, on a Washington, D.C., street.

The next day, on October 4, a 43-yearold mother of two young sons narrowly

escaped death when she was shot in the back while loading her minivan at a craft store.

Two days of calm passed before the snipers struck again. On October 7 they shot a 13-year-old boy as he was being dropped off at his middle school. The boy survived the attack, and police later found a tarot “death” card and a shell casing near the scene. The card contained a handwritten message: “Dear policeman, I am God.” On October 9 Dean Harold, age 53, became the snipers’ next murder victim when he was shot at a gas station near Manassas, Va. Two days later the snipers killed Kenneth H. Bridges, age 53, as he pumped gas at a station outside Fredericksburg, Va. Witnesses on the scene reported seeing a white panel truck pulling away.

Police shared a composite of the truck with the media, but to no avail.

On October 14 FBI analyst Linda Franklin was shot and killed as she left a Home Depot store in Falls Church, Va. The snipers’ next victim was shot on October 19. The 37-year-old man was critically wounded as he left a restaurant with his wife just outside of Richmond, Va. A note directing police to a payphone was discovered; police detained two men who were near the phone in a white van, but soon released them.

On October 22 the snipers claimed their 13th victim and 10th casualty when they shot bus driver Conrad Johnson, age 35, as he was preparing to begin his bus route in the Washington suburb of Aspen Hill.

The reign of terror finally ended on October 24 when alert citizens reported a suspicious-looking dark blue Chevy Caprice parked at a highway rest stop near Hagerstown, Md. John Allen Muhammad and Lee Boyd Malvo were found sleeping in the car and were arrested on weapons charges. Forensic evidence later linked them to the sniper attacks.

Police had just a day earlier issued a warning to the media for citizens to be on the lookout for such a dark blue Chevy

26 THE FORENSIC EXAMINER Fall 2005

Caprice or sedan. This warning was based on their independent investigations, and it clearly conflicted with the repeated eyewitness and media reports of a white box van or truck being sighted. It was later reported that at least one eyewitness to the October 4 shooting had reported seeing a blue Caprice at the scene, but the tip was ignored because the lookout was for a white van. Additionally, the night before another witness reported seeing a burgundy Caprice creeping away from the Washington, D.C., scene. Police searched for the burgundy sedan, but found only a burned-out burgundy Plymouth.

So, in the end, what was the cost of the mistaken eyewitness reports of a white box van? It is difficult to estimate how many police hours and dollars were expended searching for this non-existent vehicle, and it appears clear that confused eyewitness reports made investigators’ jobs much more difficult and led them away from the true killers. It is now known that police actually ran computer checks on the license plates of the snipers’ Chevy Caprice 10 times between October 2, the night of the first shooting, and October 24 when the suspects were captured. However, police could only go by the information they had, and eyewitness reports indicated they should be looking for a different vehicle. Ultimately, it was fingerprint and ballistics evidence that uncovered Malvo and Muhammad as the snipers. This case may be a cautionary tale for investigators when it comes to the reliability of eyewitness identification of vehicles.

Sources Stephen, B., & Fineman, M. (30 November 2002). Sniper suspects slipped past authorities time and again. LA Times [On-line]. Available www.davesweb.cnchost.com/snipers.html Encyclopedia: Beltway sniper attacks.(n.d.)

Nationmaster [On-line].

Available www.nationmaster.com/encyclopedia/Beltway -sniper-attacks#Timeline D.C.-Area Suburban Sniper Case. (n.d.).

Court TV [On-line].

Available http://www.courttv.com/trials/sniper

use of computer simulations posed difficulties such as uniformity of shadows once contexts had been removed, etc. Therefore, photographs of small die-cast toy or model cars that were available in a uniform set of colors across models were used.

These materials allowed the color-versustype question to be addressed in a context that should extrapolate directly to the fullscale identification of vehicles in the field.

In general, real-world eyewitness-identification situations, exposures are brief and frequently fragmented. Witnesses may be under stress and operating under elevated levels of arousal. Furthermore, the features of vehicles that might be important for later identification may be obscured in real crime situations by other vehicles, buildings, curbs, or other contextual features, or by the movement of the vehicle against potentially occluding features of the context or landscape. Further research should address vehicle identification (as well as weapon identification and other issues of non-facial eyewitness identification) under systematically varied conditions of these critical parameters. However, for this initial effort in this area, identification was evaluated under ideal conditions to establish baseline data.

The conditions used in this study were far superior to those of the typical crime scene. Vehicles were presented in motionless profile without obscured features and under excellent lighting conditions for 5 seconds each to respondents who were comfortably seated and who were under no identifiable psychological stresses produced by the setting or the study. The goal was to examine vehicle identification under relatively ideal conditions with the understanding that identification performance under actual field conditions would be compromised and diminished when compared to the performances obtained in this study.

How was recognition performance measured? There are at present no psychologically based guidelines for the identification of vehicles for the purpose of criminal investigation or court inquiry. The excellent guidelines provided by the Department of Justice’s pamphlet on eyewitness evidence (Department of Justice, 1999) are concerned with the identifica-

tion of persons rather than the identification of other types of evidence. The research literature was also silent on this question. So, in the absence of any standard procedures for vehicle identification, the vehicle identification procedure was conducted similarly to those approved for human identification (Department of Justice, 1999), and a standard, venerable list

“Contrary to beliefs often observed to operate in courtroom

proceedings,

eyewitness identifications of vehicles allegedly used in crimes are unlikely to be highly accurate, or even reasonably accurate ...”

presentation method was used (Waugh & Norman, 1965) to identify the vehicles.

This procedure was similar to that successfully used in previous work on weapon identification (Sharps et al., 2003).

Method A total of 69 college students, 42 women and 27 men, participated for course credit. A Snellen visual acuity test was used to ascertain that all respondents possessed visual acuity of at least 20/40 corrected or uncorrected, visual ability sufficient to resolve the smallest details of the stimulus materials. Small die-cast metal model vehicles, which varied systematically by color and type, were obtained and photographed to serve as stimulus items. The colors employed were dull shades of blue, red, yellow, and olive green. The vehicle types employed were sedans, sport utility vehicles, and pickup trucks.

A series of nine vehicle pictures, including the target vehicle to be identified, was presented to respondents by means of a Lafayette Instruments slide projector

tachistoscope. Each vehicle was presented for 5 seconds. The target vehicle was followed by the presentation of a letter “X” for 5 seconds (bringing the total number of slides viewed to 10) to indicate that the target vehicle was to be remembered, a direct adaptation of the standard procedure developed by Waugh and Norman (1965) for the study of memory for seriated events. It should be noted that this “X” procedure was significantly less traumatic than the crime-scene context that normally indicates the importance of a vehicle used in an actual crime, further contributing to the idealized laboratory context under which this study was conducted.

Two separate counterbalanced orders of presentation were used.

After presentation, respondents engaged in interpolated arithmetic (to prevent rehearsal focus on the details of the vehicle) for 10 minutes. Then they were presented with a sequential lineup of 10 vehicle pictures including the target. These lineups contained foil vehicles that were neither the same color nor the same model as the target, the same color but not the same model as the target, or the same model but not the same color as the target. The order of presentation was counterbalanced among respondents using two orders.

Results and Discussion From 69 college-aged respondents with good eyesight, 63 usable protocols were obtained. Of these 63 respondents, only 15 made correct vehicle identifications, an accuracy rate of 23.81%. It should be noted that these results were obtained under optimal circumstances. In each case, the entire vehicle was seen in profile with none of its features obscured as they would be in actual use. The observations were made in good light by comfortable people who were not under identifiable stress.

Respondents were also asked to make their identifications only 10 minutes after the initial presentation. However, even under these idealized conditions, over threequarters of respondents could not make a correct identification. This should introduce a note of caution into the acceptance of witness identification of vehicles under field conditions. In the real world of crime

Fall 2005 THE FORENSIC EXAMINER 27

scenes, vehicles may be seen in motion or only in part, frequently under conditions of poor lighting, when witnesses may be frightened or angry. Police, prosecutors, defense attorneys, and forensic specialists should anticipate that under the fragmented and difficult circumstances present at real crimes, vehicle identifications based on typical brief exposures will probably be correct less than one quarter of the time.

Additional analysis of respondent errors revealed other potentially important trends. Of 48 erroneous responses, 16 (25.40% of the total) were failures to recognize any vehicle as correct. Ten falsepositive recognitions (15.87%) were evidently based neither on color nor on vehicle type; completely different vehicles were erroneously selected as having been the target vehicle. This finding may shed some light on cases such as that of the Washington sniper, in which the sniper’s actual vehicle, a dark-blue Chevrolet Caprice, was completely dissimilar to the creamcolored van of witness reports. Five respondents (7.94%) made multiple incorrect identifications of different vehicles, when of course only one target vehicle was presented. This odd result may serve as an indication of the idiosyncratic responding that may occur in eyewitness identification even under tightly controlled laboratory conditions.

When respondents did base their falsepositive identifications on features of the target vehicle that were actually present, color was more important than vehicle type. Eleven respondents (17.46% of total responses) inaccurately selected a vehicle of the same color as the target vehicle, while only six (9.52%) selected a vehicle of the same model but of a different color. If this result holds in follow-up and replication studies, we may justifiably say that color is roughly twice as important as model or type in vehicle identification.

Interestingly, female respondents were correct in 25% of their identifications, while males were correct in 22%. With this sample size, we would not suggest that this indicates a replicable female superiority in vehicle identification. However, even though investigators might anticipate male superiority in vehicle identification

for reasons of sex stereotyping (e.g., Sharps, Welton, & Price, 1993; Sharps, Price, & Williams, 1994), these results indicate that one cannot predict identification accuracy in any given case based on the sex of the respondent.

Summary and Conclusions To the authors’ knowledge, this experiment represents the first empirical evaluation ever conducted of eyewitness identification of vehicles. These results showed that, across vehicle type, identifications made under ideal conditions of lighting, participant comfort, and visual access and over brief 10-minute retention intervals resulted in correct vehicle identifications in slightly less than 25% of cases. Many respondents apparently based their identifications either upon unspecified features of vehicles or literally upon nothing at all, but when actual extant vehicle attributes were used, color proved to be far more important than vehicle type.

In view of these poor performances under excellent conditions, it is strongly suggested that the use of eyewitness identification of vehicles in court and to direct the course of criminal investigations should be viewed with extreme caution.

Contrary to beliefs often observed to operate in courtroom proceedings, eyewitness identifications of vehicles allegedly used in crimes are unlikely to be highly accurate, or even reasonably accurate, especially under the relatively brief conditions of exposure, the high levels of arousal, and the poor viewing conditions typical of real-world crime scenes.

References Ahlberg, S. W., & Sharps, M. J. (2002).

Bartlett revisited: Reconfiguration of long-term memory in young and older adults. Journal of Genetic Psychology, 163, 211-218.

Bartlett, F. C. (1932). Remembering: A study in experimental and social psychology. Cambridge, UK: Cambridge University Press.

Bergman, E. T., & Roediger, H. L. (1999).

Can Bartlett’s repeated reproduction experiments be replicated? Memory and Cognition, 27, 937947.

Department of Justice (1999). Eyewitness evidence: A guide for law enforcement. Washington, DC: National Institute of Justice.

Kassin, S. M., Tubb, V. A., Hosch, H. M., &

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Memon, A. (2001). On the “general acceptance” of eyewitness testimony research: A new survey of the experts. American Psychologist, 56, 405-416.

Sharps, M. J. (2003). Aging, representation, and thought: Gestalt and feature-intensive processing.

Piscataway, NJ: Transaction.

Sharps, M. J., & Nunes, M. A. (2002). Gestalt and feature-intensive processing: Toward a unified model of human information processing.

Current Psychology, 21, 68-84.

Sharps, M. J., Price, J. L., & Williams, J. (1994). Spatial cognition and gender: Instructional influences on mental image rotation performance. Psychology of Women Quarterly, 18, 413-425.

Sharps, M. J., Barber, T. L., Stahl, H., & Villegas, A. B. (2003). Eyewitness memory for weapons. The Forensic Examiner, 12, 34-37.

Sharps, M. J., Welton, A., & Price, J. L. (1993). Gender and task in the determination of spatial cognitive performance. Psychology of Women Quarterly, 17, 71-83.

Sporer, S. L., Malpass, R. S., & Koehnken, G. (1996). Psychological issues in eyewitness identification. Mahwah, NJ: Erlbaum.

Waugh, N. C., & Norman, D. A. (1965). Primary memory. Psychological Review, 72, 89-104.

About the Authors Amy Boothby Villegas, BA, is working toward her doctorate degree in forensic psychology at Alliant International University in Fresno, California. She is a behavior analyst with Holsambeck and Associates.

Matthew J. Sharps, PhD, is professor of psychology at California State University, Fresno, and adjunct faculty member at Alliant International University. He received his MA (clinical psychology) from UCLA, and MA and PhD (psychology) from the University of Colorado. He is the author of numerous articles and papers on visual cognition and related topics, as well as the book Aging, Representation, and Thought: Gestalt and Feature-Intensive Processing (2003, Transaction Publishers). He has consulted on issues of eyewitness identification in over 150 criminal cases.

Brianna Satterthwaite, PsyD, and Sara Chisholm, BA, are both from the doctoral program in forensic psychology at Alliant International University in Fresno, California.

Earn CE Credit To earn CE credit, complete the exam for this article on page 65 or complete the exam online at www.acfei.com (select “Online CE”).

By David F. Ciampi, MSc., PhD, Diplomate of the American Board Psychological Specialties and Fellow in ACFEI

Key Words: transnational terrorists, narrative analysis, motivation This article is approved by the following for continuing education credit: ACFEI provides this continuing education credit for Diplomates.

ACFEI is approved by the American Psychological Association to offer continuing professional education for psychologists. ACFEI maintains responsibility for the program.

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Abstract The purpose of this study was to explore the motivational factors that nurture transnational terrorism. In this article, Jacquard’s (2002) 40 published documents from Mujahedeen fighters, planners, and executors of terrorism; communiqués from Middle Eastern terrorist networks; and reports from British Intelligence as well as France’s Anti-Terrorism Task Force are examined. The methodological aspects of the selectivity of text data, nominal coding procedures, narrative analysis, interpretation, audit-ability, confirm-ability, and triangulation of the archival data are considered.

Moreover, this article explores a variety of motivational factors to reveal thematic and categorical evidence in the archival data that supports the plausibility of the following relationships with terrorism: (a) anger among people and the incitement of terrorism via print media outlets and recruitment into terrorist training camps; (b) perceived conflict between Western and Islamic cultures; (c) ethnocentrism, xenophobia, social domination, and religious convictions; and (d) frustration. Identifying the psychological and social dynamics that nurture transnational terrorism is necessary if our nation is to eventually succeed in diminishing the appeal of terrorism as a movement in Middle Eastern cultures.

Fall 2005 THE FORENSIC EXAMINER 29

The Historical Context of Transnational Terrorism Researchers (Booth & Dunne, 2002; Brown & Merrill, 1993; Mickolus, 1980; Rapoport & Alexander, 1982) have noted that terrorism is not a new form of warfare. Incidences of statesponsored terrorism can be traced back to Germany during World War I. According to Blodgett (1999), Germany launched over 110,000 chemical shells filled with phosgene in their final offensive against the French in Verdun during the summer of 1916. The phosgene fumes proved lethal not only to the French troops on the front line and in the trenches, but also to the physicians who were caring for the troops. It is estimated by historians that the Germans’ reliance on chemical weaponry resulted in deaths that ranged from 300,000 to 900,000 individuals during World War I. There were many acts of terrorism that occurred throughout the 20th century.

The government of Nazi Germany was responsible for transnational terrorism and genocide on an unprecedented scale from 1938 to 1944. However, the popularization of terrorism as an acceptable form of Islamic defiance against the Western world order did not evolve until the fall of the Shah of Iran in the 1970s.

An ominous turning point in the conceptual nature of terrorism occurred when the Ayatollah Khomeini led the Iranian Revolution during the 1980s.

The asymmetrical and geopolitical nature of Islamic terrorism was redefined and reinvented by the Ayatollah and his fellow theocrats without regard for international law. For example, the seizure of the American embassy in Tehran involving the kidnapping and illegal detainment of diplomatic personnel and their property by university students in 1979 was a direct challenge to the international community of nations.

The planning and staging of Islamic terrorist attacks became more brutal and vicious over time (Jacquard, 2002). Both planners and executors of terrorism

became less inhibited in the types of terrorist operations that were acceptable.

The frequent suicide bombings that continue to occur throughout Israel, the attempted cyanide gassing and bombing of the World Trade Center in 1993, the United States embassy bombings in Kenya and Tanzania in 1998, and the kamikaze attacks of September 11, 2001, demonstrate the profound threats posed by individuals who commit terrorist acts.

Thus, it is vital to American national security to understand the psychology of terrorists. The aspects of terrorism that seem most susceptible to research inquiry are the behavioral analyses of those who commit terrorist acts and their motivations, personalities, decision-making patterns, and behaviors in groups (Reich, 1990).

Review of Literature Research into terrorism has explored the connection between interpersonal and inter-group conflict, ethnocentrism, xenophobia, social domination, religious beliefs, and frustration as they relate to motivational factors of terrorism. Based on the published work of Ben-Ari and Amir (1986), Hewstone and Brown (1986), Hewstone and Greenland (2000), Pynchon and Borum (1999), the Solomon Asch Center for Study of Ethnopolitical Conflict (2001), Stout (2002a, 2000b), and Taylor and Moghaddam (1994), it is possible that interpersonal and inter-group conflict is related to clashing cultural values as a result of perceived fear that one’s selfidentity, as well as one’s social, cultural, and religious traditions, are being influenced by foreign cultures. Such fears may exacerbate one’s belief that inter-cultural conflict is real. Researchers concerned with the possible relationship between ethnocentrism and aggression believe that there is a correlation between hostility and ethnocentrism (Banton, 1983; Brislin, 1981; Clark, 1979; LeVine & Campbell, 1972; Waller, 2002; Williams, 1964; Yanay, 2002).

There is controversy surrounding the

30 THE FORENSIC EXAMINER Fall 2005

possible relationship between xenophobic sentiment and aggression (Beck 1999; Goodall, 1992; Waller 2002; Wrangham & Peterson 1996). Some researchers feel that xenophobic attitudes and beliefs can elicit interpersonal aggression, whereas others feel that aggressiveness occurs simply by perceptions of being a foreigner or an outsider.

Social domination as a possible catalyst for interpersonal aggression has been considered (Barber, 1992; Waller). It is possible that social domination and interpersonal violence are connected.

Religious beliefs, interpersonal violence, and intercultural conflict may also be related (Beck; Jacquard, 2002; Stout, 2002c; Waller).

