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2007 Editorial Advisory Board

ACFEI Executive Advisory Board Chair of the Executive Board of Advisors: David E. Rosengard, RPh, MD, PhD, MPH, FACFEI, DABFE, DABFM, FACA (apoth.), Chair, American Board of Forensic Medicine Vice Chair of the Executive Board of Advisors: Michael Fitting Karagiozis, DO, MBA, CMI-V, Chair, American Board of Forensic Examiners Members of the Executive Board of Advisors: John H. Bridges III, DSc (Hon.), CHS-V, DABCHS, FACFEI, Chair, American Board for Certification in Homeland Security James L. Greenstone, EdD, JD, FACFEI, DABECI, DABLEE, DABPS, DABFE, CHS-V, CMI-I, Chair, American Board of Examiners in Crisis Intervention Daniel S. Guerra, PhD, FACFEI, DABFSW, DABFE, Chair, American Board of Forensic Social Workers Raymond F. Hanbury, PhD, ABPP, FACFEI, DABFE, CHS-III Michael W. Homick, PhD, CHS-V, DABCHS, Chair, American Board of Law Enforcement Experts Brian L. Karasic, DMD, DABFD, DABFM, DABFE, Chair, American Board of Forensic Dentistry Marilyn J. Nolan, MS, DABFC, Chair, American Board of Forensic Counselors Thomas J. Owen, BA, FACFEI, DABRE, DABFE, Chair, American Board of Recorded Evidence Russell R. Rooms, MSN, RN, CMI-III, CFN, Chair, American Board of Forensic Nursing J. Bradley Sargent, CPA, CFS, Cr.FA, Chair, American Board of Forensic Accounting Ben Venktash, MS, PE, DABFET, DABFE, Chair, American Board of Forensic Engineering and Technology Publisher: Robert L. O’Block, MDiv, PhD, PsyD, DMin (rloblock@aol.com) Editor in Chief: Leann Long (editor@acfei.com) Associate Editor: Kristin Crowe (kristin@acfei.com) Editorial Intern: Joe Donohue Art Director: Brandon Alms (brandon@acfei.com) Director of Publications & Multimedia: John Lechliter (john@acfei.com) Photography: www.istockphoto.com

Louay Al-Alousi, MB, ChB, PhD, FRCPath, FRCP(Glasg), FACFEI, DMJPath, DABFM, FFFFLM Nicholas G. Apostolou, DBA, DABFA, CPA Larry Barksdale, BS, MA E. Robert Bertolli, OD, FACFEI, CHS-V, CMI-V Kenneth E. Blackstone, BA, MS, CFC David T. Boyd, DBA, CPA, CMA, CFM, Cr.FA Jules Brayman, CPA, CVA, CFD, DABFA John Brick, PhD, MA, DABFE, DABFM Richard C. Brooks, PhD, CGFM, DABFE Steve Cain, MFS, MF--SQD, DABFE, DABRE, FACFEI Dennis L. Caputo, MS, DABFET, REM, CEP, CHMM, QEP Donald Geoffrey Carter, PE, DABFET David F. Ciampi, PhD, FACFEI, DABPS Leanne Courtney, BSN, DABFN, DABFE Larry Crumbley, PhD, CPA, DABFE Jean L. Curtit, BS, DC Andrew Neal Dentino, MD, FACFEI, DABFE, DABFM Francisco J. Diaz, MD James A. DiGabriele, DPS, CPA, CFSA, DABFA, Cr.FA, CVA John Shelby DuPont, Jr., DDS, DABFD Scott Fairgrieve, Hons. BSc, MPhil, PhD, FAAFS Edmund Fenton, DBA, CPA, CMA, Cr.FA Per Freitag, PhD, MD, FACFEI, DABFE, DABFM Nicholas Giardino, ScD, DABFE David H. Glusman, CPA, DABFA, CFS, Cr.FA Karen L. Gold, PysD, FACFEI, DABPS Ron Grassi, DC, MS, FACFEI, DABFM James Greenstone, EdD, JD, FACFEI, DABFE, DABFM, DABPS, DABECI Roy C. Grzesiak, PhD, PC Raymond F. Hanbury, PhD, ABPP, FACFEI, DABFE, DABPS, CHS-III James Hanley III, MD, DABFM Nelson Hendler, MD, DABFM David L. Holmes, EdD, BCFE, BCAP, BCPS, BCBS, FACFEI, DABFE, DABPS Leo L. Holzenthal, Jr., PE, DACFE, MSE, BSEE Linda Hopkins, PhD, CFC John R. Hummel, PhD, CHS-III Edward J. Hyman, PhD, FACFEI, DABFE, DABFM, DABPS Zafar M. Iqbal, PhD, FACFEI, DABFE, DABFM Nursine S. Jackson, MSN, RN, DABFN Paul Jerry, MA, C.Psych., PhD, DAPA, DABFC Scott A. Johnson, MA, DABPS, DAACCE Philip Kaushall, PhD, DABFE, DABPS Eric Kreuter, PhD, CPA, CMA, CFM, DABFA, FACFEI, SPHR

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THE FORENSIC EXAMINER Summer 2007