Beck (1999), Berkowitz (1988, 1989), Bjorkqvist (1986), Dollard (1939), LeVine and Campbell (1972), Rosenzweig (1941, 1978), and Vaquer (1987) noted observations of the possible linkages between frustration and aggression as well as ethnocentrism and hostility. It is possible that frustration instigates people to engage in terrorist events. The goal of this research is to explore and identify the motivational factors that nurture terrorism by carefully analyzing archival materials and interviews in order to understand the viewpoints and beliefs of terrorists.

This review of literature suggests a number of key points that must be considered when examining the archival materials and interviews for this research inquiry. It may be possible that ethnocentrism, xenophobia, social domination, religious beliefs, and frustration are interrelated co-factors associated with one’s acceptance and willingness to participate in a terrorist act. Gaining novel insight into the motivational structure and nature of terrorism requires a researcher to examine the words and expressions of terrorists in order to achieve a clearer understanding of this phenomenon. Once this task is achieved, it may be possible to develop strategies to overcome the tensions and conflicts that popularize this movement.

Methods Selection of studies. Communiqués from terrorist organizations and interviews with Middle Easterners who plan and execute acts of terrorism were collected by Roland Jacquard and published in his book titled In the Name of Osama Bin Laden: Global Terrorism and the Bin Laden Brotherhood (2002). All the appendices in Jacquard’s book were utilized in this study. Jacquard provides 40 documents of textual information in the appendices of his published work. The interviewees, including Osama bin Laden, Gamaa Islamiya, Ahmed al-Sayed al-Najar, and Rafi Ahmed Taha, are wellknown for planning terrorist acts. These interviewees are all adults; however, their ages are unknown. The purpose of the interviews conducted by Jacquard was to have a clearer perspective and understanding of global terrorism, the alQaeda network, and those who prescribe to its philosophies as a means to create social and political change.

Communiqués from the Popular Arab and Islamic Conference and the Islamic Jamaa organizations that either sponsor or support terrorist activities were also utilized for this study. The transcripts were in Arabic and were translated into English by George A. Holoch, Jr., a respected translator.

Data Analysis and Interpretation.

Comparison of the data will be an ongoing procedure during the data analysis and interpretation stage. Dey (1993) argues that categories must be meaningful both internally, in relation to the data being understood in context, and externally, in relation to the data being understood through comparison. To compare observations, the two jurors and the principal investigator agreed to identify tags of data that can be related to other data for purposes of comparison. To achieve this end, the data were organized into two groups (nominal codes and its subcategories). There was the possibility that the data might require further differentiation and, if so, then the data would be separated and then further

divided into separate categories. The two jurors and the researcher followed the guidelines elaborated on by Janesick (1994) who mentioned that constant comparative analysis looking for statements and signs of behavior that occur over time is a necessary strategy. Lincoln and Guba (1985, p. 341) further state that, “the process of constant comparison stimulates thought that leads to both descriptive and explanatory categories.”

Broad themes related to the exploratory questions posed in this research study were also sought during the narrative review and analysis process. There was coding and categorizing in the process of narrative analysis. However, computer data analysis and frequency statistics were not performed. There were no supplementary analyses performed to determine any factors that might have emerged during the course of data analysis.

A general review of the information was considered first to get a sense of its overall meaning and tone. The second task was to determine which nominal codes, subcategories, themes, and references were related to the questions posed in this research inquiry. Quotations containing relevant coded themes were extracted, organized, and listed, then analyzed based on the two jurors’ and principal researcher’s judgments for 25% of the archival data. The principal researcher conducted the remaining 75% of the narrative analysis after the jurors completed their assigned tasks with the first 25% of the archival data.

Audit-ability and Confirm-ability. A jury of two graduate students in the Department of Psychology at the University of Massachusetts in Amherst was selected to evaluate 10 random sets of the archival data in this research study.

Candidates were approached individually to determine their willingness to contribute some time to this effort. These two jurors were first given the nominal coding and coded variable protocols before being asked to judge the archival texts.

The jurors and the principal researcher (also referred to as coders 1, 2, and 3) were, each independently of the others, subjected to a test trial of the three archival texts. The purpose of the test trial was to demonstrate consistency in judgments among the coders in terms of identifying and referencing the nominal coding and categorical themes with each archival data set. If there was disagreement in judgment among the jurors, then the rankings of those questionable texts were reviewed in order to determine the reasons for disagreement.

This process of data analysis and interpretation continued until all disagreements regarding the assigned nominal values were resolved. Interrater reliability was established once all jurors were in agreement of the narrative interpretations and analyses. This accomplished, the two jurors and researcher randomly evaluated 25% of the archival data (10 sets of archival texts) in order to establish credibility and confirm-ability of data analysis and interpretation. The principal researcher of this study evaluated the remainder of the archival data.

Nominal Coding and Coded Variables. Nominal coding and coded variables were the procedures used to test this study’s exploratory questions. Two persons and the principal researcher were involved in the coding procedure that would be used in interpreting and analyzing the actual documents of Jacquard’s (2002) appendices. Hardyck and Petrinovich (1975, p. 43) mention that, “Coding is simply the process of developing either a numerical or a content category system for classifying responses.” In the pilot stage of this research endeavor, differences between the coders (jurors 1, 2, and 3) were discussed until agreement was reached on a common coding procedure.

There were nine major variables with subcategory references that were coded for each article based on the central questions posed in this research inquiry: • Ethnocentrism (dummy coded as “E”); the subcategories for ethnocentrism

Fall 2005 THE FORENSIC EXAMINER 31

include references to one’s culture or race as being superior to others.

• Xenophobia (dummy coded as “X”); the subcategory for xenophobia includes any reference to a person who is strange or foreign.

• Social domination (dummy coded as “SD”); the subcategory for social domination includes any reference to exerting control over others.

• Religion (dummy coded as “R”); the subcategories for religion include any references to any system of beliefs held with conviction and faith.

• Frustration (dummy coded as “F”); the subcategories for frustration include any references that are synonymous with frustration, such as the description of any acts that thwart, foil, and/or baffle a specific individual or group. For example, the term ‘thwart’ suggests frustration by running counter to a particular event. The term ‘foil’ implies checking or defeating to discourage further effort. Moreover, any reference to “baffle” would suggest frustration because of something that is confusing or puzzling.

• Interpersonal conflict (dummy coded as “IPC”); the subcategory of interpersonal conflict includes any reference that relates to disagreement, antagonism, or irreconcilability between individuals.

• Intercultural conflict (dummy coded as “ICC”); the subcategory of intercultural conflict includes any reference to disagreement, antagonism, irreconcilability, war, and/or battle between cultures.

• Cultural identity (dummy coded as “CI”); refers to any reference to an individual’s cultural identity. There are no subcategories of this code.

Reliability and Validity Credibility of Archival Data. There were several important factors that went into the selection of Jacquard’s published materials for this study: First, the author, Roland Jacquard, is an internationally recognized terrorist expert. Jacquard is President of the Paris-based Internation-

al Observatory on Terrorism and is a strategic expert and consultant on terrorism to the United Nations’ Security Council. Second, this book was published in 2002 and was the newest material accessible at the time of the initial literature review. Third, there are a variety of transcripts and communiqués in the appendices section of Jacquard’s book that can provide researchers with a broad variability of choice in the selection process of archival transcripts. Fourth, permission was granted from the publisher, Duke University Press, to use the copyright-protected archival records for this research inquiry.

Many published books exist that are devoted to the al-Qaeda movement, but none demonstrate the depth and breadth that Jacquard’s work exemplifies. The majority of published books devoted to the topic of Middle Eastern terrorism did not contain any transcript materials from terrorists at the time of the research literature review. Jacquard (2002) collected and published 40 transcripts relating to terrorists and terrorist organizations over a period of 8 years (from 1993 to 2001). Ely, Anzul, Friedman, Garner, and Steinmetz (1991) argue the importance of prolonged observation that involves the researcher focusing on relevant issues so that meaningful observations can be made. The authors believe that prolonged observation often increases the probability that the research effort will be credible and effective.

Triangulation. The fact that the archival data were collected over a period of 8 years also allows for the triangulation of data. Triangulation of data involves the activities of converging two or more pieces of transcription data from different transcripts, communiqués, and narrative documents, as well as the crosschecking of information as it relates to the exploratory research questions posed in this study. Triangulation of data weakens the possibility of bias from a single data source (Lincoln & Guba, 1985).

32 THE FORENSIC EXAMINER Fall 2005

Summary and Conclusions This study explored a variety of motivational factors and found thematic and categorical evidence in the archival data that supports the plausibility of the following relationships with terrorism: (a) anger among people and the incitement of terrorism via print media outlets and recruitment into terrorist training camps; (b) perceived conflict between Western and Islamic cultures; (c) ethnocentrism, xenophobia, social domination, and religious convictions; and (d) frustration.

Anger and the Incitement of Terrorism. The study’s results indicate that anger is associated with the incitement of terrorism via print media outlets and indoctrination activities into terrorist training camps. Stout’s (2002b) paradigm on emotional and instrumental aggression is supported by the findings of this study. According to this researcher, emotional aggression is a visceral response to a perceived stimulus. Anger and betrayal are often triggers of emotional aggression.

The thematic and categorical findings in this study also support Stout’s (2002b) paradigm on emotional and instrumental aggression. Anger and betrayal are often precursors of emotional aggression.

Instrumental aggression, according to this theorist, is typically goal driven and a calculating, premeditated form of aggression. Stout's (2003) notion appears to accurately reflect two different behavioral orientations of people who either plan or carry out acts of terrorism.

This study did not measure whether interference with the goal directed behavior of individuals who commit acts of terrorism related to anger. Hence, the research findings of this study do not support Beck’s (1999) position that, “any kind of interference with a person’s goaldirected activity can lead to anger; low frustration-tolerance is an especially common cause of hostility” (p. 63).

Interpersonal and Intergroup Conflict. A conflict relationship between Islamic and Western cultures has been

found in this study. The findings support the social learning theory (Bandura, 1977) and the social identity theory proposed by theorists (e.g., Ben-Ari & Amir, 1986; Pynchon & Borum, 1999; Solomon Asch Center for Study of Ethnopolitical Conflict, 2001; Stout, 2002a, 2002b; Taylor & Moghaddam, 1994).

The data in this current study do not support the contact hypothesis advocated by Hewstone and Brown (1986).

Prior learning, as suggested by Bandura (1977), may not have prepared people to adapt to the rapid social and cultural changes that exist in today’s world.

If there is an inability of individuals to apply old customs to new events, then this resulting inability may relate to internal or external disturbances and interpersonal and/or intercultural conflict as demonstrated in the narrative content of this study’s transcripts.

Future Research Few researchers have explored the cognitive relationships between people who commit acts of terrorism and their ego developmental stages, their impulsivity, their interpersonal integration skills, their moral development, their problemsolving skills, and their ability to relate to others. Researchers may gain valuable insights by exploring these areas as they relate to individuals who commit acts of terrorism. Once additional exploratory work has been done in this area, strategies may be developed to counter the appeal that motivates individuals to engage in terrorism as a perceived means to achieving economical, political, and social goals.

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About the Author David Ciampi, MSc., PhD, FACFEI, DABPS, is an Adjunct Professor with Homeland Security University and has studied the root problems of criminal behavior for over 20 years. Dr. Ciampi earned a PhD from New York University in media ecology and is concluding his doctoral studies in clinical psychology at Walden University. He also has an MS in psychology from Walden University, an MA in media studies from the New School for Social Research, and a BA in communications from John Carroll University. Dr. Ciampi is a former elected President of New York State Psychological Association’s Independent Practice Division (2003), a member of the American Psychological Association, a board member and Diplomate of the American Board Psychological Specialties, and a Fellow in ACFEI. His research interests are focused on the developmental and motivational factors that nurture different genres of transnational and indigenous terrorists. Dr. Ciampi has an interdisciplinary orientation to terrorism that includes the integration of media ecology, psychology, public health, and mortuary science. He has also served as president for three non-profit corporations.

Earn CE Credit To earn CE credit, complete the exam for this article on page 65 or complete the exam online at www.acfei.com (select “Online CE”).

5th CHS Conference Coming Up in San Diego, CA, September 28-29, 2005 The 5th Certified in Homeland Security (CHS) Conference will be held in sunny San Diego, California, on September 28-29, 2005. This conference will offer many exciting events you won’t want to miss, including special workshops, presentations, and networking and dining events with many of the leading professionals from the Homeland Security arena. Plus, there will be over 70 continuing education credit options to choose from!

The following are just a few of the special events planned for this conference.

Many of these events require pre-registration—for more information call (800) 423-9737, ext.. 220, or send an email to marianne@acfei.com.

Interactive Panel Discussion—Significant Developments and Remaining Problems in Homeland Security: A Status Report CHS Preparation and Response Team Meeting and Buffet Dinner FEMA NIMS/NRP Workshop CHS-IV Course: Incident Management and Terrorism CHS-V Course: CBRNE Preparedness There will also be more than 22 riveting general presentation sessions to choose from at the conference representing many of the most prevalent issues in the Homeland Security field today. The general sessions currently scheduled include the following: International Efforts to Secure Select Agents and Toxins Integration of Disaster Management and Continuity of Operations Hard Targets—Techniques, Tools, and Testing to Protect IT Assets Regulation of Select Agents and Toxins Agriculture, Biological Weapons, and Terrorism

Development of a Biosecurity Program to Ensure Limiting Access As Well As Protection of Key Biological Assets to Assist in the Prevention of a Possible Biological Threat

A Review of Useful and Practical Academic Research on Terrorism

Homeland Security in Transportation/Cargo Security

Critical Incident Management Continuity of Operations Strategies

The Role of Private Security Professionals in Homeland Security

Bioterrorism: What It Means to You

Overall Planning and Focus on Community Relations American Combat Planning Methodology for Continuity of IT and Other Essential Operations in Large Scale Public Venue Events A Paradigm Shift to Embrace Real Challenges Navigating the New Threat Landscape: Exploring Methods for Protecting Critical Business Infrastructures Development of a Regional Emergency Credentialing System for Healthcare for Connecticut Improving COOP Plans Through Effective Audits Consequence Management Using ICS: Hospital Response to Real-Life Biological and Natural Threats Are You Prepared to Protect Your IT Life Line?

The Hospital Receiver Program: Challenges of and Strategies for the Implementation of HIM and HEICS

Crisis Intervention for First Responders: Keeping Them in Service

The CHS Conference will be held at the luxurious waterfront Manchester Grand Hyatt, also the host hotel for the ACFEI National Conference. The Manchester Grand Hyatt is ideally located on San Diego Bay just minutes from many of the area’s top attractions and hotels. This hotel is so popular that it has already sold out for the nights of Sept. 29 and 30; however, attendees may add their names to a wait list so that they will have the first opportunity to reserve any rooms that open up.

Several other attractive hotel options are available to conference attendees. For more information on the Manchester Grand wait list or alternate lodging options please contact the ACFEI Conference Department toll free at (800) 4239737, send an email to conference@acfei.com, or visit www.acfei.com/conferences.php.

Register today for this important event in beautiful, tropical San Diego, California.

To reserve your spot, call toll free (800) 423-9737 or send an email to homelandsecurity@acfei.com. You can also find abstracts for each presentation and register online quickly and easily at www.acfei.com.

We’ll see you in San Diego!

Fall 2005 THE FORENSIC EXAMINER 35

The Fifth Certified in Homeland Security, CHS, Conference San Diego, California •

Wednesday & Thursday, Sept. 28–29, 2005

(Please type or print your name as you would like it to appear on your badge.)

Name _________________________________________________Designation (e.g., PhD)_____________ Member ID #__________ Address __________________________________________City____________________________ State_______ Zip______________ Phone (

) ______________________ Fax (

) _______________________ E-mail ____________________________________

I. CONFERENCE REGISTRATION You must select either Category A or Category B registration; select only one—some program courses and workshops run concurrently. Select Category A if you prefer to attend the CHS general sessions and workshops on Wednesday and Thursday. This registration includes the full-day FEMA National Incident Management System (NIMS)/National Response Plan (NRP) workshop on Thursday. Select Category B if you prefer to register for the certification courses for CHS-IV on Wednesday and/or CHS-V on Thursday.

Note: Both registration categories include a full breakfast both days, a CHS P&R Team Meeting and buffet Wednesday evening, and a luncheon Thursday afternoon. Separate registration is required for the CHS Banquet on Thursday evening, which features a four-course dinner and a keynote speaker (see item II below). For planning purposes, please check below if you plan to attend the Wednesday evening CHS P&R Team Meeting and buffet from 6:30p.m.–10p.m. ❑ YES, I will attend the Wednesday evening CHS P&R Team Meeting and buffet.

Preconference Panel Discussion: Tuesday, Sept. 27, 2005, from 6 p.m. – 8 p.m. (Pre-Registration Required) “Significant Developments and Remaining Problems in Homeland Security: A Status Report” Please check below if you plan to attend this panel discussion ❑ YES, I will attend the Tuesday evening Preconference Panel Discussion

❑ Category A: General Sessions & Workshop Registration ❑ Member ❑ Life Member (10% discount) ❑ Non-Member ❑ Spouse/Guest* (name)__________________ ❑ Student (undergraduate) *Guests are ineligible for CE credits.

Early Bird (Before 8/1) $425 $380 $475 $250 $150

Regular (8/2-9/29) $475 $425 $525 $295 $195

Late (After 9/29) $525 $475 $575 $345 $245

Total

$________ $________ $________ $________ $________

Full-day FEMA NIMS/NRP Workshop (Thursday) This workshop includes IS-700 National Incident Management System and IS-800 National Response Plan (NRP). This workshop is free with conference registration, but space is limited and pre-registration is required. Check below if you will attend this workshop. ❑ YES, I will attend Thursday’s full-day FEMA NIMS/NRP workshop on IS-700 and IS-800.

Red Cross Disaster Mental Health Training Pre-Conference: Thurs. Sept. 29, 8 a.m. – 5 p.m.; Instructor: Linda Whitten, MSN, APRN, BC, FAPA. This training is free with conference registration; pre-registration is required. You must be a mental health professional with a state license to practice independently to receive the ARC certificate. Others may participate but will not receive the certificate. Participants must complete an “Introduction to Disaster Course” provided by the ARC before participating in this training event. The course will be offered for free on Sept. 28, 2005, by the ARC San Diego/Imperial Counties Chapter. To reserve a spot in this prerequisite training contact Stephen Rea at (619) 542-7670 or by email at stephen.rea@sdarc.org. Alternate arrangements to take the prerequisite course are available—for more information call (800) 205-9165, ext. 125, or email conference@americanpsychotherapy.com. ❑ Yes, I will attend the Disaster Mental Health training. License number:________________________ Licensed in (state):______

❑ Category B: CHS-IV and CHS-V Advanced Certification Courses and Exams $425 ❏ CHS-IV: Incident Command Management and Terrorism (Wednesday, Sept. 28th) Note: You must be Certified in Homeland Security at Level III to take the CHS-IV Course and Exam

$495 ❏ CHS-V: CBRNE Preparedness (Thursday, Sept. 29th) You may enroll in both the CHS-IV and CHS-V courses at the conference, but you must successfully complete BOTH courses to earn CHS-V.