The American College of Forensic Examiners Executive Advisory Boards AMERICAN BOARD OF EXAMINERS IN CRISIS INTERVENTION Chair of the Executive Board of Crisis Intervention Advisors: James L. Greenstone, EdD, JD, FACFEI, DABECI, DABLEE, DABPS, DABFE, CHS-V, CMI-I Vice Chair of the Executive Board of Crisis Intervention Advisors: Sharon C. Leviton, PhD, DABECI Second Vice Chair: Kent Rensin, PhD, DABECI Honorary: Edward S. Rosenbluh, PhD, DABECI (1937-2000) Members of the Executive Board of Crisis Intervention Advisors: Sam D. Bernard, PhD, DABECI John H. Bridges, III, CHS-V Marie Geron, DABECI Major Stephen B. Ijames, BS, FACFEI, DABECI, DABLEE Marilyn Nolan, MS, DABFC David E. Rosengard, RPh, MD, PhD, MPH, FACFEI, DABECI, DABFE, DABFM, FACA AMERICAN BOARD OF FORENSIC ACCOUNTING Chair of the Executive Board of Accounting Advisors: J. Bradley Sargent, CPA, CFS, Cr.FA Members of the Executive Board of Accounting Advisors: Stewart L. Appelrouth, CPA, Cr.FA, CFLM, CVA, DABFA Gary Bloome, CPA D. Larry Crumbley, PhD, CPA, DABFA, Cr.FA James A. DiGabriele, CPA, Cr.FA, DABFA David Firestone, CPA Michael G. Kessler, FACFEI, Cr.FA, DABFA, DABFE Eric A. Kreuter, PhD, CPA, CMA, CFM, FACFEI, DABFA, SPHR Dennis S. Neier, CPA, DABFA Sandi Peters, CPA, Cr.FA AMERICAN BOARD OF FORENSIC COUNSELORS Chair of the Executive Board of Counseling Advisors: Marilyn J. Nolan, MS, DABFC Vice Chair of the Executive Board of Counseling Advisors: Steven M. Crimando, MA, CHS-III Chair Emeritus: Dow R. Pursley, EdD, DABFC Members of the Executive Board of Counseling Advisors: Sandra L. Adams, PhD, DABFC, DABECI Laura Kelley, PhD, DABFC Kathleen Joy Walsh Moore, DABFC, CHS-II DeeAnna Merz Nagel, MEd, LPC Irene Nicolet, MA, DABFC Hirsch L. Silverman, PhD, FACFEI, DABFC, DABFE, DABFM, DABPS William M. Sloane, LLM, PhD, FACFEI, DABFC Gary Smith, MEd, FACFEI, DABFE Ava Gay Taylor, MS, LPC, DABFC AMERICAN BOARD OF FORENSIC DENTISTRY Chair of the Executive Board of Forensic Dentistry: Brian L. Karasic, DMD, DABFD, DABFM, DABFE Members of the Executive Board of Dental Advisors: Bill B. Akpinar, DDS, FACFEI, DABFD, DABFE Stephanie L. Anton-Bettey, DDS, CMI-V Susan A. Bollinger, DDS, CMI-IV, CHS-III Michael H. Chema, DDS, FACFEI, DABFD, DABFE James H. Hutson, DDS, CMI-V, DABFD John P. Irey, DDS, CMI-V Morley M. Lem, DDS, FACFEI, DABFD, DABFM, DABFE John P. LeMaster, DMD, DABFD, CMI-V, CHS-III Jeannine L. Weiss, DDS AMERICAN BOARD OF FORENSIC ENGINEERING & TECHNOLOGY Chair of the Executive Board of Engineering & Technological Advisors: Ben Venktash, MS, PE, DABFET, DABFE Vice Chair: Cam Cope, BS, DABFET, DABFE Chair Emeritus: David Hoeltzel, PhD Members of the Executive Board of Engineering & Technological Advisors: Nicholas Albergo, DABFET Kyle J. Clark, DABFET George C. Frank, DABFE Robert K. Kochan, BS, DABFET, DABFE John W. Petrelli Jr., AIA, NCABB, TAID, DABFET Max L. Porter, PhD, DABFET, DABFE Peter H. Rast, PhD, DABFET, DABFE, DABLEE Oliver W. Siebert, PE, DABFET, FACFEI Kandiah Sivakumaran, MS, PE, DABFET James W. St.Ville, MD, FACFEI, DABFET, DABFM Malcolm H. Skolnick, PhD, JD, FACFEI, DABFET, DABFE AMERICAN BOARD OF FORENSIC EXAMINERS Chair of the Executive Board of Forensic Examiners: Michael Fitting Karagiozis, DO, MBA, CMI-V Chair Emeritus: Zug G. Standing Bear, PhD, FACFEI, DABFE, DABFM Members of the Executive Board of Forensic Examiners: Jess P. Armine, DC, DABFE, DABFM Phillip F. Asencio-Lane, FACFEI, DABFE

John H. Bridges, III, CHS-V, DABCHS Ronna F. Dillon, PhD, DABFE, DABPS, CMI-V, CHS-III Nicholas J. Giardino, ScD, DABFE Bruce H. Gross, PhD, JD, MBA, DABFE, DABFM, FACFEI, DAPA Kenneth M. Gross, DC, DABFE, CMI-I Darrell C. Hawkins, JD, FACFEI, DABFE, DABLEE, CMI-IV, CHS-III Michael W. Homick, PhD, DABCHS, CHS-V John L. Laseter, PhD, FACFEI, DABFE, DABFM, CMI-IV, CHS-III Jonathan J. Lipman, PhD, FACFEI, DABFE, DABFM, DABPS Leonard K. Lucenko, PhD, FACFEI, DABFE Edward M. Perreault, PhD, DABFE Marc A. Rabinoff, EdD, FACFEI, DABFE David E. Rosengard, RPh, MD, PhD, MPH, FACFEI, DABFE, DABFM, FACA Janet M. Schwartz, PhD, FACFEI, DABFE, DABFM, DABPS Richard Sgaglio, PhD, CMI-IV Gere N. Unger, MD, JD, LLM, FACFEI, DABFE, DABFM AMERICAN BOARD OF LAW ENFORCEMENT EXPERTS Chair of the Executive Board of Law Enforcement Advisor: Michael W. Homick, PhD, DABCHS, CHS-V Vice Chair of the American Board of Law Enforcement Experts: Darrell C. Hawkins, JD, DABLEE, DABFE, CHS-III, CMI-IV, Chair Emeritus: John Muldown, JD, FACFEI, DABLEE, CHS-V Members of the Executive Board of Law Enforcement Advisors: Dickson S. Diamond, MD, DABLEE, DABFE James L. Greenstone, EdD, JD, FACFEI, DABLEE, DABFE, DABFM, DABPS, DABECI, CHS-V, CMI-I Les M. Landau, DO, FACFEI, DABLEE, DABFE, DABFM Ronald Lanfranchi, PhD, DABLEE, DABFE, CMHV, DABFM Henry A. Paine, III, PhD, DABFC John T. Pompi, BA, DABLEE, DABFE David E. Zeldin, MA, FACFEI, DABFE, CHS-III AMERICAN BOARD OF FORENSIC MEDICINE Chair of the Executive Board of Medical Advisors: David E. Rosengard, RPh, MD, PhD, MPH, FACFEI, DABFE, DABFM, FACA (apoth.) Honorary: James H. Carter, MD, FACFEI, DABFM, DABFE Members of the Executive Board of Medical Advisors: Terrance L. Baker, MD, FACFEI, DABFM John Steve Bohannon, MD, CMI-IV Edgar L. Cortes, MD, DABFM, DABFE, CMI-V Albert B. DeFranco, MD, FACFEI, DABFM, DABPS, CMI-V James B. Falterman, Sr., MD, DABFM, DABFE, DABPS, CMI-IV Vijay P. Gupta, PhD, DABFM James S. Harrold, Jr., MD, FACFEI, DABFM, CMI-V Louis W. Irmisch, III, MD, FACFEI, DABFM, DABFE, CMI-V E. Rackley Ivey, MD, FACFEI, DABFM, DABFE, CMI-V Basil Jackson, MD, PhD, ThD, JD, FACFEI, DABFM, DABFE Robert M. Lewis Jr., MD, CMI-V E. Franklin Livingstone, MD, FAAPM&R, FACFEI, DABFM, DABFE, DAAPM John C. Lyons, MD, BSE, FACFEI, DABFM, DABFET, DABFE, CMI-IV Manijeh K. Nikakhtar, MD, MPH, DABFE, DABPS, CMI-IV, CHS-III Yoshiaki Omura, MD, ScD, FACFEI, DABFE, DABFM Gere N. Unger, MD, JD, LLM, FACFEI, DABFE, DABFM, CMI-V Anna Vertkin, MD, CMI-V Maryann M. Walthier, MD, FACFEI, DABFM, DABFE Cyril Wecht, MD, JD, FACFEI, CMI-V AMERICAN BOARD OF FORENSIC NURSING Chair of the Executive Board of Nursing Advisors: Russell R. Rooms, MSN, RN, CMI-III, CFN, DABFN Vice Chair of the Executive Board of Nursing Advisors: Jamie J. Ferrell, RN, BSN, FACFEI, DABFN, DABFE, CFN Members of the Executive Board of Nursing Advisors: Marilyn Bello, RNC, MS, CMI-V, CFC, CFN, SAFE, DABFN, DABFE Rose Eva Bana Constantino, PhD, JD, RN, FACFEI, DABFN, DABFE, CFN Renae M. Diegel, RN, SANE, CMI-III, CFC, CFN Dianne T. Ditmer, MS, RN, DABFN, CMI-III, CFN Lo M. Lumsden, ANP, EdD, RN, DABFN Yvonne D. McKoy, PhD, RN, DABFN Suzette Rush-Drake, RN, BSN, PsyD, DABFN, DABFE Elizabeth N. Russell, RN, BSN, CCM, DABFN LeAnn Schlamb, RN-BC, MSN, CFN Sharon L. Walker, MPH, PhD, RN, CFN