❑ CHS Banquet: This four-course banquet, featuring the keynote speaker, will be held Thursday evening, Sept. 29th.

❑ Check enclosed ❑ Am. Express ❑ Purchase Order ❑ Master Card/Visa

$_________

$_________

II. BANQUET REGISTRATION III. PAYMENT PROCESSING

$_________

$50

Total Amount Due:

$________

Card Number ____________________________________________ Exp___________ Name (as it appears on card)_______________________________________________ Signature _______________________________________________________________

All requests for cancellation of conference registration must be made to CHS headquarters in writing by fax or mail. Phone cancellations will not be accepted. All cancelled/refunded registrations will be assessed a $50 administrative fee. All refunds will be issued in the form of credit vouchers and are pro-rated as follows: cancellations received four or more weeks prior to the conference = 100% refund (less $50 administrative fee); cancellations received less than four weeks but more than one week prior to the conference = 50% refund (less $50 administrative fee); cancellations received one week or less prior to the conference = no refund. For more information on administrative policies, such as grievances, call (800) 423-9737, ext. 125. The performance of this conference is subject to the acts of God, war, government regulation, disaster, strikes, civil disorder, curtailment of transportation facilities, or any other emergency making it impossible to hold the conference. In the event of such occurrences, credit vouchers will be issued in lieu of cash. Conference schedule is subject to change. Please be prepared to show photo identification upon arrival at the conference. Special Services: ❑ Please check here if you require special accommodations to participate in accordance with the Americans with Disabilities Act. Attach a written description of your needs.

FAX YOUR REGISTRATION FORM TODAY to (417) 881-4702 (Attn: Marianne Schmid); APPLY ONLINE at www.acfei.com; MAIL TO 2750 E. Sunshine Springfield, MO 65804; PHONE toll free (800) 423-9737, ext. 220

In his presentation at the 2004 Certified in Homeland Security National Conference in Washington, D.C., Nick Bacon, CHS-V, Chair of the American Board for Certification in Homeland Security, Congressional Medal of Honor Recipient and Past NICK BACON, CHS-V President of the Congressional Director, Homeland Security Veterans Corps; Medal of Honor Society, former Chair, ABCHS Director of the Arkansas Department of Veterans Affairs, and Civilian Aide to the Secretary of the Army, asked the audience to imagine what could be accomplished by harnessing the incredible collective power, energy, and skills of our Veterans and directing them into efforts to help make our communities and nation more secure.

The American College of Forensic Examiners Institute (ACFEI), the world’s largest forensic membership association, and its Certified in Homeland Security (CHS) program, the nation’s leading private sector Homeland Security membership organization dedicated to the certification, training, and continuing education of Homeland Security professionals from across the nation, did imagine the enormous contribution that our nation’s Veterans could make to Homeland Security efforts. Accordingly, CHS created the CHS Veterans Corps to provide Veterans a means to channel their

efforts into improving the safety and security of our nation.

The main function of the CHS Veterans Corps is to assist the Certified Homeland Security Preparation and Response Teams (CHS P&R Teams), which are being developed, positioned, and readied in communities in all 50 states. The purpose of these teams is to bring together Veterans and others with experience in Homeland Security within the same geographical areas. These individuals have a variety of different backgrounds, experiences, training, skills, specializations, and talents that will be invaluable in helping their local communities prevent, prepare for, and respond to incidents of terrorism. These proactive support units will reach out to assist, supplement, and collaborate with all first responder agencies, groups, and organizations to achieve the goal of making their communities as safe as possible.

For more information or to join the CHS Veterans Corps, call toll free (800) 423-9737 or send an email to homelandsecurity@acfei.com.

Join the CHS Veterans Corps An arm of CHS, the nation’s leading private sector Homeland Security membership organization

38 THE FORENSIC EXAMINER Fall 2005

The Expanding Role of the Forensic Accountant

By D. Larry Crumbley, PhD, CPA, CFD, Certified Forensic Accountant (Cr.FA), and Diplomate of the American Board of Forensic Accounting, and Nicholas G. Apostolou, DBA, CPA, Certified Forensic Accountant (Cr.FA), and Diplomate of the American Board of Forensic Accounting

Key Words: accounting entries, Sarbanes-Oxley Act, fraud, COSO, SAS 99, materiality, walkthroughs, proactive Abstract

This article is approved by the following for continuing education credit:

The Sarbanes-Oxley Act (SOX), the

ACFEI provides this continuing education credit for Diplomates.

ACFEI provides this continuing education credit for Certified Forensic Accountants, Cr.FAs

Statement on Auditing Standards–99 (SAS 99), and the Public Company Accounting

Oversight

Board

(PCAOB) have not removed the pressures

on

CFOs

to

manipulate

accounting statements. The PCAOB recommends that an auditor should perform at least one walkthrough for each major class of transactions.

SAS 99 does not require the use of forensic specialists but does recommend brainstorming, increased professional skepticism, and unpredictable audit tests. A proactive fraud approach involves a review of

n March 2005, Bernard Ebbers, the former CEO of WorldCom, was convicted on nine counts of fraud including securities fraud, filing false reports, and conspiracy. Although this case was treated by the press as a singular event, convictions for corporate fraud are much more widespread than many realize. On March 22, 2005, The Wall Street Journal reported that from 1978-2002, federal regulators initiated 585 enforcement actions for financial misrepresentation by publicly traded companies, citing 2,310 individuals and 657 firms as being potentially liable.

Clearly, internal and external auditors must utilize more fraud detection and forensic techniques into their audit programs. If fraud is suspected and the auditors have no forensic accountants on staff, a Certified Forensic Accountant, Cr.FA, should be consulted.

I

internal controls and the identification of the areas most subject to fraud. Certified Forensic Accountants, Cr.FAs, will continue to be in demand to supplement the efforts of internal and external auditors.

Enron and WorldCom Events A number of fraud discoveries shook public confidence in our system of checks and balances designed to protect the interests of shareholders, creditors, and other beneficiaries of public companies. The public and policymakers were galvanized in October of 2001 when Enron, then the nation’s seventh largest company, revealed more than $1 billion of accounting errors

that stunned investors and launched investigations that continue today. Since then, dozens of companies have been prosecuted or investigated for financial fraud, including WorldCom, which was responsible for the largest instance of accounting fraud as well as the largest bankruptcy in history.

WorldCom was one of the main contributors to the 2000-2002 slide in world markets that knocked hundreds of billions of dollars off the value of stocks and shook Wall Street to its foundations. Its external auditor was Arthur Andersen, also the auditor of Enron. Apparently, Andersen was given limited access to the general ledger of WorldCom, which is a violation of basic auditing standards. Forensic accountants cannot rely on the works of internal and external auditors.

WorldCom improperly accounted for $11 billion. An example of its duplicitous practices was WorldCom’s accounting for online costs. Most of the original entries for online costs were properly placed into expense accounts. However, near the end of the accounting period these entries were reversed. One such entry was as follows: Other Long-term Assets $629,000,000 Construction in Progress $142,000,000 Operating Line Costs $771,000,000 The support for this entry was a yellow sticky-note. When questioned by the internal auditing staff, the outside auditors

Fall 2005 THE FORENSIC EXAMINER 39

from Arthur Andersen refused to respond to the questions. Eventually, Cynthia Cooper, the director of WorldCom’s internal auditing department, reported her reservations to the audit committee of WorldCom’s board. Within days, the company fired its chief financial officer and reported the overstatement of profits.

WorldCom has now emerged from bankruptcy, changed its name to MCI, and restated its previous operating results by reporting losses of $73.7 billion for the period from 2000-2002.

The Sarbanes-Oxley Act The repeated revelations of fraud and abuse precipitated a public demand for changes. In response, Congress passed the Sarbanes-Oxley Act of 2002 (SOX), the intent of which was to raise the standards of corporate accountability, improve the detection and prevention of fraud and abuse, and reassure investors and other users of financial information that they have a level playing field. Key provisions of SOX include the following: • It created the Public Companies Accounting Oversight Board (PCAOB), which is charged with establishing auditing, independence, and ethical standards for auditors; conducting investigations of accounting firms; and enforcing compliance.

• It requires the CEO and CFO of a company to certify that financial statements and disclosures are correct.

• It prohibits outside auditors from providing certain non-audit services that would impair the independence of the auditor.

• It requires each annual report to contain an “internal control report” that contains an assessment of the internal control structure and procedures for financial reporting.

• It requires the disclosure of whether the audit committee has at least one member who is a “financial expert.”

• It prohibits personal loans to executives.

• It dramatically increases the penalties for fraud.

What Is Fraud So what exactly is fraud? PriceWaterhouse-

Coopers has defined fraud as a “broad concept that refers generally to any intentional act committed to secure an unfair or unlawful gain.” Michael Comer divided fraud into the following types: • Corruptions (e.g., kickbacks) • Conflicts of interest (e.g., drug/alcohol abuse, part-time work) • Theft of assets • False reporting or falsifying performance (e.g., false accounts, manipulating financial results) • Technological abuse (e.g., computer related fraud, unauthorized Internet browsing)1 One way to visualize fraud and to plan its deterrence or detection is to think of it as a pyramid with the base defined by motivation, leading to opportunity, which leads to rationalization to justify fraud or abuse (the so-called fraud pyramid). The factors within the fraud pyramid are as follows: Motive • Excessive spending to keep up appearances of wealth • Other outside business financial strains • An illicit romantic relationship • Alcohol, drug, or gambling abuse problems Opportunity • Lack of internal controls • Perception of detection = proactive preventative measure Rationalization or Lack of Integrity • “Borrowing” money temporarily • Justifying the theft out of a sense of being underpaid (“I was only taking what was mine”) • Depersonalizing the victim of the theft (“I wasn’t stealing from by boss; I was stealing from the company”) The amount of fraud that is committed annually is staggering. The 2004 Report to the Nation on Occupational Fraud and Abuse estimates that organizations lose 6% of annual revenue to fraud and abuse. The report also states that fraud and abuse cost U.S. organizations more than $660 billion annually ($4,500 per employee).2 When it comes to stopping fraud, it is in the opportunity area of the fraud triangle that a company can have the greatest impact.

The Committee of Sponsoring Organi-

40 THE FORENSIC EXAMINER Fall 2005

zations of the Treadway Commission (COSO) analyzed instances of fraudulent financial reporting alleged by the SEC in Accounting and Auditing Enforcement Releases issued during the 11-year period between January 1987 and December 1997. These releases contain summaries of enforcement actions by the SEC against public companies and represent one of the most comprehensive sources of alleged cases of financial-statement fraud. The search identified almost 300 companies, and a random selection of 200 served as the final sample that was examined in detail. The major findings include the following: • Top senior executives were involved in 83% of the cases. In 72% of the cases the chief executive officer (CEO) was involved, and in 43% of the cases the chief financial officer (CFO) was associated in financial-statement fraud.

• The audit committees of the companies engaged in financial-statement fraud generally met only once a year.

• Insiders or outsiders with special ties to the company or management dominated the board of directors of the identified companies. They typically comprised about 60% of the board and collectively owned nearly one-third of the company’s stock.

• Family relationships among the directors and/or officers affected nearly 40% of the companies.

• The amounts of the fraud were relatively large compared to the size of the companies. The average financial statement misstatement or misappropriation of assets was $25 million, with the average company having assets of $533 million.

• Most frauds overlapped at least two periods, frequently involving both quarterly and annual financial statements.

• The typical financial-statement fraud involved the overstatement of revenues and assets. Over half the fraud involved revenue recognition issues by recording revenues prematurely or deliberately misstating revenues. About half the fraud also involved the overstatement of assets by underestimating the allowance for receivables; overstating the value of inventory, property, plants, equipment, and other

“It is important to understand how the role of a forensic accountant differs from an auditor. An auditor determines compliance with auditing standards and considers the possibility of fraud. A forensic accountant has a singleminded focus on the detection and deterrence of fraud.” fixed assets; and recording nonexistent assets.

• Over half the audit reports (55%) issued in the last year of the fraud period contained unqualified opinions.

Accounting Profession’s Inaction Unfortunately, the accounting profession has been reluctant to assume responsibility for the detection of fraud, and only in recent years have auditing rules specifically addressed the need to uncover fraud. In 1998, at the request of the chairman of the SEC, the Public Oversight Board appointed a panel called the Panel on Audit Effectiveness that consisted of eight members who were charged with thoroughly examining the current audit model. In 2000, the Panel issued a 200-page report, Reports and Recommendations, which included a recommendation that auditors should perform forensic-type procedures during every audit to enhance the prospects of detecting material financial-statement fraud.

The Panel on Audit Effectiveness recommended that the following surprise or unpredictable elements be incorporated into audit tests: • Recounts of inventory and unannounced visits to locations • Interviews of financial and nonfinancial client personnel in different locations

• Requests for written confirmations from client employees regarding matters about which they have made representations to the auditors • Tests of accounts not normally performed annually • Tests of accounts traditionally or frequently deemed “low risk” In response, the accounting profession issued Statement on Auditing Standards (SAS) No. 99 which did expand guidance for detecting material fraud. SAS No. 99 recommended the following: • Brainstorming (requires the audit team to discuss the potential for a material misstatement in the financial statements due to fraud) • Increased emphasis on professional skepticism • Discussions with management • Unpredictable audit tests • Responding to management override of controls • Unannounced recounts of inventory • Testing high-risk accounts Although SAS No. 99 does not require the use of forensic specialists, it does state on page 23 that “an auditor may respond to an identified risk of material misstatement due to fraud by assigning additional persons with specialized skill and knowledge, such as forensic and information technology (IT) specialists, or by assigning more experienced personnel to the engagement.”

It is important to understand how the role of a forensic accountant differs from an auditor. An auditor determines compliance with auditing standards and considers the possibility of fraud. A forensic accountant has a single-minded focus on the detection and deterrence of fraud.

Robert Roche describes a forensic accountant as someone “who can look behind the façade—not accept the records at their face value—someone who has a suspicious mind that [considers that] the documents he or she is looking at may not be what they purport to be and someone who has the expertise to go out and conduct very detailed interviews of individuals to develop the truth, especially if some are presumed to be lying.” Forensic accounting often involves an exhaustive, detailed effort to penetrate concealment tactics.

Stephen Seliskar says, “in terms of the sheer labor, the magnitude of effort, time, and expense required to do a single, very focused [forensic] investigation—as contrasted to auditing a set of the financial statements—the difference is incredible.”3 Materiality Is Unimportant In auditing, materiality is an important governing standard in terms of transactions that require investigation. Materiality is often defined in terms of a transaction’s or account’s relative size as compared

Fall 2005 THE FORENSIC EXAMINER 41

to revenue or total assets. In a forensic investigation, materiality means something entirely different. As pointed out by Lorraine Horton, “In investigative accounting, it is the opposite. I am looking for one transaction that will be the key.

The one transaction that is a little different, no matter how small the difference, and that will open the door.”4 For example, checking the payment made to a utility company may lead to the discovery of an executive’s $4 million condo on the books of a corporation. Under the cockroach theory of fraud, there is never just one incident or red flag of fraud.

To illustrate the importance of small details, consider the following example. A former Scotland Yard scientist tried to create the world’s biggest fraud by authenticating $2.5 trillion worth of fake U.S. Treasury bonds. When two men tried to pass off $25 million worth of these bonds in Toronto in 2001, a policeman noticed the bonds bore the word “dollar” rather than “dollars.” Police later raided a London bank vault and discovered that the bonds had been printed with an ink jet printer that had not yet been invented when the bonds were allegedly produced.

In addition, zip codes were used even though they were not introduced until 1963.5 Walkthroughs Are Recommended The PCAOB recommends that an auditor perform at least one walkthrough for each major class of transactions. A major class of transactions is identified as similar transactions that are significant to the company’s financial statements. A walkthrough requires an auditor to trace a transaction from origination through the company’s information systems until it is reflected in the company’s financial reports. The walkthrough should include the entire process of initiating, authorizing, recording, processing, and reporting individual transactions and controls for each of the significant processes identified.

Walkthroughs are vital in evaluating the effectiveness of an internal control system.

The standard set by the PCAOB sets a minimum for auditors. However, for

forensic specialists one walkthrough is barely sufficient. Why are walkthroughs so important? Consider the following example. On October 14, 2002, a New York Times article by Joel Brinkley stated, “auditors studying the financial records of federal government departments find many of them so disorganized, even chaotic, that the agencies cannot account for tens of billions of dollars.” So how did the agencies make their books balance? Some agencies apparently believe in the magic of top-side balancing entries.

The Forest Service, an agency of the U.S. Department of Agriculture, tried to balance its books at the end of the 2001 fiscal year. It booked more than 15,337 adjusting entries, debits, and credits totaling more than $11 billion gross. Auditors determined that 73% of these adjustments, totaling $7.9 billion, were unsupported.6 In a similar fashion, a forensic accountant or auditor should wander around the entity being audited to informally observe the setting: the employees while entering and leaving and while on lunch break; posted material, instructions, and job postings; information security and confidentiality; and compliance with procedures. These observations are especially valuable when assessing the internal controls.

Forensic Investigations A forensic investigation can be reactive or proactive. A reactive investigation occurs when there is some reason to suspect fraud or a significant loss gives good reason to consider the possibility of fraud. A proactive approach is preventative and involves a review of internal controls and the identity of those areas most subject to fraud.

Fraud detection can involve the following types of engagements: • Determining if fraud is occurring • Supporting criminal or civil action against dishonest individuals • Forming a basis for terminating a dishonest employee • Supporting an insurance claim • Supporting the defense of an accused employee • Determining whether assets or income

42 THE FORENSIC EXAMINER Fall 2005

were hidden by a party to a legal proceeding (such as a bankruptcy or divorce) • Identifying internal controls to prevent fraud from happening again7 The forensic specialist has different techniques that can enable him or her to gather evidence to determine the incidence of fraud. Among the techniques commonly used by forensic experts are the following: • Public document reviews and background investigations (nonfinancial documents) • Interviews of knowledgeable persons • Confidential sources • Laboratory analyses of physical and electronic evidence • Physical and electronic surveillance • Undercover operations • Analyses of financial transactions8 Forensic accountants must be aware that the data-driven approaches do not detect all fraud schemes such as bribery and kickbacks. Often corruption and collusion involve the circumvention of control by top executives. So searching the relevant transactions data for patterns, red flags, and unexplained relationships may not yield positive results because the information may not be recorded within the system. Thus, “behavioral concepts and qualitative factors frequently allow the auditor to look beyond the data, both with respect to data that is there and data that isn’t.”9 Like Sisyphus, the mythological character who was condemned to roll a rock up a hill each day only to watch it roll back down again, external and internal accountants cannot seem to make much progress in eliminating fraud from financial statements and the workplace. “During one investigation, we found in the auditing working papers a statement written in the margin of the internal audit working paper by the internal audit manager: ‘Conceal from bankers,’” says Nichols L. Feakins, CPA, partner at San Mataeo, California, based forensic accounting firm Feakins & Feakins. “It sounds amazing, but the [third party] auditors had put B-level staff on the project who simply didn’t read the documents and missed it.”10

Conclusion Fraud has become an issue of major importance in the public arena since the shocking revelation of the financial difficulties of Enron and a succession of other companies such as WorldCom. The ensuing public outcry resulted in the passage of the Sarbanes-Oxley Act of 2002, the most far-reaching legislation affecting the securities markets since the SEC acts of 1933 and 1934. The passage of SOX required the formation of the PCAOB, whose charge is the passage of rules intended to strengthen auditor independence and improve financial transparency. However, the need for forensic specialists has not declined even with the effort to pass laws and regulations intended to deter the incidence of fraud.

Two new polls reported by Fortune Magazine show the continuing pressure on executives to meet earnings targets and the temptation to utilize accounting tricks to achieve those targets. A survey by CFO Magazine found that since 2001, 18% of financial executives said that they felt more pressure to use tricky accounting methods to make results appear more favorable, while 51% felt that there was no change in pressure to manipulate accounting numbers as compared to 2001.

Another study from Duke University revealed that while only 8% of CFOs would be willing to use accounting tricks,

80% would decrease discretionary spending and 55% would delay new projects to meet the earnings target.11 These results confirm the continuing pressure on financial executives to produce artificially higher profits and the need for continued vigilance to prevent fraud and abuse.

Fraud accounting specialists such as Certified Forensic Accountants, Cr.FAs, who are trained to aggressively detect the potential for fraud are going to be in continuing demand to supplement the efforts of auditors.

References 1. M. J. Comer, Investigating Corporate Fraud (Burlington, VT: Gower Publishing, 2003), 9.

2. Association of Certified Fraud Examiners, Report to the Nation on Occupational Fraud and Abuse, Annual Report, 2004.

3. E. Krell, “Will Forensic Accounting Go Mainstream?” Business Finance Journal (October 2002).

4. H. W. Wolosky, “Forensic Accounting in the Forefront,” Practical Accountant (February 2004): 23-28.

5. S. Elough, “Bungling Scientist Is Jailed for Plotting World’s Biggest Fraud,” News.Telegraph, November 1, 2003, http://www.news.telegraph .co.uk (accessed on January 11, 2004).

6. S. Green, “Fighting Financial Reporting Fraud,” Internal Auditing (December 2003): 5865.

7. D. R. Carmichael, et al., Fraud Detection, 5th ed. (Fort Worth, TX: Practitioners Publishing, 2002), 2-4.

8. R. A. Nossen, The Detection, Investigation, and Prosecution of Financial Crimes (Richmond,

VA: Thoth Books, 1993).

9. S. Ramamoorti and S. Curtis, “Procurement Fraud and Data Analytics,” Journal of Government Financial Management 52, no. 4 (2003):16-24.

10. J. Poinier, “Fraud Finder,” Future Magazine, Fall 2004, http://www.phoenix.edu /students/future/oldissues/winter2004.fraud.htm 11. T. Demos, “CFO Pressure Cooker,” Fortune, June 28, 2004, 30.

About the Authors Nicholas G. Apostolou, DBA, CPA, is a Certified Forensic Accountant (Cr.FA) and a Diplomate of the American Board of Forensic Accounting. He works as a U.J. LeGrange Professor at Louisiana State University.

D. Larry Crumbley, PhD, CPA, is a Certified Forensic Accountant (Cr.FA) and a Diplomate of the American Board of Forensic Accounting.He is a KPMG Endowed Professor at Louisiana State University.

Earn CE Credit To earn CE credit, complete the exam for this article on page 66 or complete the exam online at www.acfei.com (select “Online CE”).

Take the Certified Forensic Accountant, Cr.FA, course at ACFEI’s National Conference September 30-October 1, 2005, at the Manchester Grand Hyatt in San Diego, California.

Fall 2005 THE FORENSIC EXAMINER 43

A Comparison of Utilization of Peer Support Services and Perceived Stigma within the Vermont State Police

By David B. Goldstein, PhD, Diplomate of the American Board of Examiners in Crisis Intervention Key Words: stigma, program utilization, peer support, law enforcement, police

s a result of its position within society, police work is unlike other occupations. During peacetime, for example, there is no other profession actively tasked with the moral, ethical, and statutory responsibility associated with taking the life of another human being. Within police circles, the ever-present firearm is often referred to as the “ultimate authority.” While there are necessary guidelines associated with the application of deadly force, police officers are the only ones ultimately responsible for their actions and the results of such behaviors.

The numerous difficulties associated with law enforcement often negatively affect both officers and those around them. Frequently, both emotional and physical problems develop as a result of these work-related difficulties (Madonna, 2002).

In a simplistic sense, it is easy to dictate that law enforcement will function in a specific manner. Police officers confront the ills of society on a daily basis. However, as society has developed and become more complex, so has the profession of law

A

Abstract The present research involving the Vermont State Police Peer Support Program was undertaken in order to examine membership utilization of the program and its relationship to the existence of stigma. Members of the Vermont State Police were sent 463 questionnaires. A “snowball” sampling technique was employed.

Of the surveys returned, 30.5% were usable. The compiled results indicated that the majority of respondents have not used the peer support program. Further, there is stigma attached to those who seek such services. Using a t-test of independent samples, it was revealed that those who do use the Peer Support Program are less concerned with the attachment of stigma than those who do not. The results of the analysis revealed a t value of –2.717 and p = .008. Recommendations for the Vermont State Police Peer Support Program have been presented.

Generalizations of the findings are also suggested for law enforcement agencies.

enforcement. As a result, the various needs of today’s police officers require much consideration (Kelly, 2002).

Police officers are required to take an oath that addresses the possibility that they might be injured or even die while performing their duties. Nowhere does the oath of office state or even imply that individual officers will abandon their membership in the human race (Bonifacio, 1991).

The concerns alluded to in the preceding paragraphs focus on two considerations. These are interrelated and involve the fact that police officers must be able to carry out their duties with as little difficulty as possible. If an officer is not able to perform properly, then there is the significant potential that the public might not receive the services needed and innocent individuals might be harmed.

Occupational difficulties might also interfere with the lives of officers' families and friends. On one hand, it is fortunate that there are services available for intervening in such problems. The enigma is that members of law enforcement are often reticent to avail themselves, either individually or collectively, of such servic-

44 THE FORENSIC EXAMINER Fall 2005

es. In other words, while law enforcement officials are ready and able to assist any and all who ask for help, members of the police profession are slow to help themselves or their fellow officers (Klein, 1989).

In an effort to explore and understand some of the dynamics associated with the delivery of peer support services, a study of the Vermont State Police Peer Support Program (VSP PSP) was conducted. The VSP PSP was designed for the members of that particular group.

Any endeavor designed to assist others must be used in order to be considered effective. Programs that are never utilized and that exist only on the drawing board may appear effective and useful but lack a true measure of their efficacy. Therefore, it was necessary to examine how much the members of the VSP PSP used the program. A low utilization rate may indicate dissatisfaction or may merely be indicative of members’ hesitancy to try something new. Of course, not taking advantage of the program may be a combination of the two factors.

The present research examines perceived stigma and its relationship to the utiliza-

This article is approved by the following for continuing education credit: ACFEI provides this continuing education credit for Diplomates.

ACFEI is approved by the American Psychological Association to offer continuing professional education for psychologists. ACFEI maintains responsibility for the program.

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tion of the VSP PSP. General concerns of police officers in this area are well documented by DeLung (1989) and will be reviewed later.

Unfortunately, there are numerous police officers who will not seek needed assistance due to a preconceived perception and the practice of stigma. Much of the material written about this topic is anecdotal and lacks specific and objective research. Nonetheless, the potential to be labeled incompetent, unworthy, weak, or the like exists for police officers requiring help. The aforementioned potential might be the most important reason why police officers do not seek assistance (DeLung, 1989).

The Concept of Stigma A significant consideration is the concept of stigma. Within the law enforcement profession, seeking assistance for emotionally associated difficulties often carries a negative connotation (Chamberlin, 2000).

Thus, it is important to identify the existence of stigma and examine it in relation to the utilization of mental health-type services.

Terms associated with the idea of stigma

include stereotyping, deviant, or labeling.

“The Greeks . . . originated the term stigma to refer to bodily signs designed to expose something unusual and bad about the moral status of the signifier. The signs were cut or burnt into the body and advertised that the bearer was a slave, a criminal, or a traitor—a blemished person, virtually polluted, to be avoided. . . . Today . . . shifts have occurred in the kinds of disgrace that arouse concern” (Goffman, 1999, p. 56).

Further, “The term stigma, then, will be used to refer to an attribute that is deeply discrediting” (Goffman, 1999, p. 57).

Thus, it is possible to envision why it might be difficult for a law enforcement officer to seek help, as others might consider such actions unnecessary and cowardly.

Henslin (1996) has also suggested that an individual does not need to do anything to be stigmatized by others. The characteristics that identify an individual as different or even deviant in the opinions of others are all that is required for the individual to be categorized as contrary.

Simple membership in a given group might also lead to immediate stigmatization.

The notion of labeling should be considered as well. Once a stigmatizing label is applied to an individual, deviance may occur and recur (Akers, 1997; Elpers, 1995; Siegel, 1998). In other words, in a manner similar to the “self-fulfilling prophesy,” an individual may, after being labeled, choose to become what the label connotes.

The potential for an individual’s awareness of a stigmatizing factor should also be considered. In relation to this, it is the perception of what a group has declared as stigma that is important. Within these perceptions, it is possible for an individual to either forego the opportunity to refute the stigma or actually reduce the perceived disgrace if the concerns about this are shared with others of a similar ilk (Frable, Platt, & Hoey, 1998; Pinel, 1999).

In terms of labeling, according to Mallinger (1998), there is a definite association between stigma and the existence of mental illness. “There appears to be a

social context in which a label of mental illness is affixed. Also, once identified as mentally ill, an individual may suffer from the resultant social stigma . . . research in this area has operationalized stigma as the social distancing from the labeled individual” (p. 4).

Judge (1997) conducted research in which the relationship between stigma and seeking psychotherapy was examined. The author is of the opinion that there is little research in this area. One of the most poignant reasons offered for this opinion is that interest in the subject matter has waned over the years. This does not negate the need for such inquiry nor does it diminish the importance and impact of the phenomenon. “One’s cultural values and social expectations may, at different times, enforce the notion that seeking help for one’s problems means that one is weak . . . and, therefore, must feel shame or embarrassment” (Judge, p. 7).

DeLung (1989) has examined the relationship between stigma and the police officer in terms of peer counseling. It is immediately recognized that police officers are quick to judge their own. If officers seek help, their peers then see them as weak. The author has indicated that there is a “notorious reluctance” (DeLung, p. 9) on the part of police officers to access professional guidance. “There is a strong belief among police officers that those who need counseling are somehow different” (DeLung, p. 93).

The utilization of the VSP PSP was examined. A potential dichotomy is the actual definition of the term utilization.

According to Trooper First Class Michael Sorensen (personal communication, June 2000), the founding member of the VSP PSP, any program-related communication between a peer supporter and a member of the state police is recorded as a contact.

Thus, the conversation may occur in a formal or informal setting and the exchange may be little more than a few questions and answers. For the purposes of this study, utilization was viewed from the consumer’s point of view. (For example, did the member seek or not seek assistance from the VSP PSP.) Police officers are considered to be the

Fall 2005 THE FORENSIC EXAMINER 45

“...the difficulties associated with stress, crisis, and trauma may make it imperative for some to seek help, no matter what the outside perception or ‘cost.’” individuals most affected by potential and real stigma in relation to the utilization of support services (Klein, 1989). It is unfortunate that there are countless law enforcement officers who opt not to access available peer support programs due to the potential for stigmatization.

As a result, an examination of any association between stigma and utilization may offer insight into this potentially incapacitating problem. With this in mind, avenues for overcoming or circumventing such difficulties may be discovered. Once discovered, positive change can become a reality.

Research Design and Methodology It is possible to assist police officers through difficult periods. Indications of this fact have been noted elsewhere (Chamberlain, 2000; Finn & Tomz, 1997; Klein, 1989). Due to the specific nature of the chosen organization (the Vermont State Police) and its members, the case study became the research method of choice (Stake, 1995; Yin 1994). “The case study is the method of choice when the phenomenon under study is not readily distinguishable from its context. Such a phenomenon may be a project or program in an evaluation study” (Yin, 1993, p. 3).

To address the issue of utilization of the VSP PSP, descriptive data were collected.

Potentially stigmatizing aspects associated with the peer support program were also explored. It is within this type of examina-

tion that information was gathered to answer various questions about the subject at hand (Miller, 2000). This type of analysis is not exclusively quantitative and is considered to be “a uniform and impartial explanation of certain aspects of the persons, places, or things that are the subject of the study” (Senese, 1997, pp. 27-28).

Methods The general objective of this study was to examine a number of specific aspects of the VSP PSP. Permission to conduct this research was obtained from the director of the Vermont State Police, Lieutenant Colonel Thomas Powlovich. It was believed that by using the “snowball” technique of sampling, more members would be reached and would respond to the questionnaires.

The snowball technique is a probability form of sampling. Here, the measurement devices (i.e., questionnaires) were given to one individual who then passed the questionnaires along to the rest of the research population (the Vermont State Police).

“The sampling plan follows out the chains of sociometric relations. . .this sampling technique is like that of a good reporter who tracks down ‘leads’ from one person to another” (Coleman, 1970, p. 118).

The present study addressed efforts to investigate and eventually reach an understanding of the overall dynamics and influences that are affiliated with the delivery of peer support services in law enforcement agencies. The study of the Vermont State

46 THE FORENSIC EXAMINER Fall 2005

Police, while more individualized in their peer support efforts, represents many of the endeavors made in this area of concern among other law enforcement agencies.

Initial efforts were concerned with data gathering relative to the utilization of the services offered. The basis for this survey was found in the work completed by Asen (1994). Another survey addressed the concept of stigma as it related to one’s opinions relative to the seeking of peer support-type services (psychotherapy or counseling). This has been adapted from research conducted by Judge (1997), who examined the potential for stigma as it relates to seeking psychotherapy as follows: “Stigma that is associated with psychotherapy may be seen as (a) the perception of oneself in therapy by self and/or by others as emotionally inferior and the related feelings of shame, and (b) the perception of others who are in therapy by oneself and/or by others as emotionally inferior and potentially shameworthy” (p.

57). Judge developed a psychotherapy and stigma scale (PASS) to measure the stigma individuals may attach to seeking assistance.

The variables of utilization and stigma were statistically analyzed relative to their potential association. It has been noted that, while accepted in an anecdotal sense, there is actually little specific data concerning these topics. In this instance, the t-test for independent samples was employed. In this test, it is possible to examine the relationship between two groups that are not related (Salkind, 2000; Tropper, 1998). This statistic is considered to be extremely robust (Kirk, 1999).

While the use of the t-test did not represent an actual correlation between the two variables, its use made it possible to determine a valid association between the groups in question. “Subjects might . . . end up in one or the other of two groups because they possess a characteristic that coincides with the thing that distinguishes the two groups” (Huck & Cormier, 1996, p. 270).

In the current research, there were two groups within the variable labeled “utilization.” Here, one has either sought assistance, or one has not (i.e., bivariate).

Thus, this variable is not continuous, as opposed to the variable labeled “stigma” (Huck & Cormier, 1996).

A total of 463 surveys were disseminated to the members of the Vermont State Police. This was accomplished via members of the Peer Support Team (i.e., the snowball sampling technique). In a coordinated effort, surveys were sent to the various troop and duty stations of the Vermont State Police. From there, the surveys were passed on to both sworn and nonsworn employees. The intent was to survey all employees.

Not all the surveys disseminated were completed by the recipients. Of the 463 surveys sent to members of the Vermont State Police, 40 were returned with none of the questions completed. In addition, 14 of the surveys that were returned were deemed to be unusable. The reason for the latter was due to the fact that the respondents recorded that they were unaware of the existence of the VSP PSP, but completed the surveys in a manner that would suggest that these subjects had used the program.

Based on the number of surveys returned (N=195), the original computed return rate might well be 42.1%. However, considering the fact that 54 of the returned surveys were considered unusable, the return rate used for data analysis is calculated as 30.5% (N=141).

Utilization While utilization is a significant portion of the demographic examination of the VSP PSP, this category also addresses the question: What are the utilization rates among members of the Vermont State Police? The research revealed that of the 141 subjects who returned surveys, 108 (76.6%) had not used the VSP PSP. The remaining 23.4% (n = 33) had used the program.

Stigma This research concerning the issue of stigma associated with seeking counseling revealed that of a possible 141 respondents, 133 subjects replied to the inquiry posed. The returns demonstrate that 60 individuals disagree that stigma is associated with seeking such services and 73 opine

that stigma does attach to PSP-like assistance (refer to Table 1).

Results The comparison of the utilization of the VSP PSP and the attachment of stigma was accomplished via a t-test of independent samples. Of those who chose to respond, 31 perceived stigma. A total of 99 not attach stigma. The t-test itself produced 128 degrees of freedom. From the data provided, the t value was calculated as –2.717. The computed significance of this statistical analysis equaled .008.

Overall, the t-test used is a robust and straightforward examination of the data available. As noted, one of the variables, utilization, is bivariate in nature. As a result, it is not advisable to attempt a specific correlational analysis, which requires that variables to be investigated be continuous in nature.

The t-test represents a comparison of the means of given populations. A discussion of the results is forthright in nature.

Comparing the numbers of respondents in relation to those who have chosen to address the issue of stigma and use of the VSP PSP reveals that the majority have not. This, in turn, provides respective means of each group.

This analysis further depicts whether or not the difference between the means is due to chance. As stated, the numerical result is t = -2.717, with 128 degrees of freedom. As a result, p = .008. Therefore, there is a statistically significant difference between the stigma scores of individuals who use the VSP PSP and those who do not.

With this finding, it is necessary to look once again at the differences between the means. In so doing, it becomes apparent that the mean for the “users” of the PSP is lower than the mean for the “nonusers.”