Chair Emeritus: Carl N. Edwards, PhD, JD, FACFEI, DABPS, DABFE Members of the Executive Board of Psychological Advisors: Carol J. Armstrong, LPC, DABPS Robert J. Barth, PhD, DABPS Alan E. Brooker, PhD, FACFEI, DABPS, DABFE, CMI-III Brian R. Costello, PhD, FACFEI, DABPS, DABFE Ronna F. Dillon, PhD, DABPS, DABFE, CMI-V, CHS-III Douglas P. Gibson, PsyD, DABPS, CMI-V, CHS-III Raymond H. Hamden, PhD, FACFEI, DABPS, DABECI, CMI-V, CHS-V Thomas L. Hustak, PhD, FACFEI, DABPS, DABFE Richard Lewis Levenson, Jr., PsyD, FACFEI, DABPS, DABFE Stephen P. McCary, PhD, JD, DABFE, DABFM, DABPS Douglas H. Ruben, PhD, FACFEI, DABPS, DABFE, DABFM Richard M. Skaff, PsyD, DABPS Charles R. Stern, PhD, DABPS, DABFE, CMI-V Joseph C. Yeager, PhD, DABFE, DABLEE, DABPS AMERICAN BOARD OF RECORDED EVIDENCE Chair of the Executive Board of Recorded Evidence Advisors: Thomas J. Owen, BA, FACFEI, DABRE, DABFE Committees of the American Board of Recorded Evidence Forensic Audio: Ryan Johnson, BA James A. Griffin, DABFE Forensic Voice Identification: Ernst F. W. Alexanderson, BA, MBA, DABRE, DABFE Members of the Executive Board of Recorded Evidence Advisors: Eddy B. Brixen, DABFET Charles K. Deak, BS, DABLEE Michael C. McDermott, JD, DABRE, DABFE Jennifer E. Owen, BA, DABRE, DABFE Lonnie L. Smrkovski, BS, DABRE, DABFE AMERICAN BOARD OF FORENSIC SOCIAL WORKERS Chair of the Executive Board of Social Work Advisors: Daniel S. Guerra, PhD, FACFEI, DABFSW, DABFE Chair Emeritus: Karen M. Zimmerman, MSW, DABFSW, DABFE Members of the Executive Board of Social Work Advisors: Susan L. Burton, MA, MSW, CSW, DABFSW, DABLEE Judith V. Caprez, MSW, DABFSW Peter W. Choate, BS, MSW, DABFSW, DABFE Joan M. Danto, MSW, LCSW, DABFSW, DABFE Douglas E. Fountain, PhD, DABFSW Judith Felton Logue, PhD, FACFEI, DABFSW, DABFE, DABFM, DABPS Michael G. Meacham, PhD, LCSW, DABFSW Kathleen Monahan, DSW, MSW, CFC, DABFE Steven J. Sprengelmeyer, MSW, MA, DABFSW, DABFE AMERICAN BOARD FOR CERTIFICATION IN HOMELAND SECURITY Chair of the Executive Board for Certification in Homeland Security: John H. Bridges, III, D.Sc. (Hon.) CHS-V, CHMM, CSHM, DABCHS, FACFEI Vice Chair of the Executive Board for Certification in Homeland Security: LZ Johnson, Col., Special Forces, U.S. Army (Ret.), CHS-V, DABCHS Members of the Executive Board for Certification in Homeland Security: Chair Emeritus of the Executive Board for Certification in Homeland Security: Nick Bacon, CHS-V, DABCHS David N. Appleby, CHS-V, BS, JD Thomas Baines, MA, MPA, JD, CHS-V, CFC Donna Barbisch, CHS-V, MPH, DHA E. Robert Bertolli, OD, CHS-V, CMI-V, DABCHS, DABFE Brigadier General Robert C. G. Disney, U.S. Army (Ret.), CHS-V, CFSSP Paul P. Donahue, CHS-V, MBA, Cr.FA, CMA, CPP, CBM Ernest R. Frazier, Sr., Esq., CHS-V, DABLEE James L. Greenstone, CHS-V, EdD, JD, FACFEI, DABLEE, DABPS, CMI-I Brigadier General John J. Harty, CHS-V Keith Holtermann, Dr. PH, CHS-V Billy Ray Jackson, ATS, CSC, CHS-V Lieutenant Colonel David Rosengard, United States Air Force (Ret.), CHS-V, MD, PhD, DABFE, DABFM, DABECI, CMI-V Robert R. Silver, CHS-V, PhD, MS, DABCHS Lt. Colonel Herman C. Statum, United States Army (Ret.), CHS-V, CPP, MS, PI, DABCHS Edward W. Wallace, CHS-V, Detective 1st Grade (Ret.), MA, SCSA, LPI, CFI I & II, CLEI, CTO, CDHSI

AMERICAN BOARD PSYCHOLOGICAL SPECIALTIES Chair of the Executive Board of Psychological Advisors: Michael A. Baer, PhD, FACFEI, DABPS, DABFE, DABFM, CRS, Master Therapist Vice Chair of the Executive Board of Psychological Advisors: Raymond F. Hanbury, PhD, DABPS, DABFE

Summer 2007 THE FORENSIC EXAMINER

THE

FORENSIC

EXAMINER

The Official Peer-Reviewed Journal of The American College of Forensic Examiners

VOLUME 16 • NUMBER 2 • SUMMER 2007

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. The publications and activities of ACFEI are solely for informative and educational purposes with respect to its members. The opinions and views expressed by the authors, publishers, or presenters are their sole and separate views and opinions and do not necessarily reflect those of ACFEI, nor does ACFEI adopt such opinions or views as its own. The American College of Forensic Examiners International disclaims and does not assume any responsibility or liability with respect to the opinions, views, and factual statements of such authors, publishers, or presenters, nor with respect to any actions, qualifications, or representations of its members or subscriber’s efforts in connection with the application or utilization of any information, suggestions, or recommendations made by ACFEI, or any of its boards, committees, or publications, resources, or activities thereof.