From these results, it is possible to conclude that respondents who opt to use the VSP PSP attribute less stigma to the counseling than those who do not.

Conclusion and Recommendations Those who have decided to use the VSP PSP are likely more enlightened to begin

Table 1. Summary of subjects’ responses when asked their level of agreement with the statement that there is stigma attached to those who seek peer support services from the VSP PSP.

Level of Agreement

# of Respondents (% of Total)

Strongly agree

19 (13.5%)

Some agreement

22 (15.6%)

Agree

32 (22.7%)

Disagree

28 (19.9%)

Some disagreement

18 (12.8%)

Strongly disagree Total Missing returns Overall total

14 (9.9%) 133 (94.3%) 8 (5.7%) 141 (100%)

with. Their view of stigma and its association to such programs may also be diminished by their need for such intervention.

In other words, the difficulties associated with stress, crises, and trauma may make it imperative for some to seek help, no matter what the outside perception or “cost.”

A concerted effort must be instituted in two particular areas. The first is specific to this research and is concerned with increasing the utilization of the VSP PSP. Secondly, and in a more general sense, it is important to reduce the amount of stigma associated with seeking PSP-type services.

In relation to the latter, there are three specific recommendations. The first deals with specialized educational efforts aimed at demystifying not only the VSP PSP specifically, but any like endeavor in general.

Secondly, there should be open and frank discussions of stress, crisis, and trauma relative to police work. For example, psychological and physiological sequelae to experienced difficulties may be presented in an effort to educate as well as intervene.

Fall 2005 THE FORENSIC EXAMINER 47

A third approach would make it mandatory for all members involved in critical incidents to avail themselves of initiatives such as the VSP PSP. With such a policy in place, there should be no stigmatic distinction among those who legitimately may require such services and those who reasonably may not.

In other words, there will be those who will require services as well as those members who are able to resolve such issues on their own. Mandatory participation should remove individuals involved from the scrutiny of those not involved with the situation at hand.

It may be fair to state that if the abovedescribed approaches are instituted, then utilization of such endeavors will increase as well. It is also reasonable to expect that such efforts may be generalized to the law enforcement profession as a whole. Any success attributed to the VSP PSP will provide support for the establishment of similar programs elsewhere. One would also hope to find the diminution of perceived stigma associated with assistanceseeking behavior.

It is also hoped that the results of this research may be applied to law enforcement in general. It is important for all members of the police profession to be able to seek and access assistance when it is needed. It is also important that such efforts be met with acceptance and support so that no stigma is attached.

The overall goal of this research is to provide police officers with additional armament in the battle against antiquated and often destructive opinions and practices concerning the use of intervening assistance. When members of the law enforcement profession acknowledge and engage such services, then both the police and the citizenry will reap the benefit.

References Akers, R. L. (1997). Criminological theories: Introduction and evaluation (2nd ed.). Los Angeles: Roxbury Publishing Company.

Asen, J. R. (1994). Factors that affect acceptance of police department employee assistance programs.

Unpublished doctoral dissertation, Temple University, Philadelphia.

Bonifacio, P. (1991). The psychological effects of police work: A psychodynamic approach. New York:

Plenum Press.

Chamberlin, J. (2000). Cops trust cops, even one with a PhD [Electronic Version]. Monitor on Psychology, 31(1).

Coleman, J. S. (1970). Relational analysis: The study of social organizations with survey methods. In N. K. Denzin (Ed.), Sociological methods a sourcebook (pp. 115-121). Chicago: Aldine Publishing Co. DeLung, R. H. (1989). Police peer counseling: A comparison of personality profiles. Unpublished doctoral dissertation, The Fielding Institute.

Elpers, J. R. (1995). Community psychiatry. In H. I. Kaplan & B. J. Sadock (Eds.), Comprehensive textbook of psychiatry/VI (6th ed., pp. 26632677). Baltimore: Williams & Wilkins.

Finn, P., & Tomz, J. E. (1998). Using peer supporters to help address law enforcement stress.

FBI Law Enforcement Bulletin, 67(5), 10-18.

Frable, D. E. S., Platt, L., & Hoey, S. (1998).

Concealable stigmas and positive self-perceptions: Feeling better around similar others. Journal of Personality and Social Psychology, 74(4), 909-922.

Goffman, E. (1999). Stigma and social identity. In H. E. Pontell (Ed.), Social deviance: Readings in theory and research (3rd ed., pp. 56-75).

Upper Saddle River, NJ: Prentice Hall.

Henslin, J. M. (1996). Essentials of sociology.

Boston: Allyn and Bacon.

Huck, S. W., & Cormier, W. H. (1996). Reading statistics and research (2nd ed.). New York: HarperCollins.

Judge, A. (1997). Psychotherapy and stigma scale: Development and validation of an instrument to measure stigma as it is attached to seeking psychotherapy. Unpublished doctoral dissertation, University of Maryland, College Park.

Kelly, R. E. (2002). Psychological care of police wounded. In J. M. Madonna & R. E. Kelly (Eds.), Treating police stress: The work and worlds of peer counselors (pp. 15-32). Springfield, IL: Charles C. Thomas.

Klein, R. (1989). Police peer counseling officers helping officers. FBI Law Enforcement Bulletin, 57(10), 1-4.

Kirk, R. E. (1999). Statistics: An introduction (4th ed.). Fort Worth: TX: Harcourt Brace College Publishers.

Madonna, J. M. (2002). The anatomy of police stress. In J. M. Madonna & R. E. Kelly (Eds.), Treating police stress: The work and worlds of peer counselors (pp. 7-14). Springfield, IL: Charles C. Thomas.

Mallinger, J. E. (1998). Social stigma and psychiatric disorder. Unpublished doctoral dissertation, University of Pittsburgh, Pittsburgh.

Miller, L. (2000). Law enforcement traumatic stress: Clinical syndromes and intervention strategies. Trauma Response, 6(1), 15-20.

Pinel, E. C. (1999). Stigma consciousness: The psychological legacy of social stereotypes. Journal of Personality and Social Psychology, 76(1), 114-

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128.

Salkind, N. J. (2000). Statistics for people who (think they) hate statistics. Thousand Oaks, CA: Sage Publications, Inc. Senese, J. D. (1997). Applied research methods in criminal justice. Chicago: Nelson-Hall Publishers.

Siegel, L. J. (1998). Criminology theories, patterns, and typologies (6th ed.). New York: West/Wadsworth Publishing Co. Stake, R. E. (1995). The art of case study research. Thousand Oaks, CA: Sage Publications, Inc. Tropper, R. (1998). The interpretation of data: An introduction to statistics for the behavioral sciences. Pacific Grove, CA: Brooks/Cole Publishing Co. Yin, R. K. (1994). Case study research design and methods (2nd ed.). Thousand Oaks, CA: Sage Publications.

Yin, R. K. (1993). Applications of case study research. Thousand Oaks, CA: Sage Publications.

About the Author David Goldstein, PhD, DABECI, has been a police officer for approximately 27 years. He retired as Captain of the New Hampshire State Police Department and has served as Chief of Police in Winthrop, Massachusetts, since February of 2004. Dr. Goldstein’s past assignments have included undercover narcotics investigations, homicide investigations, polygraph, crisis (hostage) negotiations, and peer support and counseling.

Dr. Goldstein holds a bachelor’s degree in psychology from Boston University, a master’s degree in public health from Tufts University, and a doctorate in human services/criminal justice from Walden University. During his career he has taught a variety of subjects at a number of undergraduate, graduate, and technical institutions. He is currently a member of the adjunct faculty at Boston University in the Department of Applied Social Sciences/Master of Criminal Justice Program.

Dr. Goldstein is a Diplomate of the American Board of Examiners in Crisis Intervention and has been a member of the American College of Forensic Examiners Institute since 2000.

Earn CE Credit To earn CE credit, complete the exam for this article on page 66 or complete the exam online at www.acfei.com (select “Online CE”).

Join ACFEI in San Diego, California, on September 30-October 1 for the 2005 National Conference

Time is quickly running out to register for ACFEI’s 2005 National Conference in San Diego, California, to be held September 30-October 1.

The 2005 National Conference will be hosted at the luxurious Manchester Grand Hyatt, which is ideally located on San Diego Bay near many of the area’s leading attractions.

Presentations Scheduled for ACFEI’s 2005 National Conference For more information on any of these presentations, see the complete program of events at www.acfei.com.

Red Cross Disaster Mental Health Training Ethics Core Course: Professional Ethics in Forensic Examination

This conference will offer more than 140 continuing education (CE) credits to choose from. CEs may be earned by taking part in the wide array of special presentations, workshops, and other exciting events offered at the conference.

Attendees will also have the opportunity to participate in ACFEI’s popular certification courses, including the Certified Forensic Consultant, CFCSM, course; the Certified Medical Investigator®, CMI, course; the Certified Forensic Nurse, CFNSM, course; and the Certified Forensic Accountant, Cr.FA®, course.

Two riveting featured speakers will be highlighted at the conference. Stanton Samenow, PhD, FACFEI, DABFE, DABFM, DABPS, one of the nation’s leading criminologists, will present “From Idea to Post Execution: The Offender’s Mental Processes Before, During, and After a Crime.” Roy Hazelwood, MS, DABFE, DABLEE, a leading criminal profiler and former FBI agent, will present a two-part workshop

“M.O., Ritual, and Signature,” and “Evaluating Crime Scenes for Staging.”

The host hotel for the conference, the Manchester Grand Hyatt, is currently sold out for the nights of Sept. 29 and 30. However, attendees may choose to be placed on a waiting list for any rooms that may open up. There are also several other attractive lodging options available. Fore more information on the wait list or alternate hotels, please contact ACFEI’s Conference Department toll free at (800) 423-9737, send an email to conference@acfei.com, or visit www.acfei.com/conferences.php.

Register today to join ACFEI in sunny, tropical San Diego, California, by calling toll-free (800) 423-9737 or fax the registration form on page 51 to (417) 881-4702. You can also register online quickly and easily by logging on to www.acfei.com.

We’ll see you in San Diego!

Properly Documenting a File and Forensic Examination of IME Doctors Introduction of Crime Scene Investigation Techniques into the Field of Forensic Engineering Studies The Role of Forensic Social Workers in Court-Appointed Case Management Evaluating a Request for a Hastened Death: Issues of Psychology, Law, and Ethics Classification of Sex Crime Characteristics Using Attorneys’ Trust Funds to Launder Money Nurses and Emergency Preparedness and Response

continued on next page

Fall 2005 THE FORENSIC EXAMINER 49

The Evidence Base for Criminal Personality Profiling Violence in the House of Healing: Recognition, Response, and Prevention of Violence in Healthcare The Collaborative Practice Approach to Conflict Resolution Turning Forensic Case Studies into Documentary Film Projects Forensic Aspects of Drug Interactions Rule 26 Panel: Applied Sciences Professionals IRS Representation Testifying as a Forensic Expert: Legal Requirements and Liability Rule 26 Panel: Theoretical Sciences Professionals Law Core Course: Law and Forensic Examination

The Nurse’s Role in a Bioterrorist Event The Use of Modeling and Simulation in Forensic Investigations Conducting an International Fraud Investigation The Application of Self-Efficacy Theory in the Diagnosis and Treatment of Oppositional Defiant Disorder (ODD) Among Adolescent Delinquents Improving Sex Offender and Batterer Treatment Outcomes Through a Trauma-based Framework Sexual Assault Policy, Programs, and Health Care in the United States Military

A Compliant Victim: Accomplice to Murder Evidence Core Course: Scientific Evidence: A Short Course in the Applied Forensic Sciences Law and the Expert Witness Standards of Practice for the Assessment and Treatment of Sex Offenders Post-traumatic Stress in the Aftermath of Homicide, Suicide, and Other Sudden Unexplained Fatalities and Sexual or Felonious Assaults: Efficacious Paths for Surviving Loved Ones and Survivors Interpretation of Blood Spatter Evidence at Crime and Accident Scenes Investigating Corporate Fraud

Treatments of Selected Accounting Cases

Forensic

Guilty Until Proven Innocent: Malpractice Claims and Consumer Complaints in Our Changed World

ACFEI invites you to submit a proposal for an online continuing education course to be offered to ACFEI’s membership via ACFEI-Online. Although ACFEI welcomes proposals on a variety of forensic topics, we are particularly interested in finding an instructor for an online ethics course, as well as introductory courses on general forensic topics such as beginning forensic dentistry, beginning forensic psychology, beginning forensic ophthalmology, etc.

For more information on developing and teaching an online course for ACFEI, please see the insert in this journal or contact ACFEI’s continuing education director at cedept@acfei.com or toll free at (800) 423-9737, ext. 125.

50 THE FORENSIC EXAMINER Fall 2005

School Forensics: Intervention, Investigation, and Litigation Psychology of White Collar Crime

ACFEI’s 2005 NATIONAL CONFERENCE San Diego, California • Sept. 30 – Oct. 1, 2005 (Please type or print your name as you would like it to appear on your badge.)

Name _____________________________________Designation__________ Member ID #________ Address _____________________________City__________________ State_______ Zip__________ Phone ( ) _______________ Fax ( ) ________________ E-mail ________________________ I. CONFERENCE REGISTRATION: Please check the appropriate registration category: general sessions registration, certification course registration, or core course registration. You must select only one type of registration, as these events run concurrently. All three types of registration include ALL dining events: a full breakfast both days, a four-course banquet on Friday, and a luncheon on Saturday.

Early-Early Regular (Until (Before 9/29) $375 $475 Member $340 $425 Life Member (10% discount) $500 Non-Member Spouse/Guest* (name)_____________________ $200 $295 Student (full-time) $100 $195

❑ A. General Sessions Registration ❑ ❑ ❑ ❑ ❑

Late (After 9/29) $525 $475 $550 $345 $245

Total $________ $________ $________ $________ $________

Guests are ineligible for CE credits.

❑ B. Certification Course Registration

Please check the certification course for which you wish to register. You must select only one; these courses run concurrently.

Applicants for these courses must be ACFEI members in good standing; have appropriate credentials for their profession, current and unrestricted, with no history of revocation or suspension; have no record of disciplinary action for any ethical, criminal, or other offense by any disciplinary body or court of law within the past 10 years; have records of compliance with all applicable local ordinances, state laws, and federal regulations for their professions; not be currently under investigation by any law enforcement agency, licensing board, professional association, or other entity; and not have any felonies or convictions in the past 10 years. Some of these courses have other prerequisites, and you may be asked to provide additional information at a later date.

Early Bird Instructor: J. Bradley Sargent, CPA, Cr.FA; Level: Intermediate to Advanced; (Until 8/1) $445 Prerequisites: An applicant must be a CPA and/or registered with his or her

❑ The Certified Forensic Accountant, Cr.FA, course

Regular (Before 9/29) $495

Late (After 9/29) $545

Total $________

State Board of Accountancy, if required by state law, and must comply with all local state ordinances, state laws, and federal regulations.

❑ The Certified Forensic Consultant, CFC, course

$445

$495

$545

$________

$300

$350

$400

$________

$445

$495

$545

$________

Instructor: Marc Rabinoff, EdD, DABFE, CFC; Level: Advanced.

❑ The Certified Forensic Nurse, CFN, course Instructors: Rusty Rooms, MSN, RN, CFN; Jamie Ferrell, BSN, RN, CFN; Level: Advanced; Prerequisites: Applicants must be RNs with a minimum of five years experience who have successfully completed a formal didactic educational program in forensic nursing.

❑ The Certified Medical Investigator, CMI, course Instructor: Michael Karagiozis, DO, MBA, CMI-V and Richard Sgaglio, PhD, CMI-III; Level: Advanced; Prerequisites: CMI-I applicants must possess a bachelor’s degree or 5 years of experience in the medical or forensic fields; a CMI-II applicant must be a coroner, investigator, RN, LPN, or other professional in a forensic field; a CMI-III applicant must be a coroner, investigator, RN, LPN, or other professional with 5 years of experience in a forensic field; a CMI-IV applicant must possess an MD, DO, DDS, PhD, or other doctorate-level degree in a field relevant to forensic investigation; a CMI-V applicant must possess an MD, DO, DDS, PhD, or other doctorate-level degree in a field relevant to forensic investigation and have 5 years of experience in forensics, investigation, criminology, or a related field. Please check your anticipated level: ❑ CMI-I ❑ CMI-II ❑ CMI-III ❑ CMI-IV ❑ CMI-V

Fall 2005 THE FORENSIC EXAMINER 51

Continued on next page

Continued from previous page

❑ C. Core Course Registration The core course registration option allows you to enroll in all three of ACFEI’s core courses: evidence, law, and ethics. These courses are required for ACFEI Diplomate applicants. The Ethics Core Course will be held on Friday, Sept. 30, from 8 a.m.–5 p.m. The Law Core Course will be held on Saturday, Oct. 1, from 7 a.m.–noon. The Evidence Core Course will also be held on Saturday, Oct. 1, from 1 p.m.–6 p.m.

Ethics Core Course: Professional Ethics in Forensic Examination; Level: All levels; Prerequisites: None; Audience: This course is designed for professionals from across the disciplines who conduct forensic examinations and testify. Fundamental and current knowledge and skills in forensic science ethics are presented.

Law Core Course: Law and Forensic Examination; Instructor: Carl Edwards, JD, PhD, DABFE, DABPS, FACFEI; Level: All levels; Prerequisites: None; Audience: This course is intended for professionals from across the disciplines who work in forensic examination and testifying.

Evidence Core Course: Scientific Evidence—A Short Course in the Applied Forensic Sciences; Instructor: Carl Edwards, JD, PhD, DABFE, DABPS, FACFEI; Level: All levels; Prerequisites: None; Audience: This course is intended for professionals from across the disciplines who work in forensic examination and testifying and who are interested in learning more about scientific evidence.

Regular ❑ Member ❑ Non-Member

$425 $475

Late (After 9/29) $475 $525

Total $________ $________

II. ADDITIONAL CONFERENCE INFORMATION Red Cross Disaster Mental Health Training Pre-Conference: Thurs. Sept. 29, 8 a.m. – 5 p.m.; Instructor: Linda Whitten, MSN, APRN, BC, FAPA. This training is free with conference registration; pre-registration is required. You must be a mental health professional with a state license to practice independently to receive the ARC certificate. Others may participate but will not receive the certificate. Participants must complete an “Introduction to Disaster Course” provided by the ARC before participating in this training event. The course will be offered for free on Sept. 28, 2005, by the ARC San Diego/Imperial Counties Chapter. To reserve a spot in this prerequisite training contact Stephen Rea at (619) 542-7670 or by email at stephen.rea@sdarc.org. Alternate arrangements to take the prerequisite course are available—for more information call (800) 205-9165, ext. 125, or email conference@americanpsychotherapy.com. ❑ Yes, I will attend the Disaster Mental Health training. License number:________________________ Licensed in (state):______ Additionally, the American Psychotherapy Association’s (APA’s) National Conference will be held at the same time and location as ACFEI’s 2005 National Conference. ACFEI general sessions registrants may attend the general sessions of BOTH the ACFEI and APA National Conferences for no additional charge (does not include APA food events). For more information please call (800) 423-9737. For the most up-to-date listing of APA general sessions, visit www.americanpsychotherapy.com (click “Conferences”).