Feature Articles

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10 Quicklime and Caustic Soda Water Effects on a Fresh Cadaver By Horacio E. Solla, PhD

19 Sarbanes Oxley Act Section 404: Effective Internal Controls or Overriding Internal Controls? By Diarmuid A. Hurley, MBA, Cr.FA, and David Boyd, CPA, CMA, CFM, Cr.FA

22 Responding to Bioterrorism: Basics for Physicians and Allied Health-Care Providers By Howard J. Levinson, DC, DABFE

32 Psychological Approach to Accident Investigation By Allen J. Schuh, PhD, DABPS

Saddam Hussien: The Unconscious Mind of The Butcher of Baghdad—New Tools Reveal What the World Does Not Know By Barry Austin Goodfield, PhD, MFT, FACFEI, DABFE, DABFM, DABPS, AAETS

44 Interviewing Murderers and Suspects: Learning About the Crime and the Killer By John Douglas, EdD, FACFEI

Corrections (In the Spring 2007 issue of The Forensic Examiner, the article “Risk Assessment of Civilly Committed Sexually Violent Predators: static Verses Dynamic Orientations” should have been approved for the following additional continueing education credits: (NBCC) The American College of Forensic Examiners International is an NBCC Approved Continuing Education Provider (ACEP) and may offer NBCC approved clock hours for events that meet NBCC requirements. The ACEP solely is responsible for all aspects of the program. Provider #5812. (CBBS) The American College of Forensic Examiners International is an approved provider of the California Board of Behavioral Sciences, approval PCE 1896. Course meets the qualifications for 1 hour of continuing education credit for MFTs and/or LCSWs as required by the California Board of Behavioral Sciences. (APA) The American College of Forensic Examiners International is approved by the American Psychological Association to sponsor continuing education for psychologists. ACFEI maintains responsibility for this program and its content. In the Spring 2007 issue of The Forensic Examiner, the article “Exploring the Mind of a Spy” had an error in one of its citations. The correct citation is as follows: Air Force Special Programs Security Education Council. (2006). Security educator’s news: Personnel security. Retrieved October 28, 2006, from www.dss.mil/training/sec_news.pdf.

THE FORENSIC EXAMINER Summer 2007

Case Studies/Current Issues

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Untapped Potential: Funds Shortages Prevent Extensive Use of Forensic DNA By Joe Donohue, Editorial Intern

Salad Bar Salmonella

When Crime Pays

Beyond the Obvious: The Cases of Sir Sydney Smith

Beyond Boundaries: Future Trends in Forensic Education

Cold Case: Who Killed Bonnie Huffman?

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By Kristin Crowe, Associate Editor

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

By Katherine Ramsland, PhD, CMI-V

By Ian R. Tebbett, PhD; Donna Wielbo, PhD; and David Khey, MS, MA

By Kristin Crowe, Associate Editor

Also in This Issue

p. 52

p. 72

p. 76

p. 79

p. 80

p. 82

52 Greg Cooper: Conference Presenter Spotlight 72 Behavioral Profiling: A Panel of Experts 76 CE Test Pages: 4 Continuing Education Credits in This Issue 79 Publications by ACFEI Members 80 ACFEI and The Forensic Examiner Logo Products 82 Falsely Accused: Profiles of Individuals Wrongly Accused or Convicted of Crimes 速

Summer 2007 THE FORENSIC EXAMINER

Welcome New ACFEI Members!

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

Alejandro Acevedo Andrew T. Adam von Rhedey Joseph Femi Adebisi Simon Aleman Jr. William P. Atkins Suzanne M. Auerbach N. Kent Baker Daniel M. Barnett Darrell L. Barr Lori Bates George T. Bayer Charles Thomas Beckett Vardis V. Benson Peter D. Bernritter Michelle A. Blevins Harry G. Boden Jane E. Booz Dewayne E. Brand George D. Brothers Laurie A. Bufano Tawnya K. Burton Jacob A. Bustoz Jeffrey P. Carrie Jason Carter Steven Gerald Cassidy Laurie Charles Sherri Clinton William Ortiz Collazo

Basil G. Collins Dave W. Cook Denise Cornell Mary L. Cridlin Stephen J. Cummings Jack W. Curnow Todd Anthony Dangelo William E. Davis Bryan Dieppa Glenn A. Dixon B. Karen Dougherty Patrick P. Dougherty Donna J. Doyle James Richard Doyle David L. Droster Crystal N. Duke Christopher M. Durant Gregory P. Eatmon Ogijo Arome Emmanuel Christine A. Everett Matthew James Eyer Paul J. Farmer Jr. Adam Fink Scott D. Fix Timothy W. Flannery Paula C. Fornara Alan Neil Lee Frazer Stacey L. Fuhrman Bradley J. Garrett

Shawn C. Geckler Randall A. Gerloff Lisa R. Gorham Pamela Graham Peter J. Greco Dale D. Green Victor M. Guembes Bethany A. Guerra Tommy W. Hancock Bettye H. Henderson Robert J. Hicks Herbert M. Hoffman Jr. Hassan Karim Ibrahim Craig T. Johnson L. David Johnson Megan Jones Ivan Katzer R. Lisa Kaufman Paul M. Kelnberger, James K. Kimberling Deborah Ann Kleypas Joseph P. Koontz Jody Kowahl Paul Krug Jr. Mary LeClair Phillip F. Lerner Gerard M. Lindenlauf Jeffrey T. Lindsey Bruce G. Loeb

Nellie Loewen Ricardo Sanabria Lopez Clinton J. Lott Eileen Marie Ludden Andrew T. Lumpkins Martin Alan Luna Lynn K. Lutz Mahommed Mahier Robert Frank Mance Michael G. Mariscalco Janet L. Martha Louis R. Martin Sabrina M. Martin Kathy McKeever Richard A. McMullen M. Allen Melcher Salah Ali Menshawi Lawrence E. Miller Emil Moldovan Michael G. Moravec Stephen G. Morin Sidney Niemeyer William Royer Noll Craig O. O’Connor Timothy C. Oldham Stanley N. Parker Jason Payne-James Claude R. Peffer Jr. William Pepsis

Marcella Perez John B. Ponchione Kenneth L. Porter Marian K. Post Nicholas Potter Ali A. Reda Barbara J. Redenbo Joanne L. Richardson Dawn S. Roberts Ray Roberts Jr. Jose A. Rodriguez-Cruz Ernesto F. Rojas Migdalia Ruiz-Valle Roselle A. Sadornas Nieves V. Salle Steve G. Scheld Courtney Sculthorpe Rafael Sein William Eric Shaw Brian R. Sinclair J. Gary Snavely Eben Snyman Stephen P. Somers Scott A. Steadman Michael R. Stuart Anita Symonds Clifton D. Tarpley Ian R. Tebbett Linda Thaler

Casey L. Turnbough Aymara Valladares Richard Van Leer Israel Vigier Michael Vincelli George Robert Vito Beverly G. Ward Gary Ward Jason D. Weber Steven D. Weber Jeffrey D. Weigensberg John C. Welsh Martha Wesolowski Amy M. Whalen Angie Wheaton Harry E. Wickhorst Robert H. Wilcox James L. Williams Ron D. Williams Nicole Wilson Susan Wilson Jack Wooten William H. Wright Amy L. York

Plunging Head First Into the Information Revolution There’s no need to tell forensic professionals that the world is changing. Recent advances in technology help solve difficult cases, put the guilty behind bars, and free the unjustly convicted. The Internet is changing the way people communicate even more radically, and it’s happening at a pace not seen since the invention of the printing press in 1450. Each year brings a new advancement with a dramatic impact on the way people talk to each other, work their jobs, educate themselves, and find answers to problems. The American College of Forensic Examiners (ACFEI) is poised at the junction between the breakthroughs in the profession we serve and the communication revolution. We’re excited to announce that ACFEI and The Forensic Examiner are plunging headfirst into this new frontier. In the coming months we will give our members many new options to receive information and keep abreast of forensic science news. We are working on many projects that use technology to improve the services we offer, which already are a leader in the industry. THE FORENSIC EXAMINER Summer 2007