III. HOTEL INFORMATION The conference will be held at the Manchester Grand Hyatt on San Diego Bay (www.manchestergrand.hyatt.com). This hotel has already sold out for the nights of Sept. 29-30. Attendees wishing to stay at the hotel may choose to be placed on a waiting list for these nights; these individuals will be contacted if rooms become available. Other nearly lodging options are also available. For more information on being placed on the waiting list for the Manchester Grand Hyatt, or for a listing of alternate lodging options, please contact ACFEI’s Conference Department toll free at (800) 423-9737, send an email to conference@acfei.com, or visit www.acfei.com.

IV. PAYMENT PROCESSING ❑ Check enclosed ❑ Purchase Order

❑ Am. Express ❑ Master Card/Visa

Total Amount Due:

$_________

Card Number ______________________________ Exp_______ Name (as it appears on card)_____________________________ Signature ____________________________________________

All requests for cancellation of conference registration must be made to ACFEI headquarters in writing by fax or mail. Phone cancellations will not be accepted. All cancelled/refunded registrations will be assessed a $50 administrative fee. All refunds will be issued in the form of credit vouchers and are pro-rated as follows: cancellations received four or more weeks prior to the conference = 100% refund (less $50 administrative fee); cancellations received less than four weeks but more than one week prior to the conference = 50% refund (less $50 administrative fee); cancellations received one week or less prior to the conference = no refund. For more information on administrative policies, such as grievances, call (800) 423-9737. The performance of this conference is subject to the acts of God, war, government regulation, disaster, strikes, civil disorder, curtailment of transportation facilities, or any other emergency making it impossible to hold the conference. In the event of such occurrences, credit vouchers will be issued in lieu of cash. Conference schedule is subject to change. Please be prepared to show photo identification upon arrival at the conference.

Special Services: ❑ Please check here if you require special accommodations to participate in accordance with the Americans with Disabilities Act. Attach a written description of your needs.

FAX YOUR REGISTRATION FORM TODAY to (417) 881-4702; APPLY ONLINE at www.acfei.com; MAIL TO 2750 E. Sunshine 52 THE FORENSIC EXAMINER Fall 2005 Springfield, MO 65804; PHONE toll free (800) 423-9737, ext. 120 or 220

An Interesting Pharmaco-Legal Case

By Jerry W. Bush, MD Abstract This case involves issues of opiate drug chemistry as they relate to federal sentencing guidelines. The degree of similarity between the schedule III drug hydrocodone and the schedule II drug oxycodone is evaluated in the context of sentencing guidelines. These guidelines specify shorter prison sentences for offenses involving schedule III drugs, as opposed to those in schedule II. A while ago, I received a call from a lawyer in the New Jersey Federal Public Defender’s office. This attorney told me that he was representing a defendant who was going through the sentencing phase of a

conviction involving the sale of the controlled drug oxycodone to an undercover DEA agent. The attorney asked me to determine the similarities between schedule II oxycodone and schedule III hydrocodone. The current federal sentencing guidelines have lighter sentences for crimes involving schedule III drugs as opposed to those in schedule II. The lawyer had researched the Code of Federal Regulations and found a section that related to this issue. Apparently, there is precedent for classifying any opiate-type medicine that is less potent than 15 milligrams of hydrocodone as a schedule II drug. The defendant had been convicted of selling 5milligram oxycodone tablets.

I was asked to provide support for the argument that oxycodone should be con-

sidered a schedule III drug. My first step was to analyze the chemical structures of oxycodone and hydrocodone. I found that there is but a single chemical difference between the two drugs, an additional hydroxy group in oxycodone.

My next step was to determine the relative milligram-to-milligram potency of oxycodone versus hydrocodone. To do this, I reviewed conversion tables provided by a pharmaceutical company. I found that 5 milligrams of hydrocodone is equivalent to about 4 milligrams of oxycodone.

The relative potency was similar.

The last step in my analysis related to the abuse potential of scheduled drugs related to their combination with acetaminophen. Most of the schedule III drugs are mixed with acetaminophen, which decreases the possibility of inappropriate intravenous use. This additive obviously decreases oxycodone’s abuse potential.

These results showed a significant chemical and pharmacologic similarity between oxycodone and hydrocodone. This similarity involved three issues: chemical structure, relative milligram potency, and expected abuse potential when mixed with acetaminophen. Hence, oxycodone should be considered a schedule III drug for the federal sentencing guidelines.

The federal judge presiding over the case accepted this argument and the defendant was sentence to a shorter prison term.

Some people may question the propriety of this downward departure in sentencing for a “drug dealer.” However, even the worst among us are entitled to a full and fair interpretation of the law.

About the Author Jerry W. Bush, MD, practices internal medicine in Griffin, Georgia. He also specializes in performing medical-legal consultations in the area of drug pharmacology. He holds a medical degree from the University of Alabama School of Medicine and a pharmacy degree from Auburn University. He is a Diplomate of the American Board of Internal Medicine and is a Certified Medical Review Officer.

Fall 2005 THE FORENSIC EXAMINER 53

The Safety of Security

By Bruce Gross, PhD, JD, MBA, DAPA, Fellow of the American College of Forensic Examiners and Diplomate of the American Boards of Psychological Specialties, Forensic Examination, and Forensic Medicine n the 1972 case Furman v. Georgia, the United States Supreme Court made its first ruling against the death penalty. The Court determined capital punishment was “cruel and unusual” if and when it “offends” the existing sense of social justice, is applied arbitrarily without guidelines, is inconsistently severe for the crime, and is less effective than a less severe sentence or penalty. With Furman, the Court essentially voided 40 death penalty statutes in existence at the time and as a result, the sentences of 629 inmates throughout the country were commuted (Bohm, 1999).

In 1976, in Roberts v. Louisiana and Woodson v. North Carolina, the U.S. Supreme Court ruled that state laws that allowed for mandatory death penalty for specific crimes but did not provide the trier-of-fact with discretion beyond a determination of guilt were unconstitutional. As a result of these rulings, the mandatory death penalty statutes in 21 states were invalidated and hundreds of death sentences were reduced to life without parole (LWOP).

Also in 1976, several states began enacting revised legislation that conformed to the Supreme Court’s concerns pursuant to Furman, Jurek v. Texas, Profitt v. Florida, and Gregg v. Georgia (each affirmed by the Supreme Court). The decisions in these cases provided for “guided discretion,” allowing sentencing courts discretion to impose the death penalty for specified crimes. In addition, these statutes provided two-stage trials: the determination of guilt and the determination of a sentence based upon consideration of factors in aggravation and mitigation.

Subsequent Supreme Court decisions

I

have reinforced Furman’s emphasis on ensuring that capital punishment is not imposed arbitrarily or without fully informed consideration. In Penry v.

Lynaugh (1989), the Court ruled that juries must give “reasoned moral response to the defendant’s background, character, and crime” when sentencing capital defen-

54 THE FORENSIC EXAMINER Fall 2005

dants. Going further, in Wiggins v. Smith in 2003, the Court opined that the failure of defense counsel to investigate and present all relevant mitigating evidence is tantamount to “ineffective representation.”

When a defendant has been convicted of a capital crime, due process mandates that defense attorneys provide juries with all

available evidence in mitigation for consideration when deciding between a sentence of death or LWOP. Mitigating evidence presented at the penalty phase of a capital trial must include pertinent data not only from the defendant’s life prior to the instant offense, but also any post-offense mitigating evidence, including the defendant’s current adjustment to jail. Jail adjustment is highly relevant because it bears on the issue of “future dangerousness.” In Simmons v.

South Carolina in 1994, the U.S. Supreme Court held that when the prosecution places a capital defendant’s potential for

future dangerousness “at issue” and the only option to death is a LWOP sentence, due process allows the defense to inform the jury of the defendant’s “parole ineligibility, either by jury instruction or in arguments by counsel.” The challenge becomes determining when future dangerousness has been placed “at issue” (Shafer v. South Carolina, 2001).

Aggravating the Jury During the penalty phase of a capital trial, in an effort to persuade the jury to return a verdict of death, prosecutors typically take

every opportunity to remind the jury of each and every heinous element of the crime for which the defendant was convicted. In addition, when available, prosecuting attorneys present prior acts of violence by the defendant as evidence in aggravation. Case-dependent factors in aggravation can range from chronic and severe violent behavior to mild acts or threats of aggression that occurred in and/or out of detention. The presentation of prior acts is intended to show the defendant as one of “the worst of worst” criminals and the exact type of serious offender for whom the death penalty is intended.

This approach allows the prosecution to raise the issue of “future dangerousness” in the minds of the jurors without directly placing it “at issue.”

The influence of prior acts of violence on the decision-making process of capital juries—especially in combination with reminders of the violence involved in the instant offense—has been repeatedly demonstrated by research conducted by the Capital Jury Project (CJP) (Bowers, 1995). Originating in 1990, the CJP was designed to assess the impact of changes in death penalty law since Furman on the decision-making process of nearly 1,000 jurors in 11 states. The combined results indicate that 4 out of 10 capital jurors (40.9%) interpreted the instructions presented by the judge prior to deliberation as requiring them to impose a sentence of death if the evidence presented during the penalty phase showed the defendant’s conduct was heinous, vile, or depraved. Furthermore, 3 out of 10 (31.9%) capital jurors thought a sentence of death was required if they believed the defendant might be dangerous in the future.

More than 6 out of 10 jurors reported that future dangerousness was discussed a great deal or a fair amount during deliberations during the guilt phase of trial. This suggests a significant percentage of jurors form an opinion regarding a defendant’s future dangerousness prior to the penalty phase of trial, which appears to have some degree of influence on the verdict(s) rendered regarding the defendant’s guilt or innocence.

Fall 2005 THE FORENSIC EXAMINER 55

Defending Decision-Making Studies of capital juries reveal several pervasive distortions that consistently influence, if not direct, their decisions regarding sentencing a defendant to death or to life in prison (Steiner, Bowers, & Sandys, 1998; Bowers & Steiner, 1999; Eisenberg & Wells, 1993; Eisenberg, Garvey, & Wells, 1998). During penalty-phase deliberation, one-third of capital jurors in California manifested a predisposition to voting for death in a shift from the question of death versus LWOP to a focus on the nature of the crime (Steiner et al; Bowers & Steiner; Eisenberg & Wells; Eisenberg et al.; Haney, 1997). In juries across the nation, the crime for which the defendant was convicted received the greatest attention, followed closely by concern regarding the defendant’s risk for future dangerousness if and when released from prison. In fact, jurors’ concern regarding the defendant’s danger to society if released consistently outweighed any and all mitigating evidence presented at penalty; it also outweighed their concern regarding the defendant’s risk for future dangerousness in prison.

Jurors significantly underestimate the prison term of convicted murderers who are not sentenced to death (Steiner et al., 1998; Bowers & Steiner, 1999; Eisenberg & Wells, 1993; Eisenberg et al., 1998).

There is a striking correlation between voting for death and the length of time jurors believe a defendant sentenced to life in prison will actually remain behind bars.

Specifically, 73.1% of jurors who believed the defendant would serve anywhere from 0-9 years in prison if sentenced to life voted for death. Of those who believed the alternative to death was 10-19 years, 69.4% voted for death, as did 43.8% of those who thought the alternative was 20plus years.

A slightly weaker correlation existed even when the prosecution did not raise “less- or non-violent” risks such as the possibility of the defendant escaping from prison or somehow receiving an early release or commuted sentence (Steiner et al., 1998; Bowers & Steiner, 1999; Eisenberg & Wells, 1993; Eisenberg et al., 1998). In that context, 58.1% of jurors

who believed a life sentence translated into the defendant serving 0-9 years voted for death. Of those jurors who concluded the defendant would serve 10-19 years, 63.3% voted for death while only 39% of those who thought the defendant would serve 20-plus years voted for death. At least 70% of jurors in capital cases where no direct mention of dangerousness was made reported that keeping the defendant from ever killing again was at least a somewhat important factor in their penalty decision.

Mitigating Aggravation Future dangerousness is always at issue during capital trials as it represents the most “rational” factor that jurors can use to justify their decision. While Wiggins requires a thorough presentation of all mitigating factors in the defendant’s life, the CJP demonstrated that mitigating evidence such as remorse, level of intelligence, and mental health issues (among others) are insufficient to overcome the weight juries place on future dangerousness (Bowers, 1995).

In addition to presenting standard, humanizing evidence in mitigation, efforts to offset the impact of prior acts and future dangerousness must include all individual and environmental factors that reduce the probability of violence on the part of the defendant. While case dependent, individual factors might include a recent span of time with no violent offenses, good current jail adjustment, advancing age (known to be correlated with decreased aggression and violence), effectiveness of recently prescribed psychotropic medication, and demonstrable benefits of psychotherapeutic intervention during the defendant’s current detention.

As indicated by CJP research, juror decision-making is guided by a belief or fear that the defendant, correctional officers, facility design, and/or the judicial system will be unable to prevent or control future violence, escape, and/or release of the defendant. One approach to addressing this underlying expectation is presentation by an expert witness of objective, realitybased data regarding a typical “day in the life” of inmates on death row versus the highest-level security prison to which the

56 THE FORENSIC EXAMINER Fall 2005

inmate would most likely be sent if given a

“Jurors

significantly

underestimate the prison term of convicted murderers who are not sentenced to death. There is a

striking

correlation

between voting for death and the length of time jurors believe a defendant sentenced to life in prison

will

actually

remain behind bars.” sentence of LWOP. Ideally, such a presentation would include actual pictures of high-security tiers, yards, and armed guards and would reinforce the specifics of cell confinement and security measures.

For certain inmates in some states, conditions and privileges available on death row are actually more attractive than those available if sentenced to LWOP. This is especially so given the shortened average life expectancy of inmates combined with the length of time between arrival on death row and execution. Death row inmates typically have cellmates, are allowed regular, comparatively long yard time in groups, and are permitted contact visits, among other enviable privileges.

On the other hand, high-risk prisoners sentenced to LWOP are generally housed in level-4 prisons, with the highest-risk prisoners assigned to administrative or seg-

regated housing units (SHUs) where they are confined to their cells for 22-23 hours per day, have solitary yard time, are shackled whenever moved, are deprived of contact visits, and usually are not assigned a cellmate for several years. Considered by researchers to be equivalent to the torture chambers used with prisoners of war in violation of the Geneva Convention, the extreme isolative nature and reduced environmental stimulation of SHUs invariably results in the inmates developing SHU Syndrome (Grassian, 1983; Grassian & Friedman, 1986; Haney, 2003; Haney & Lynch, 1997; Henningsen, Johnson, & Wells, 1999).

The onset of this symptom-syndrome occurs regardless and independent of any pre-existing genetic deficiencies, organic impairments, or personality disorders.

While there is individual variation in pres-

entation, SHU syndrome is characterized by a broad range of negative psychological symptoms including depression, bizarre self-injurious behavior, ruminations, insomnia, extreme panic, aggressive thoughts or fantasies, paranoid hallucinations, a terrifying sense of impending emotional breakdown, acute confusional states, and cognitive impairments. Under these circumstances, jurors may conclude that LWOP is more torturous than a death sentence and may be less inclined to vote for death.

The Risks of High Security Perhaps the greatest obstacle to presenting persuasive “day in the life” testimony is the fact that institutional violence does occur, despite the established safety measures characteristic of high security prisons. Incidents of homicide, aggravated assault (on

inmates or staff ), escape, and riots resulting in injury, though extremely rare, are present disproportionately in the media.

As a result, jurors may have an inflated sense of the frequency and severity of such acts.

Within the National Institute of Corrections, behaviors classified as “serious incidents” include assault/battery, attempted/committed suicide, possession of a weapon, possession/use of controlled substances, and others (destruction of state property, inmate gathering without destruction of state property, conspiracy, threatening correspondence, resisting staff, cell extractions, and all deaths) (Austin & McGinnis, 2004). Among the approximate 158,000 inmates within the California Department of Corrections (one of the few states that openly reports on prisoner behavior), there were a total of 12,051 seri-

Fall 2005 THE FORENSIC EXAMINER 57

ous incidents in 2003, a rate of 8 incidents per 100 inmates (Shores, 2004). Of all serious incidents, only those designated or reported as assaults and batteries actually involve injury to another person and represent the very type of offense capital jurors consider in their penalty phase decisionmaking.

Out of the total 12,051 serious incidents that occurred in California prisons, 7,170 were assaults and batteries, of which stabbings represented 0.29% per 100. Of the 7,170 assaults, 14 resulted in fatality, all of fellow inmates. This represents an estimated homicide rate for the California Department of Corrections (CDC) of 8.8 per 100,000 inmates, which is only slightly higher than the 2003 murder rate of 6.8 per 100,000 for the entire population of California.

Approximately 5-6% of the nation’s population of prisoners is classified as high-risk, meaning the inmate has been identified as posing a potential security threat in the form of chronic and serious institutional misconduct, high propensity for assault, escape attempts, recidivism, and a high level of threat to public safety (Austin & McGinnis, 2004). While exceptions exist, most inmates convicted of a capital crime are classified as high-risk and placed in maximum-security or supermax facilities where they are assigned to level-4, segregated, or condemned housing units.

These units are considered to be the most secure and safe of all prison environments for the staff, the inmates, and society at large.

These settings are in no way immune from violence. Within the CDC (33 state prisons), the majority of all serious incidents occurred in facilities that house highrisk inmates (Shores, 2004). Specifically, of the 7,170 incidents of assault in 2003, 2,975 took place in 9 of the 15 high-security institutions that house level-4, segregated, and condemned male prisoners. It should be noted that the majority of inmates housed in these facilities are classified as lower security-risk inmates, and yearly summary reports of serious incidents do not provide statistics based on inmate classification.

Danger Personified Violence perpetrated by inmates against fellow inmates might not sway the penalty phase decision-making of capital jurors one way or the other in terms of deciding between a sentence of death or LWOP. Inmate violence against non-inmates, however, is a far more harsh and persuasive reality, despite its relative rarity (Bowers, 1995; Steiner et al., 1998; Bowers & Steiner, 1999; Eisenberg & Wells, 1993; Eisenberg et al., 1998; Austin & McGinnis, 2004). Of the 7,170 total assaults that occurred in the CDC during 2003, 2,897 were committed against prison staff and none were fatal (Shores, 2004). In the 53year span between 1952 and 2005, inmates killed 20 male employees, 16 of whom were correctional officers (Viscuso, 2005).

Ten of the deaths occurred at San Quentin, which houses level-1, level-2, and condemned inmates. Although the report did not indicate the classification of the offending San Quentin inmates, the other 10 incidents in which employees were killed occurred at prisons that do not house level-4 or condemned prisoners.

Given the cognitive shifting characteristic of capital jurors around the issue of dangerousness, it stands to reason they might attribute past and future murders of prison employees to inmates convicted of capital crimes.

The possibility of a defendant convicted of a capital crime escaping from prison if not sentenced to death was identified by the CJP as a factor influencing jurors during penalty deliberation (Bowers, 1995; Steiner et al., 1998; Bowers & Steiner, 1999; Eisenberg & Wells, 1993; Eisenberg et al., 1998). Murderers escaping prison and killing again is an embedded image in public consciousness, exemplified by the infamous serial killer, Ted Bundy, who escaped from custody twice and killed at least one person after each escape. According to the most recent available data, 6,530 inmates escaped or were AWOL from state prisons nationwide, representing approximately 0.005% of the more than 1,100,000 total population of state prisoners (BJS Statisticians, 1998).

California’s Department of Corrections (CDC) reported an escape rate per 100

58 THE FORENSIC EXAMINER Fall 2005

average daily population of 0.01 in 2001 and 2002, and 0.02 in 2000; for those years, the CDC housed well in excess of 150,000 state prisoners (2005). Florida’s Department of Corrections houses more than 75,000 prisoners, and during fiscal year 2003-2004 109 inmates made completed escapes (2004). Of those, 102 were captured within the same reporting period, and 58 of those were captured within the first 24 hours after their escape. Nationwide, 1994 was the last year in which more prisoners escaped (14,307) than were returned (13,346) (BJS Statisticians, 1998). Most importantly in terms of juror consideration of a possible LWOP sentence, as with nationwide prison escapes, only one of the 109 Florida escapes was from a state prison and the inmate’s classification status was not reported. All other escapees were from minimum-security settings, facilities that never house inmates convicted of capital crimes.

As demonstrated by the CJP, a significant percentage of capital jurors believe that if defendants convicted of a capital crime receive a LWOP sentence, they will definitely be released at some point in the future (Bowers, 1995; Steiner et al., 1998; Bowers & Steiner, 1999; Eisenberg & Wells, 1993; Eisenberg et al., 1998).

Reports of murderers being released, while exaggerated by the media, are based in fact as demonstrated by reviews of felony sentences in state courts. The mean prison sentence for murder in 2002 was 225 months, of which 63% (or 142 months) was to be served in prison (Durose & Langan, 2004). If not presented carefully, these statistics can be misleading. Murder includes non-negligent manslaughter. The figures include the felony sentences of the 12 states that banned capital punishment in 2002, and the calculations exclude convicted murderers sentenced to death and LWOP. Advances in science and technology as well as changes in federal and state death penalty statutes (to reflect evolving social consciousness) have and may result in the death and LWOP sentences of numerous inmates being commuted.

The Real Danger That over 7,000 “assaults” occurred within

the CDC’s average daily population of 158,000 prisoners in 2003 is a clear indication that certain inmates continue to be dangerous, even within the confines of high-security institutions. Unfortunately, statistics regarding inmate behavior do little to address the issue of future dangerousness. These statistics, while facts, are essentially abstractions with insufficient back-data for the jury to apply the information in their evaluation of the capital defendant before them. As such, defense efforts to mitigate the aggravating factors of prior acts of violence and the issue of future dangerousness by presenting “a day in the life of LWOPers” testimony may only feed the cognitive distortions and underlying fear driving capital jury decision-making.

There exists a notable void in existing research that prevents and precludes defense penalty phase presentations regarding environmental factors reducing the potential of future violence from being compelling and convincing. For example, dramatic emphasis is commonly placed on the inherent ability of super-max highsecurity prisons to control and contain inmate violence. While there are numerous anecdotal references in the literature to the undeniable effects of the prison environment on inmates, there is an absence of empirical research on the effects of the elements of prison design and architecture on inmate—let alone, guard—behavior. New prisons are being built across the nation with no underlying knowledge as to how the given design will positively or negatively affect inmate and guard behavior.

As the statistics regarding serious incidents by inmates are collected, demographic and profile data regarding the perpetrators of institutional violence and the contexts in which they occur are unavailable for comparison with individual capital defendants. For example, in 2003, California’s Corcoran prison reported 353 assaults by inmates (Shores, 2004). Corcoran houses level-1, level-2, level-4, and SHU prisoners and has become infamous for guardinitiated inmate violence. Learning of 353 assaults occurring in such a “high-security” institution might unnerve many jurors, yet there is no way of knowing what levels of

inmates committed the assaults or whether the assaults were in any way related to guard behavior. Furthermore, there is no way of knowing if the housing of multilevel inmates within one facility has any effect on inmate behavior, and if so, whether that effect is positive or negative.

Future dangerousness will continue to be the battlefield issue of the penalty phase of capital cases. Perhaps the real danger is that the material presented on the defendant’s behalf will continue to be insufficient to overcome the “burden of fear” pervading jury decision-making. In order for the imposition of a death sentence to be a truly equitable and reasoned jury verdict, defense counsels need to be armed with usable and personalized data regarding all aspects of institutional violence.

References Austin, J., & McGinnis, K. (2004). Classification of high-risk and special management prisoners: A national assessment of current practices (NIC Accession Number 019468). Washington, DC: U.S. Department of Justice, National Institute of Corrections.

Bandura, A. (1999). Moral disengagement in the perpetration of inhumanities. Personality and Social Psychology Review, 3, 193-209.

BJS Statisticians. (1998). Correctional populations in the Unites States: 1998 (Report #NCJ-192929).

Washington, DC: U.S. Department of Justice, Office of Justice Statistics, Bureau of Justice Statistics.

Bohm, R, (1999). Deathquest: An introduction to the theory and practice of capital punishment in the United States. New York: Anderson Publishing.

Bowers, W. J. (1995). Capital jury project: Rationale, design, and preview of initial findings. Indiana Law Journal, 70, 1043.

Bowers, W. J., & Steiner, B. D. (1999). Death by default: An empirical demonstration of false and forced choices in capital sentencing. Texas Law Review, 77, 605.

California Department of Corrections. (2005).

Facts and figures: First quarter 2005. Retrieved from http://www.corr.ca.gov/CommunicationsOffice/facts _figures.asp.

Durose, M. R., & Langan, P. A. (2004). Felony sentences in state courts, 2002 (Report #NCJ206916). Washington, DC: U.S. Department of Justice, Office of Justice Statistics, Bureau of Justice Statistics.

Eisenberg, T., Garvey, S. P., & Wells, M.T. (1998).

But was he sorry? The role of remorse in capital sentencing. Cornell Law Review, 83, 1599.

Eisenberg, T., & Wells, M. T. (1993). Deadly confusion: Juror instructions in capital cases. Cornell Law Review, 79, 1.

Florida Department of Corrections. (2004).

Escape report summary for FY 2003-2004. Retrieved f r o m http://www.dc.state.fl.us/pub/annual/0304/stats

/im_escapes.html.

Furman v. Georgia, 408 U.S. 238 (1972).

Grassian, S. (1983). Psychopathological effects of solitary confinement. American Journal of Psychiatry, 140, 1450-1454.

Grassian, S. & Friedman, N. (1986). Effects of sensory deprivation in psychiatric seclusion and solitary confinement. International Journal of Law and Psychiatry, 8, 49-65.

Gregg v. Georgia, 428 U.S. 153 (1976).

Haney, C. (1997). Violence and the capital jury: Mechanisms of moral disengagement and the impulse to condemn to death. Stanford Law Review, 49, 1447.

Haney, C. (2003). Mental health issues in longterm solitary and “supermax” confinement. Crime & Delinquency, 49, 124.

Haney, C., & Lynch, M. (1997). Regulating prisons of the future: A psychological analysis of supermax and solitary confinement. New York Review of Law & Social Change, 23, 477.

Henningsen, R., Johnson, W., & Wells, T. (1999).

Supermax prisons: Panacea or desperation. Corrections Management Quarterly, 3, 53-59.

Jurek v. Texas, 428 U.S. 262 (1976).

Proffitt v. Florida, 428 U.S. 242 (1976).

Nyasha, K. (2000, July 23). Black August 2000: A story of African freedom fighters. Hartford Web Publishing. Retrieved from http://www.hartfordhwp.com/archives/45a/467.html.

Penry v. Lynaugh, 492 U.S. 302 (1989).

Roberts v. Louisiana, 428 U.S. 325 (1976).

Shafer v. South Carolina, 532 U.S. 36 (2001).

Shores, C. (2004). Inmate incidents in institutions: Calendar year 2003 (Reference Number: BEH-1).

Sacramento, CA: State of California, Department of Correction, Risk Management Division, Offender Information Services Branch, Estimates and Statistical Analysis Section, Data Analysis Unit.

Simmons v. South Carolina, 512 U.S. 154 (1994).

Steiner, B. D., Bowers W. J., & Sandys, M. (1998). Foreclosed impartiality in capital sentencing: Jurors' predispositions, guilt-trial experience, and premature decision-making. Cornell Law Review, 83, 1476.

Viscuso, B. (2005). Employees killed by inmates (Report #BEH-5). Sacramento, CA: State of California, Department of Corrections, Data Analysis Unit, Estimates and Statistical Analysis Section, Offender Information Services Branch.

Wiggins v. Smith, 539 U.S. (2003). (No. 02-311).

Woodson v. North Carolina, 428 U.S. 280 (1976).

About the Author Bruce Gross, PhD, JD, MBA, FACFEI, DABPS, DABFE, DABFM, DAPA, is a Fellow in the American College of Forensic Examiners (ACFEI) and is an executive advisory board member on the American Board of Forensic Examiners. Dr. Gross is also a Diplomate of the American Board of Forensic Examiners, the American Board of Forensic Medicine, and the American Board of Psychological Specialties. He has been a member of ACFEI since 1996. Additionally, Dr. Gross is a Diplomate of the American Psychotherapy Association.

Fall 2005 THE FORENSIC EXAMINER 59

Forensic Investigation Handbook

By Dr. Michael Karagiozis, CMI-V, and Richard Sgaglio, CMI-III The Forensic Investigation Handbook is one of the most comprehensive forensic science texts available today. It outlines the general principles of forensic science, including an overview of the history of forensic science, an introduction to ballistics and crime scene investigation techniques, as well as evidence gathering, processing, and documentation procedures. Advanced forensic topics are outlined, including criminal profiling, fingerprints and DNA as identification, autopsy, pharmacology, toxicology, and biohazard risks for the forensic investigator. It also discusses the American criminal justice system and features one of the most extensive forensic glossaries ever assembled. The Forensic Investigation Handbook is a requisite for all professionals involved in this dynamic and ever-changing field.

Michael Karagiozis, DO, Certified Medical Investigator–Level IV (CMI-IV), is the lead instructor for ACFEI’s Certified Medical Investigator, CMI, courses.

The Forensic Investigation Handbook serves as the official text for these courses, and the CMI certification examinations are derived from this text’s content. Dr. Karagiozis has 15 years of experience in the field of medicine and criminal justice and is recognized as a medical expert in state and federal jurisdictions. Dr. Karagiozis served as Medical Director for the Nevada Department of Prisons prior to

opening his private medico-legal consulting practice. He holds additional board certification in family practice, HIV medicine, forensic investigation, and pain medicine.

Richard Sgaglio, PhD, Certified Medical Investigator–Level III (CMI-III), holds a doctoral degree in Health Administration. Mr. Sgaglio also serves as a national guest lecturer for ACFEI’s CMI courses.

The next CMI certification course offering will take place at ACFEI’s National Conference in San Diego, California, on Sept. 30-Oct. 1, 2005. Use the form on page 51 to register now or call (800) 423-9737 or go online to www.acfei.com/conferences.php.

Legal Case: A Guide to Criminal Law, Evidence, and Procedure

By Andrea Campbell, FACFEI, and Ralph Ohm Andrea Campbell and Ralph Ohm make the process of understanding the American legal system easily attainable with their new book Legal Case: A Guide to Criminal Law, Evidence, and Procedure, which presents an extensive, functional, and understandable guide to many aspects of law.

By explaining complex ideas in conversational language, the authors provide readers lucid explanations that are easy to understand regardless of one’s background or education. Campbell and Ohm spell out the ideology behind our country’s constitutional amendments and

60 THE FORENSIC EXAMINER Fall 2005

offer many case examples as illustrations.

Divided into three parts, the book organizes and explains the practice and practicality of law through all phases of the criminal justice system. “Part One: Criminal Law Explained” offers a history of law, defines criminal conduct, and explains the tools attorneys use in their practice. “Part Two: Criminal Procedure and Evidence” details the steps required to institute a constitutional search, seizure, and arrest. “Part Three: A Walk Through the Criminal Justice System” takes the reader step-by-step through the process of trial—from jury selection to verdict and sentencing, and finally to the appeal process.

Andrea Campbell, a Fellow in ACFEI, holds a degree in criminal justice and is a freelance writer, columnist, and trained forensic artist and sculptor.

She has taught countless crime and mystery writers to understand the patterns and motives of the criminal mind and render them truthfully. She has written more than seven nonfiction books, including Forensic Science: Evidence, Clues, and Investigation and Rights of the Accused. She is a popular guest on radio and television shows and a frequent speaker with the Romance Writers of America. Campbell is a Fellow of ACFEI and has been a member of the organization since 1996. She is also a member of the International Association for Identification.

Members can have their books reviewed in The Forensic Examiner by sending a review copy to Editor, 2750 E. Sunshine, Springfield MO, 65804

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Fall 2005 THE FORENSIC EXAMINER 61

ACFEI news Representatives of the Certified in Homeland Security Program Travel Across the United States and Abroad for the CHS Program Representatives of the CHS Program have traveled across the nation and abroad in recent months for various program-related activities. Read on for details on these exciting events!

Operation Homecoming USA, Branson, Missouri During the week of June 13-19, 2005, representatives of the CHS program, including Marianne Schmid, CHS Member Services Director, were honored to take part in Operation Homecoming USA, the first-ever tribute of its kind to honor Vietnam War Veterans. The event was held to give thanks and a long overdue “welcome home” to the brave men and women who served our country in Vietnam.

One of the main features of the tribute event was the Dignity Memorial Vietnam Wall, a 240-foot wall that displays the names of almost 59,000 servicemen and women who died or are listed as missing in Vietnam. Veterans from all across the nation and abroad traveled to Branson to take part in the week’s festivities, which included music, reunions, and other patriotic activities.

Expanding Beyond Borders: The CHS Program Grows Rapidly in Puerto Rico CHS representatives made an official visit to the Commonwealth of Puerto Rico on May 15, 2005. The purposes of the trip were to meet with CHS member Nazario Lugo, CHS-III, Executive Director of Puerto Rico’s State Emergency Management Agency; Cesar Vivaldi, Deputy Director of Puerto Rico’s State Emergency Management Agency; and Carlos Irigoyen, Operations Director of the San

Juan Emergency Management Office and Disaster Administration. Benjamin Nieves, CHS-V, Team Coordinator for the Puerto Rico CHS Preparation & Response Team (CHS P&R Team), served as host for the CHS staff during the visit. The trip itinerary included a variety of meetings with Puerto Rican government officials, tours of government facilities, and a press conference with the leading local newspapers and television news stations. A meeting was also held with CHS members in the area to discuss the continuous building and development of the CHS program in Puerto Rico.

California CHS Preparation & Response Team Meeting A California CHS P&R Team Meeting was held on June 25, 2005. The meeting, organized by Roger E. Rickman, CHS-V, CHS P&R Team Coordinator (Section 2); and Mark Winthrow, CHS-III, was held to facilitate communication, cooperation, and collaboration between California CHS P&R Team members and the area response community. Roger Rickman and Mark Winthrow were also recognized at the meeting for their work with the California CHS P&R Team and their efforts in recruiting new members into the CHS program.

62 THE FORENSIC EXAMINER Fall 2005

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Due to space limitations, members' academic degrees and professional designations are not listed.

Fernando G. Almestica Sylvia H. Anderson Kathleen M. Andrews Irina Anissimova Tammy Armstrong William Brett Bailey Patricia Mae Baker Terrence J. Barlow James Henry Bartkowski Ruth Beauchamp Cedila Bell David A. Betts Jason J. Bivens Alan D. Bock Mary Ann Boulos-Lord Tom L. Boyette Jerold Jerome Brennan Jack Bright Kenneth V. Burkhalter, Jr. Charles Daniel Caldwell Shalini Chakravorty James L. Collins Mark S. Competello Donald T. Condon Glenn S. Condon Daniel Joseph Connolly Clorinda Rita Consola Michael H. Cornell Steven R. Courtright Patrick Neal Cowan John L. Crenshaw C. Nicholas Cressy Jerrod L. Crockett Steve Edward Cummings Dharminder K. Dargan John Robert Davis M David Dawson Nicholas DeCarlo Jennifer L. Defeo Robert DeFlaminis Sarbjit S. Dhesi Fredrick M. Dickens Henry William Dieringer Robert L. Doherty

Ronald Anthony Domingue Arthur L. Doscher Christina M. Duffey David G. Dwyer Duane A. Eggert Michael A. Eisner Gregory Allen Felzien Lynn Forbus Jordan Douglas Frankel Shawna E. French-Lind Kevin M. Galligan Peter L. Gallinari Joseph W. Gendron Thomas Alan Gluzinski Victoria Phoey Leng Goh Jeffrey M. Good Albert T. Goodjoin Nicole M. Gray John Alan Grimes David A. Hadden Rae A. Haight Jan T. Hare Afi M. Hasan, Sr. Steven J. Havens Clayton H. Hawkins Charles H. Holmes Craig A. Hoover Robert B. Hubbard Ruth M. Hubbard Linda L. Hunkele Jill Jacquin Michael Robert Jennings Sandy Lynn Jolley Harvey Lee Jones Kevin M. Keeler Diane C. Kelley Hak Kim Ronald O. Kirk Thomas A. Lagomarsino Christopher Luben Large Eric Glen Lasky William Gary Laubenheimer Joseph Patrick Lavin Daniel D. Lawrence

Paul S. Leonard Joel K. Lewis MacArthur O. Littles Manuel Lopez Maldonado Juan F. Lopez Richard Lynton Byron Robert Marshall Thomas E. Martin Mary (Kim) Martins John M. Maxedon Shirley A. McCauley Edythe Anna McGoff Alexander Meiliunas Gregory W. Mekalip Robert D. Mercer Bruce E. Meyers Nickolas Montano, Jr. Mark Steven Moody Mona U. Moorjani Jose J. Muniz Jesus M. Nadal-Casanova Gregory Nicozisis Jerald S. Noble Gerard J. O'Brien Olufemi Adekunle Ojikutu John F. Olmstead Norva E. Osborne Ronald James Panunto Todd Christopher Patterson Mark M. Penyak Juan J. Perez John M. Peters Rex C. Philips Helen W. Poon Amanda Bernedette Powers Jose G. Ramirez-Castro Ron Redding Randy S. Redmond Vernon Harold Rhames Robert A. Richardson David W. Rismann Biagio Rosano William J. Schuchman Kerry V. Scott

Gerald E. Shoib Seopaul Singh Kristen M. Slee Gary Smith Charles J. Soos Wayne Paul Speigel Ellen G. Stein Kirk E. Stephens Harold Sturgeon Karl Ruediger Summers Michael Neri Swetnam, Jr. Stephen A. Tallo Ricardo Tappan Sandra H. Thomas Todd Owen Throckmorton Jeffrey R. Tkacs Mario H. Trevino Thomas Tumminaro James L. Turner George Voorhees Gary L. Watts Eric White Steven Dean Williams William D. Whitley Richard K. Wilson John Witkowski Waldemar O. Wold, Sr. Edward C. Wolff Jeffrey T. Wood Charles Michael Woyan Bruce Wuebber Steven M. Yetman Martina Ziebart

Fall 2005 THE FORENSIC EXAMINER 63

CE TEST PAGE: SIX TOTAL CREDITS AVAILABLE (WITH THE COMPLETION OF ALL 6 CE TESTS) In order to receive CE credit, each participant is required to do the following: 1.) Read the continuing education article. 2.) Complete the exam by circling the chosen answer for each question. 3.) Complete the evaluation form. 4.) Mail or fax the completed form, along with the $15 payment for each CE exam taken. You will receive a certificate of completion for one continuing education credit for each exam you pass with a grade of 70% or above. The participants who do not pass the exam are notified as such and will have a second opportunity to complete the exam. Any questions, grievances, or comments should be directed to the ACFEI CE Department by phone at (800) 423-9737, faxed to (417) 881-4702, or emailed cedept@acfei.com.