We’re beginning by creating an online one-stop shop for our continuing education programs, where members can have instant access to a vast selection of learning opportunities. We’re also developing many exciting new online education programs that will give students of forensic science at all levels the chance to learn at their own pace in the convenience of their office or home. We are putting the pieces together to become the pre-eminent portal for forensic news, and we’ll deliver that information in multiple formats that make it easy and efficient to keep up with developments in forensic science. Our members, and the wider Internet audience, will see videos, hear audio, watch moving graphics, and find resources available nowhere else. Forensic Speaker’s Bureau We will rely on the immense wealth of information our members possess to advance forensic science, and we will help them communicate the importance of forensic professions to the world. One of our first initiatives is to create a database of foren-

sic professionals to assist the news media in responding to breaking news stories. We want our members to fill a void that now exists by communicating unbiased and insightful information that is based on sound science. We encourage all our members to send us a detailed list of their specialties and fields of interest so we can connect them to journalists as they cover important news events. If you would like to learn more or volunteer your services as an expert, send an email to experts@forensicspeakers.com or visit www.forensicspeakers.com. We want our members to know that serving them will remain our highest priority. These new technological tools will place ACFEI on the cutting edge of the information revolution, which is only appropriate for an association serving the cutting-edge forensic science field. —John Lechliter Director of Publications and Multimedia American College of Forensic Examiners International

ACFEI News Be Part of The Commission on Forensic Education The American College of Forensic Examiners (ACFEI) is proud to present The Commission on Forensic Education. The Commission promotes the growth and emphasizes the importance of forensic science programs in education. There are no fees or dues to join. The organization offers guidance on instruction, provides help to those who teach or study forensic science, and reviews professional certification programs. It is an effective and essential network that helps educators and students stay informed of the latest innovations, breakthroughs, and important research in the field. The Commission helps educators advance the field and inspire future forensic professionals in many ways: ■ It helps educators network with fellow

■

teaching professionals and top experts in the field. It convinces potential students of the importance and the benefits of studying forensic science. It gives members a highly visible forum to publish and distribute their research. It helps members stay current in a constantly evolving field by providing quality continuing education. It provides accreditations for certification programs that recognize achievement. Membership in the Commission carries all these benefits, and it is free and open to post-secondary and secondary education instructors at these levels: • Commissioner: University and college professors and administrators (full-time, part-time, or adjunct) of a forensic science, law, or behavioral science program at a public or private college or university join the commission at this level. • Associate Commissioner: The Commission encourages all science high

school teachers to join. Associate Commissioners work with fellow educators at the high school, undergraduate, and graduate level to develop and enhance forensic science programs. The Commission holds annual meetings coinciding with the national conference of ACFEI. These meetings provide a great opportunity to meet other forensic educators and many of the leading forensic scientists in the world. Membership in the Commission is open to forensic science, law, and science educators at both the secondary and post-secondary level. Members of the Commission may be employed by either public or private educational institutions as full-time, part-time, or adjunct instructors. Members are dedicated to advancing the field of forensic science and providing quality education to future professionals in the field. For more information about joining the Commission, call toll free (800) 423-9737 or visit http://www.acfei.com/pcfe.php.

Introducing The Forensic Speaker’s Bureau Who should the media contact when looking for Forensic Experts? They should be contacting you. If you have expertise in a forensic science and can communicate effectively, you can become the next leading expert for the media by join the Forensic Speakers’ Bureau. This free organization exists to provide the media with leading experts to give opinions, state facts, and comment on current forensic news. In other words, you can be the expert who completes the story.

your name, email, and categories of expertise online For more information, go to the Forensic Speakers’ Bureau Web Site at www.forensicspeakers.com, which lists members by area of expertise so that members of media organizations can easily find experts. Your name and specialties will only be listed. If

someone from the media requests a phone number for a member of the bureau due to the urgency of the story, ACFEI will supply your number unless specifically requested to refrain. If you would like to

be listed on this bureau, email experts@ forensicspeakers.com today.

Requirements: ■ Must be a member in good standing of ACFEI ■ Must be ACFEI Certified or a Diplomate, Life Member, or Fellow in ACFEI ■ Must submit a list of categories/specialties about which the media can contact you ■ Must submit a current resume or curriculum vitae ■ Must be willing to allow ACFEI to post Summer 2007 THE FORENSIC EXAMINER

Quicklime and Caustic Soda Water Effects on a Fresh Cadaver By Horacio E. Solla, PhD

Keywords: forensic anthropology, abortions, quicklime and caustic soda water, DNA, identification

he leading cause of maternal death in Uruguay is caused by abortions made in uncertain conditions where the most elementary sanitary precautions are neglected. Daily, the poorest pregnant women in Uruguay allow unqualified individuals to perform abortions in clandestine places where extreme health risks exist. This article presents the case of Jane Doe, a 26-year-old Argentinean woman who died in Uruguay due to an acute hipovolemy caused by a secret illegal abortion made under unsanitary conditions. The midwife and her assistants who conducted the abortion sprinkled the cadaver with chemical agents commonly known as caustic soda water and quicklime to disfigure

10 THE FORENSIC EXAMINER Summer 2007

and/or destroy it completely before burying Jane Doe in the backyard of the midwifeâ&#x20AC;&#x2122;s property. This articleâ&#x20AC;&#x2122;s objective is to make a forensic contribution to what is known about quicklime and caustic soda water effects on fresh cadavers. This article is based on a case study where a fresh cadaver was subjected to such chemicals agents for about 1 year. It also describes changes on soft and bone tissues, hair, and dental pieces. The study showed that hair and long bones ephyphysis are more resistant to the effects of those chemical agents than other parts of the human body, like teeth and soft tissue. Using these body parts, DNA fingerprints analysis can help yield a positive identification of the human skeletal remains.

Above: The remains of Jane Doe

Introduction This article illustrates the importance of a multidisciplinary plan of action in murder investigations. Murderers often dispose and destroy their victims’ bodies using chemical agents. In the present case, the identification of the remains was very difficult due to the chemical agents Jane Doe’s murderers applied to her cadaver. This case report on Jane Doe makes a forensic contribution regarding the effects of quicklime and caustic soda water on fresh human cadavers. This article describes several DNA techniques, although they are not the article’s principal objective. In Uruguay, many women die each year because of abortions done in unsanitary conditions by people unqualified to perform the operations. In most cases, midwives perform abortions without a medical attendant. Although many midwives conduct abortions regularly and are often considered experienced, they lack the training to safely perform the high-risk operations. Further adding to pregnant women’s risks, having an abortion constitutes committing a crime in Uruguay’s legal system unless it is done in sanitary conditions to safeguard the mother’s physical integrity or the mother is especially poor and already has a lot of children. Evidence shows that the majority of abortions in Uruguay do not constitute an illegal activity. Nevertheless, each year approximately 33,000 women die from clandestine abortions. Almost half (47.9%) of the women who sought medical attention from Pereira Rossel Hospital for uterus infections resulting from abortions performed in unsanitary conditions died. Jane Doe was a 26-year-old Argentian woman who, in April 2001, crossed the Río de la Plata from Argentina to Uruguay to have an abortion. Abortions are cheaper in Uruguay than in Argentina, but are il-