Learning Objectives for “Forensic Considerations for Assessing Violence”

Learning Objectives for “An Update on the Effects of Marijuana and its Potential Medical Use: Forensic Focus”

After studying this article, the participant should understand the following: 1.) The importance of obtaining and utilizing official criminal records and police report and the benefits and outcome of obtaining records for all convictions relevant to violence.

2.) The need for standardized assessment outlines.

3.) The most effective tests for assessing violent offenders.

After reading this article, the participant should understand the following: 1.) The potential medical uses for marijuana.

2.) Forensic issues surrounding the debate over using marijuana for medical treatment.

3.) Basic aspects of marijuana use, including the physical and mental effects of the drug, dependence, etc.

Article 1: CE test for “Forensic Considerations for Assessing Violence” (See page 6 for article.)

Article 2: CE Test for “An Update on the Effects of Marijuana and its Potential Medical Use: Forensic Focus” (See page 14 for article)

1.) The criminal history check: A. Always provides an accurate picture of the offender’s criminal history.

B. Should be used as the sole basis of an offender’s assessment.

C. May disguise an offender’s violent history as a result of plea agreements.

D. Should never be challenged.

2.) A test battery is preferred because: A. A single test can more easily be manipulated and offers no useful validity information in that the results cannot be compared with the offender's responses on other tests.

B. The psychologist makes more money.

C. It offers the most accurate information about the offender’s problems.

D. Answers A and C are true.

3.) A plea agreement indicates that: A. All other charges were dropped and the offender can only be held account able for the details of the offense that he or she pled guilty too, not the charges that were dismissed.

B. The courts have agreed to a lesser punishment and the offender can be held accountable for all offense details contained in all of the original charges.

C. The offender simply goes free.

D. The offender did not actually engage in the behavior originally charged.

4.) When completing a forensic assessment on a sex offender or domestic abuser: A. It is important to interview both the spouse/partner and the victim when possible.

B. A testing battery and thorough assessment is necessary only if the offender has a documented lengthy criminal history.

C. A testing battery and thorough assessment is necessary regardless of the offender’s criminal history, as the assessment may result in more information about the offender’s criminal history.

D. Answers A and C are true.

Evaluation for Article 3: (1-3 rating section) Please circle one (1=Poor 2=Satisfactory 3= Excellent) 1. The author presented material clearly. 1 2 3 2. The stated learning objectives were met. 1 2 3 3. New knowledge or technique was gained. 1 2 3 4. Additional comments:

Payment Information: $15 per test Name:

3.) The mechanism of action underlying cannabinoids involves two receptor subtypes referred to as: A. Ax4 and Bx3.

B. T2 and T3.

C. CB1 and CB2.

D. RS8 and RS9.

4.) Recent evidence supports the conclusion that the previous use of marijuana significantly increases the subsequent occurrence of which of the following conditions?

A. Schizophrenia B. Major depression C. Alzheimer’s disease D. Both A and B E. Both B and C

(Identifying information: Please print legibly or type the following:) Phone Number: City:

Credit Card # Name on card:

2.) True or false: Evidence obtained from confiscated marijuana suggests that its increase in potency nearly tripled during the period from the early 1990s to the late 1990s.

A. True B. False

Evaluation for Article 4: (1-3 rating section) Please circle one (1=Poor 2=Satisfactory 3= Excellent) 1. The author presented material clearly. 1 2 3 2. The stated learning objectives were met. 1 2 3 3. New knowledge or technique was gained. 1 2 3 4. Additional comments:

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Address:

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1.) True or false: Marijuana is not a narcotic.

A. True B. False

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64 THE FORENSIC EXAMINER Fall 2005 Take CE Tests online: www.acfei.com (select “Online CE”)

Zip:

E-mail: Date

Statement of completion: I attest to having completed the CE activity. Please send the completed form, along with your payment of $15 for each test taken. Fax: (417) 823-9959, or mail the forms to APA Continuing Education, 2750 E. Sunshine, Springfield, MO 65804. If you have questions, please call (417)823-0173 or toll free at (800) 205-9165.

CE TEST PAGE: SIX TOTAL CREDITS AVAILABLE (WITH THE COMPLETION OF ALL 6 CE TESTS)

Learning Objectives for “Eyewitness Memory for Vehicles”

Learning Objectives for “Developmental and Motivational Factors of Transnational Terrorists”

After reading this article, the participant should understand the following: 1.) Reconfiguration of memory in terms of gist, brevity, and personal belief.

2.) The provision of new post-event information about a crime or crime scene may alter a witness’s reported memory of aspects of the crime.

3.) In controlled experiments, eyewitnesses were able to identify vehicles correctly in less than 25% of instances, and when false-positive identifications were provided, color proved to be more important than the make or model of the vehicle.

After studying this article, the participant should have a broader understanding of the following: 1.) The cognitive, motivational, social, and psychodynamic processes associated with transnational terrorists in Middle Eastern cultures.

Article 3: CE Test for “Eyewitness Memory for Vehicles” (See page 24 for article.)

Article 4: CE test for “Developmental and Motivational Factors of Transnational Terrorists” (See page 29 for article.)

1.) Bartlett showed that memory: A. Remains static, but is a nearly perfect record of the past.

B. Remains static, but may exhibit diminished accuracy.

C. Is significantly reconfigured and changed with time.

D. May improve with repeated rehearsal.

1.) True or false: Researchers have noted that terrorism (including statesponsored terrorism) is a new form of warfare that has developed since World War II. A. True B. False

2.) Which of these is not typical of memory reconfiguration?

A. Memories become briefer.

B. Memories become less detailed, retaining gist.

C. Memories become altered by personal beliefs.

D. Memories of peripheral details become sharper with time.

2.) True or false: The popularization of terrorism as an acceptable form of Islamic defiance against the Western world order did not evolve until the fall of the Shah of Iran in the 1970s.

A. True B. False

3.) In a controlled experiment, under idealized circumstances, college-student respondents recognized vehicles correctly: A. Virtually perfectly.

B. Less than 25% of the time.

C. About 75% of the time.

D. Virtually never.

3.) According to the author, it may be possible that the following interrelated co-factors are associated with one’s acceptance of terrorism and willingness to participate in a future attack.

A. Ethnocentrism B. Xenophobia and frustration C. Social domination and religious beliefs D. All of the above

4.) Where false-positive identifications were provided based on actual attributes of a target vehicle: A. Vehicle type or model was more important than color.

B. Vehicle color was more important than type or model.

C. Male witnesses made significantly fewer false positive errors than did females.

D. A and C. 5.) What circumstances of actual crime situations would be expected to reduce vehicle recognition still further?

A. Obscuring of vehicle features by landscape features or other vehicles B. Bad or variable lighting C. Very brief exposures D. All of the above

Evaluation for Article 3: (1-3 rating section) Please circle one (1=Poor 2=Satisfactory 3= Excellent) 1. The author presented material clearly. 1 2 3 2. The stated learning objectives were met. 1 2 3 3. New knowledge or technique was gained. 1 2 3 4. Additional comments:

Payment Information: $15 per test Name:

(Identifying information: Please print legibly or type the following:) Phone Number: City:

Credit Card # Name on card:

5.) According to this author, instrumental aggression is: A. Goal driven.

B. A calculating and premeditated form of aggression.

C. A and B are true.

D. None of the above are true.

Evaluation for Article 4: (1-3 rating section) Please circle one (1=Poor 2=Satisfactory 3= Excellent) 1. The author presented material clearly. 1 2 3 2. The stated learning objectives were met. 1 2 3 3. New knowledge or technique was gained. 1 2 3 4. Additional comments:

Fax Number:

Address:

Circle one: check enclosed

4.) True or false: The results of this study indicate that anger is associated with the incitement of terrorism via print media outlets and indoctrination activities into terrorist training camps.

A. True B. False

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Statement of completion: I attest to having completed the CE activity. Please send the completed form, along with your payment of $15 for each test taken. Fax: (417) 823-9959, or mail the forms to APA Continuing Education, 2750 E. Sunshine, Springfield, MO 65804. If you have questions, please call (417)823-0173 or toll free at (800) 205-9165.

Fall 2005 THE FORENSIC EXAMINER 65 Take CE Tests online: www.acfei.com (select “Online CE”)

CE TEST PAGE: SIX TOTAL CREDITS AVAILABLE (WITH THE COMPLETION OF ALL 6 CE TESTS)

Learning Objectives for “The Expanding Role of the Forensic Accountant”

Learning Objectives for “A Comparison of Utilization of Peer Support Services and Perceived Stigma ...”

After studying this article, participants should understand the following: 1.) Top-side entries may be used by executives to cook books.

2.) SOX, SAS 99, and PCAOB have not removed pressures on chief financial officers to manipulate accounting numbers.

3.) Ignoring materiality and the use of walkthroughs, brainstorming, and healthy skepticism may help forensic investigators to deter and detect fraud.

After studying this article, the participant should understand the following: 1.) The difficulties faced by members of the police profession.

2.) The general concept of stigma.

3.) The relationship between perceived stigma and utilization of mental healthtype programs.

4.) Specific recommendations for the reduction of stigma within law enforcement.

5.) The concept of stigma and program utilization as it applies to the police.

Article 5: CE test for “The Expanding Role of the Forensic Accountant” (See page 38 for article.)

1.) SAS No. 99 includes all of the following recommendations for detecting material fraud except: A. Brainstorming.

B. Unannounced recounts of inventory.

C. Increased emphasis on professional skepticism.

D. Unpredictable audit tests.

E. All of the above were suggested by SAS No. 99.

2.) Which event occurred earlier in time?

A. The Panel on Audit Effectiveness Reports and Recommendations was formed.

B. SAS No. 99 was released.

C. PCAOB was established.

D. The Sarbanes-Oxley Act passed.

3.) Which of the following statements is false?

A. Arthur Andersen was given limited assess to WorldCom’s general ledger.

B. Cynthia Cooper was the director of WorldCom’s internal auditing department.

C. The Sarbanes-Oxley Act created the PCAOB. D. Borrowing money temporarily would be an example of a motive for a fraud.

4.) Fraud and abuse cost U.S. organizations: A. 8% of annual income.

B. $500 billion annually.

C. $4,500 per employee each year.

D. All of the above.

Name:

3.) Which of the following authors developed a psychotherapy and stigma scale (PASS) to measure the stigma individuals may attach to seeking assistance?

A. Elpers B. Henslin C. Judge D. Stake

(Identifying information: Please print legibly or type the following:) Phone Number: City:

Credit Card # Name on card:

2.) True or false: The potential to be labeled incompetent, unworthy, weak, or the like might be the most important reason why police officers do not seek assistance with emotional issues resulting from work-related difficulties.

A. True B. False

Evaluation for Article 6: (1-3 rating section) Please circle one (1=Poor 2=Satisfactory 3= Excellent) 1. The author presented material clearly. 1 2 3 2. The stated learning objectives were met. 1 2 3 3. New knowledge or technique was gained. 1 2 3 4. Additional comments:

Fax Number:

Address:

Circle one: check enclosed

1.) According to this author, which of the following statements is true?

A. Law enforcement personnel always receive adequate specialized training to prepare them for the work-related difficulties involved in the profession.

B. Law enforcement professionals frequently develop emotional and physical problems as a result of work-related stresses and difficulties.

C. The availability of peer support and emotional assistance programs is unnecessary because the majority of police personnel do not feel they need help to deal with work-related difficulties.

D. None of the above are true.

4.) The author suggests that assistance programs be mandatory for all law enforcement personnel involved in critical incidents because: A. Requiring mandatory participation in these programs increases the chances for generating public funding and other sources of financial support.

B. The only way to make an assistance program effective and cost-efficient is to require participation, whether officers think they need help or not.

C. With such a policy in place, there should be no stigmatic distinction among those who require such services and those who reasonably may not.

D. The author does not suggest that assistance programs be made mandatory for all law enforcement personnel involved in critical incidents.

Evaluation for Article 5: (1-3 rating section) Please circle one (1=Poor 2=Satisfactory 3= Excellent) 1. The author presented material clearly. 1 2 3 2. The stated learning objectives were met. 1 2 3 3. New knowledge or technique was gained. 1 2 3 4. Additional comments:

Payment Information: $15 per test

Article 6: CE test for “A Comparison of Utilization of Peer Support Services and Percieved Stigma Within the Vermont State Police” (See page 44 for article.)

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66 THE FORENSIC EXAMINER Fall 2005 Take CE Tests online: www.acfei.com (select “Online CE”)

Zip:

E-mail: Date

Statement of completion: I attest to having completed the CE activity. Please send the completed form, along with your payment of $15 for each test taken. Fax: (417) 823-9959, or mail the forms to APA Continuing Education, 2750 E. Sunshine, Springfield, MO 65804. If you have questions, please call (417)823-0173 or toll free at (800) 205-9165.

Falsely Accused New DNA Evidence Overrules Victim’s Convincing Testimony, Gives Man Back His Freedom On March 11, 2005, after spending 24 years of a life sentence in prison for aggravated rape, 40-year-old Anthony Williams was exonerated when DNA test results proved him innocent.

In the early morning of February 21, 1981, a man entered the home of a 22year-old woman through a window in a spare bedroom. He then brutally assaulted the woman with a piece of wood, and while talking to himself, raped her in her bedroom.

After the perpetrator left the scene, the victim called her cousin, who came to the house after calling the victim’s father and attempting to call the police. The victim told her cousin and her father that Michael Williams had been the man who had attacked and raped her. The victim was taken to the hospital and police showed up at Williams’ house shortly after. Williams was then taken by police to the victim’s house, where he attempted to flee. He was caught and taken to jail to be examined.

Evidence from the rape kit and the gown and robe the victim had been wearing were collected as evidence. The DNA

testing at the time was inconclusive as both the vaginal washings and the spermatozoa contained A and H antigens.

The victim told police that Williams, a 16-year-old she had tutored and had known since he was a young boy, undoubtedly had raped her. She claimed she saw his face in light from the moon and a streetlight outside her window and also recognized his voice as he talked to himself during the assault.

The victim had also experienced previous altercations with Williams. She told authorities that Williams had a longstanding crush on her and had constantly bothered her after she refused to be his girlfriend. A few months before the rape, Williams had been arrested for breaking a window and hitting the victim in her father’s store. He had also threatened to take her into the woods and beat her.

Williams confirmed all of this when he testified at the rape trial but denied committing the rape and attack he was charged with.

Williams lived with his grandmother and sister at the time of the attack; both had been home on the night the rape occurred. They each told police that Williams had come home from church at around 11:00 p.m. that night; they claimed he did not smell like alcohol and said he had been in bed until 8:00 a.m. the next morning. Both Williams’ grandmother and sister testified that he did not take a shower after he came home or during the night. Police found an open window in Williams’ home but no signs that he had climbed out of it. They also found no articles of clothing that matched the victim’s description and found no cuts, scratches, or abrasions on his body.

Williams’ grandmother and sister also testified that he only had one pair of tennis shoes; these shoes did not match the footprints found in the mud outside of the victim’s house.

Prosecution proposed that Williams left through his bedroom window in the middle of the night, walked to the victim’s house, committed the crime, discarded his clothing and shoes, and washed off all

of the blood before returning home. The fact that Williams fled from the police, not the typical behavior of an innocent man, also bolstered the prosecution’s case.

The defense argued that there was no physical evidence to prove the prosecution’s theory. The expalained that Williams had fled from the police because he had just gotten out of jail and did not want to go back for a crime he did not commit. However, the victim’s testimony convinced the jury. Despite the lack of physical evidence to prove Williams’ guilt, within an hour he was found guilty of aggravated rape and sentenced to life in prison without parole.

Williams became a client of the Innocence Project in 2003. By the fall of 2004, an order for retesting the evidence was signed and sent to Forensic Science Associates (FSA). The only existing evidence was the clothing and bedding collected from the victim. FSA found several semen stains with spermatozoa on the victim’s nightgown and the inside of her robe.

Testing on this evidence excluded Michael Williams as the source of the fluids on the victim’s clothing. Replicate testing was performed in late 2004 and early 2005 by North Delta Crime Laboratory; this testing confirmed that Williams could not have committed the rape. In February of 2005, the victim’s bedding was sent to Orchid Cellmark, and another round of testing proved Williams’ innocence.

After being exonerated on March 11, 2005, Williams has started a new life outside of prison.

Has your work on a case helped to exonerate someone who was falsely accused? Send your story to editor@acfei.com or write to Editor, 2750 E. Sunshine, Springfield MO, 65804

Fall 2005 THE FORENSIC EXAMINER 67

American College of Forensic Examiners International 2750 E. Sunshine Springfield, MO 65804