legal in both countries. In her case, because of complications at a clinic, she was sent to a midwife’s private house in a district in Montevideo’s outskirts. When she arrived, the midwife and her assistants were waiting to proceed with the abortion that the clinic’s properly trained doctors had deemed too dangerous. As a last resort, several months after Jane Doe had left Argentina, her worried relatives brought her disappearance to the attention of the Immigration General Direction authorities. After investigating the case, the immigration authorities confirmed her entrance to Uruguayan territory at Colonia del Sacramento but could not find any record of her departure to Buenos Aires. After several investigations, the InterpolUruguay and local police found the midwife who performed the abortion. After her arrest, the midwife confessed to the crime and gave details of the event. The victim died as a consequence of an acute hipovolemy resulting from a critical hemorrhage the midwife’s incorrect surgical procedures caused during the highrisk abortion. The midwife also described what she and her assistants did with Jane Doe’s cadaver and indicated where it was buried. The midwife and her assistants cut off several of Jane Doe’s body parts and buried them in the midwife’s backyard in the district of White Rocks near Montevideo. Before burying her, they sprinkled the body with quicklime and caustic soda water to destroy the cadaver so that if ever found, it would be difficult or impossible to identify. The midwife’s declarations to the local police and Interpol-Uruguay agents led the judge and the coroner to the buried corpse more than a year after Jane Doe’s death. Investigators took several photographs with the remains in place. They also made a map to record location details and searched the

Top: Thoracic region of Jane Doe’s remains Middle and Bottom: Lumbar Region of Jane Doe’s remains

Summer 2007 THE FORENSIC EXAMINER 11

Untapped Potential: Funds Shortages Prevent Extensive Use of Forensic DNA By Joe Donohue, Editorial Intern

ince forensic examiners began relying on forensic DNA, they have used it to change the face of criminal investigations. When studied properly and combined with other forensic evidence, DNA samples can provide conclusive evidence and ensure that murderers and rapists are convicted. Forensic examiners also use DNA evidence to prove suspects—and the erroneously imprisoned—innocent, saving investigators precious time to spend on other leads. Sadly, despite its proven effectiveness, investigators often do not use DNA evidence to help solve crimes. This problem is multi-layered: Many police departments cannot afford expensive DNA testing, testing facilities are completely backlogged, and many foreign police departments are both under-funded and untrained to conduct DNA evidence collection and testing. Further, in some developing countries, authorities simply refuse to consider available forensic evidence.

surrounding area for artifacts and clues. It was helpful to know that no other bodies were lying around. No clues were found around the buried body’s location. Next, Jane Doe’s remains were removed. All the ground under and around the remains was sifted, but nothing was found. Then the body was carried to the Morgue Judicial of Montevideo City to be analyzed.

Chemistry of the Quicklime and Caustic Soda Water The denomination of hydroxyl lime is a generic term that includes the oxides that, by means of industrial processes, imply the rock calcites with high calcium, dolomite, or magnesium content. This definition does not include limestone or other carbonates that, when simply crushed, are generally referred to as lime. The quicklime 12 THE FORENSIC EXAMINER Summer 2007

Lack of Funding in the United States There is no questioning forensic DNA’s value to criminal investigators, yet many departments across the United States still do not receive the DNA testing funds they need to remove violent criminals from our streets. Senator Patrick Leahy condemns the failure to fund DNA testing, asserting, “Solely for lack of funding, critical evidence remains untested while rapists and killers remain at large, victims continue to anguish, and statutes of limitations on prosecution expire” (U.S. Senator, 2003). The senator notes that the $177 million

proposed for the DNA Initiative in 2004 barely scratched the surface of what is actually needed, and he believes that if “we truly want to take advantage of what forensics science and DNA analysis offer to enrich the administration of justice in the United States, then we must ensure that the funds are available to support such programs” (U.S. Senator, 2003). Failure to fund police departments leaves investigators unequipped to close cases they could likely solve using DNA testing. Countless examples exist wherein investigators have collected sufficient fo-

is the resulting product of the calcinations of limestone in furnaces with temperatures near 1000°C. This product is composed mainly of the oxide of calcium and magnesium. On the basis of chemical analyses, the quicklime can be divided in three types. First, quicklime of high calcium content is formed by about 95% calcium oxide (CaO) and less than 5% magnesium oxide (MgO), which demands a limestone rock of high calcium content and efficient calcinations. Second, quicklime dolomite is composed of around 40% magnesium oxide (MgO) and 57% calcium oxide (CaO), which requires a limestone rock of high purity in calcium and magnesium. Finally, quicklime magnesic is formed by 5 to 35 % magnesium oxide and 60 to 90% calcium oxide (CaO), which is available in several common places in Uruguay. The quicklime has many ap-

plications, although the most common uses are environmental, such as the treatment of potable and industrial water, the treatment of the sewage system water and its moods, the treatment of the ground recovery water contaminated with hydrocarbons and reliable chemistries, the discoloration of several combustion gases, and the treatment of solid remainders. In the process of extinguishing the hydroxyl of calcium, the volume of dull lime [Ca (OH)2] expands to double the amount of initial quicklime (CaO), which is why it is also generally used to break rock or wood (Stryer, 1982). The hydroxyl of sodium, better known as caustic soda water, is extremely corrosive and may cause serious burns when in contact with the skin. Thus, it is not rare to use it to disfigure and dissolve the soft parts of corpses that have been covertly buried.

rensic evidence to prove a suspect’s guilt, but crime labs are so backlogged with samples that forensic scientists simply cannot meet the demand for their skills. In a 2005 Washington State University study, researchers found that of the 432,000 unsolved rape cases in the United States “between 221,000 to 278,000 . . . cases provide investigators with potential DNA evidence from the crime scene that has never been properly analyzed” (Pratt, Gaffney, & Lovrich). When that alarming number is added to the ever-growing stack of evidence investigators continue to produce, it becomes clear that agencies simply cannot handle the caseloads efficiently (Pratt et al.). Without drastically increased funding, crucial evidence will remain unprocessed and violent criminals will remain free.

Problems Compounded in Foreign Countries Despite the obvious setbacks the United States faces, its chances to rely on DNA and other forensic evidence to solve crimes is far better than those of many foreign countries. In poverty-stricken countries “food, security, health care, and preventative medicine” are still scarce, so forensic capabilities “rank low on the priority list” (Olumbe & Yakub, 2002, p. 898). By studying cases, Olumbe and Yakub showed that in Kenya and other such countries, police who investigate murder cases that involve unidentified persons

do so with no missing persons database, no “analysis on human remains beyond the basic forensic autopsy,” and no “coordination among governmental departments” and law enforcement agencies (p. 898). The authors conclude, “forensic services, including the examination of both dead and living persons, are downright meager or completely lacking in most developing countries” (p. 898). In some instances, countries that have even minimal forensic capabilities often do not use them for cases authorities deem unimportant—namely, those involving the impoverished. This attitude is even more cavalier regarding impoverished women. Leaders at the Washington Office on Latin America (WOLA) strive to call Americans’ attention to the dangerous plight women in Latin American countries face daily. According WOLA officials (2005), nearly 400 women have been killed in just two Mexican cities—Juárez and Chihuahua—between 1993 and 2005. Over 34% of these women were sexually assaulted— girls as young 13 were “kidnapped, raped, strangled, [and] mutilated” before attackers carelessly disposed of corpses in areas that were easily detectable (WOLA, 2005, p. 1). Despite international attention, including the FBI’s offer to assist in the investigations, local authorities seem unmotivated to solve the cases. Some officials have even cited the women’s clothing choices as provoking the

attacks (WOLA, 2005). Whatever their reasons, “police have failed to collect clothing fragments and other evidence at the sites where women’s bodies [were]” discovered. They have mixed up DNA tests, destroyed important evidence, and allegedly returned some young women’s remains to the wrong families” (WOLA, 2005, p. 2). FBI officials may find that Mexican citizens will accept their assistance more eagerly than police have. WOLA asserts that volunteers have done more than officials to solve these crimes. They write, “In February 2002, volunteers searching the Juárez site where eight bodies had been found in November 2001 discovered clothing” one victim’s mother recognized; they also found “hair, shoes, and clothing remnants, none of which had been gathered by police investigators during their search of the area 3 months earlier” (2005, p. 2). Such practices have led to public outcry against state police not trying to stop the violence against women. In 2003, President Fox finally responded by initiating “a commission to oversee and coordinate federal and state efforts to prevent and punish women’s murders in Juárez, appointing Guadalupe Morfín as commissioner” (WOLA, 2005, p.4). While the Mexican public supports Morfin’s efforts, the country’s politicians fail to provide the finances she needs to succeed (WOLA, 2005). continued on page 14

From a forensic point of view, it is interesting to know the concrete changes in a fresh cadaver that has been exposed to quicklime and caustic soda water. Concerning the effects of quicklime on cadavers, Etxeberría (1988) found that while human bones are similar to incinerated bones (both being white and fragile), differences exist in their microscopic structures. Bones exposed to quicklime develop giant crystals formed by an accumulation of small crystals that are about 15 microns in length, while bones exposed to a temperature over 660°C develop crystals less than a micron in length. Baud and Susini (1988) indicate that quicklime is corrosive and absorbs water from organic tissues, producing heat. However, this elevation of temperature lacks the capacity to burn human skeletal remains. Bones acquire a white color and a high de-

gree of frailty but do not present any fractures or blacking effects like bones exposed directly to fire. Once quicklime comes into contact with the water of cadaver tissues, it is transformed into slaked lime that degrades the organic matter and the collagen of the bones, which explains the absence of organic matter in the bones and their lost elasticity.

Materials and Methods Once in the Judicial Morgue of Montevideo, the local pathologist could not carry out an autopsy due the body’s stage of decomposition. He sent the human remains to be analyzed by the resident forensic anthropologist, who wrote this article. Anthropological Analysis of the Recovery Remains The exhumed human remains were re-

ceived within a black nylon bag and were at such a stage of decomposition that, from a macroscopic point of view, they did not have the appearance of a human body. Nevertheless, a lengthy analysis revealed that, indeed, they were human remains in an advanced stage of decomposition. In order to determine that they were human remains, it was necessary to make certain sectioned cuts—specifically at the level of the thoracic region and the lumbar region where the ribs and the thoracic and lumbar column are appraised clearly by the anterior view. The head was not well preserved because several blows from a shovel had shattered it. Only a small part of the occipital bone was found, and no dental pieces were recovered. Therefore, no dental record comparison was possible. Summer 2007 THE FORENSIC EXAMINER 13

Authorities’ indifference to the impoverished affects investigations (or lack thereof ) in many developing nations. For a specific example, one can consider the approach Guatemalan police took after Claudina Velásquez’s death. In 2005, her murderer(s) left the 19-year-old student’s corpse in the middle of a street; the body held much forensic evidence. The girl had been beaten and shot, and semen traces indicated possible rape (WOLA, 2006). Because she was wearing sandals and had a navel ring, authorities classified her “as a victim whose murder should not be investigated” (as cited in WOLA, 2006, p. 2). After Ms. Velásquez’s father’s desperate search for justice eventually led to a meeting with U.S. officials, the Guatemalan Human Rights Ombudsman’s Office produced an official report denouncing the way police handled the case (WOLA, 2006). Among other problems, the report noted the following (as cited in WOLA, 2006, p. 1–2): ■ Failure to promptly open an investigation ■ Failure to preserve the crime scene ■ Failure to collect evidence from the crime scene ■ Failure to conduct adequate forensic tests and analysis

Such failures are actually commonplace in Guatemala and other South American countries. According to an official report, the public prosecutor’s office handled hundreds of cases involving murdered women in 2006, but it resolved only 14 (WOLA, 2006). Even more unsettling, WOLA reports, “Since 2001, more than 2,500 women have been brutally murdered in Guatemala” alone, and little has been done to prevent such crimes (2006, p. 2). Turning an international blind eye to these atrocities simply encourages violence against poverty-stricken women. The success rate of DNA testing—combined with other forensic investigatory techniques—can provide authorities the opportunity to radically reduce violent crime against all people; the international community must now choose to fund this opportunity or acknowledge the choice not to.

The United States Addresses the Problem at Home and Internationally Along with human rights organizations, some American citizens and officials have recognized our responsibility to combat violent crime in developing countries and in

the United States. As noted previously, the FBI offered to help investigate the 400+ unsolved murders of women in Ciudad Juárez and Chihuahua. The assistance was to involve “training, DNA testing, and the use of FBI profilers”; the FBI also called for an official bi-national investigation (WOLA, 2005, p. 2). While the Chihuahua authorities accepted very little help (mostly training), the offer itself shows that the U.S. government is willing to help make training and advanced forensic testing techniques available to developing nations. The FBI is not alone in its efforts. To combat drug trafficking, in 2002 the Department of State’s Bureau of International Narcotics and Law Enforcement Affairs (INL) began funding a development program for national police in Tanzania, Uganda, and Ethiopia (U.S. Department of State, 2004). The program’s benefits include developing forensic laboratories in Tanzania and Uganda, which are “designed to build the capacity of these governments to analyze evidence collected at crime scenes” (U.S. Department of State). Along with decreasing drug trafficking activities, the forensic labs will help investigators solve violent crimes in those countries. American citizens are also accepting

The examined human remains did not have the usual foul odor of a decomposed body. After cleaning the bone remains with chlorinated water, abundant foam formation and a strong detergent odor were present. It was evident that the corpse had been exposed to some chemical substance to cause the body deterioration. Therefore, several samples were sent to the Judicial Morgue of Montevideo’s Laboratory of Chemistry and Toxicology to be analyzed. Once analyzed, the presence of a strong caustic soda water and quicklime mixture was detected on the samples. Using conserved fragments of long bones, especially the distal femur and proximal tibia, the stature of the victim was determined (Steele, 1970). The color of the skin did not undergo changes, which indicated a caucasic racial affinity. The study of the hipbones, composed by the ilium, ischium, and pubis, determined that the body belonged to a female (Genoves, 1959). The

age at the time of the death came down to the study of the costo vertebral articulation joints (Iscan, Loth, & Wright, 1985) and the study of the pubic shymphysis (Gilbert & McKern, 1973). Also, there were remains of black hairs (about 20 centimeters long), black female underclothes, a sock, and a clear-colored blouse. The body displayed clear signs of postmortem violence, especially at the skull, and there were several cuts by a sharpened instrument—like a big knife or an axe— in at least three sections. The first was at both arms, the second on the lumbar region, and a third was on both inferior members. There were no characteristics of individualization, except for the clothes found. The results of the forensic anthropological studies show that those were the human remains of a white woman, approximately 167 cm tall, who was between 20 and 30 years old at the time of death.

Due to the fragmentation and decomposition of the cadaver, it was not possible to use anthropological methods of identification such as skull-photographic comparisons assisted by the computer, a radiographic-comparative method, or a dental comparison. Nevertheless, from what arose from the investigations and from the declarations of the midwife, it was suspected that the cadaver belonged to Jane Doe. In fact, the sex, stature, hair color, and approximate age at the time of death matched the data of the missing Argentinian citizen. The DNA of the hair and the skeletal human remains, when compared with blood samples from Jane Doe’s mother, gave positive results. In the past decade, DNA analysis has been used as physical evidence in the investigations of crimes such as assault, sexual assault, and homicide for both psychological and legal reasons. Positive identification of a decedent is desired and may often be

14 THE FORENSIC EXAMINER Summer 2007

the opportunity to support impoverished foreign citizens by lending forensic skills to foreign authorities. For example, when criminal justice lecturer Aric Dutelle recently visited Honduras, officials sought his help to find a drowning victim’s body (Jadaan, 2005). After the successful search, the officials—acknowledging that they couldn’t afford to pay him accordingly— asked Mr. Dutelle to return to Hondurus to conduct “formal training in general investigative techniques for the national and local police” (Jadaan). Dutelle agreed, receiving only food and lodging for his services (Daily Pioneer). Americans are also recognizing that without substantially increasing funding and training, DNA testing and other forensic techniques cannot fulfill their potential to drastically reduce crime in the United States. Politicians are heeding the public’s call for funding: In 2005, President Bush introduced the $1 billion DNA Initiative, which is a 5-year plan; Governor Blagojevich of Illinois recently introduced a statewide plan to reduce the DNA backlog; and the issue had a major impact on Wisconsin’s attorney general election in 2006 (Gramlich, 2006). Similar calls to fully embrace and fund DNA testing can

accomplished via the traditional scientific methods of comparative dental radiography, fingerprints matching, and osteological examination. However, in cases like this one, where there is an extensive mutilation of the soft tissues, disarticulation, destruction of key skeletal landmarks, and unavailable pre-mortem records, these traditional methods may not be useful. Recent developments in DNA analysis and their application to forensic identification have revolutionized the possibility of identifying human remains. Crime labs around the world use more advanced and efficient methods of DNA analysis than restriction fragment length polymorphism (RFLP). However, today in Uruguay, the most available and widely applied genetic forensic identification or exclusion diagnosis is achieved using the established protocol for genomic DNA analysis, which is RFLP. This kind of analysis uses radiolabelled human-specific probes, which

be seen across the country, but to ensure action, our voices must make those calls even louder. Presently, testing DNA and other forensic evidence remains vastly under-utilized. Thankfully, many people—global citizens, organizations, and government officials alike—are taking strides to alleviate this problem. If we join these efforts, together we can ensure that criminal investigators throughout the world are fully equipped to provide justice for all victims of violent crimes.

References Gaffney, M., Lovrich, N., & Pratt, T. (2005, April 21). WSU researchers uncover huge unsolved crime DNA testing backlog. Washington State University News. Retrieved March 15, 2007, from http://wsunews.wsu.edu/detail. asp?StoryID=5202 Gramlich, J. (2006, August 28). Crime lab backlogs extend beyond DNA. Stateline.org. Retrieved March 15, 2007, from http://www.stateline.org/live/details/story?contentId=137205 Jadaan, L. S. (2005, August 29). UW-Platteville professor establishes Honduran connection. Daily Pioneer News. Retrieved March 15, 2007, from http://www.uwplatt.edu/news/archive/2005_08_ 01_archive.html Olumbe, A. K., & Yakub, A. K. (2002, December). Management, exhumation and identification of human remains: A viewpoint of the devel-

recognize and bind to restriction endonuclease-digested sample DNA that has been size separated and transferred onto a nylon membrane. Each probe detects the variable number of tandem repeats (VNTR) polymorphism within a hypervariable region of the human genome. The polymorphic nature of these VNTR is visualized as a band pattern on an autoradiograph and in this way demonstrates the capability of virtually individualizing human DNA. To this point, the DNA identification currently employed in crime laboratories has been mainly confined to body fluids and soft tissue samples. Under laboratory conditions, blood and semen stains in a protected dry environment have yielded DNA still suitable for testing after decades. Teeth and hair may also serve as excellent sources of DNA and are biologically very stable. Many environmental conditions do not affect the ability to obtain a high molecular weight of human DNA from den-

oping world. International Review of the Red Cross 84(848): 893–902. Retrieved March 15, 2007, from http://www.icrc.org/Web/Eng/siteeng0.nsf/ html/5HVJFZ U.S. Department of State. (2004, April 1). Fighting terrorism in Africa: Karl Wycoff, Associate Coordinator, Office of the Coordinator for Counter terrorism,Testimony before the House International Relations Committee, Subcommittee on Africa. Retrieved March 15, 2007, from http://www.state. gov/s/ct/rls/rm/2004/31077.htm U.S. Senator Patrick Leahy. (2003). Statement Of Senator Patrick Leahy, Senate Committee On The Judiciary, Subcommittee On Administrative Oversight And The Courts Hearing On “Funding Forensics Science: DNA and Beyond.” (2003). Retrieved March 15, 2007, from http://leahy.senate. gov/press/200307/073103b.html Washington Office on Latin America. (2006, October). Human rights Obudsman identifies serious shortcomings in investigation of murdered woman in Guatemala. Washington, DC: Latin America Working Group. Retrieved March 27, 2007, from www.wola.org Washington Office on Latin America. (2005, March). Crying out for justice: Murders of women in Ciudad Juárez, Mexico. Washington, DC: Latin America Working Group. Retrieved March 27, 2007, from www.wola.org/Mexico/hr/ciudad_ Juárez/crying_out_for_justice.pdf

tal pulp or bones, which was discovered from examining bodies buried in various soil types. So in this case, human compact bone samples and hair remains were used as a source of DNA for RFLP analysis. The use of human bone and hair as a source for DNA typing is a relatively recent development in forensic science. The preservation of the DNA degradation of the sample is a limiting factor in DNA recovery. This common problem plagues this type of analysis. In this case, the chemical agents may limit the degradation of DNA post-mortem tissues. However, a strict correlation has not been shown between the degree of DNA degradation and the time since death when chemical agents are used to destroy a body. In this case, the DNA studies have shown the recovery of typeable DNA as late as 1 year post-mortem in the bones and hair samples analyzed.

Summer 2007 THE FORENSIC EXAMINER 15

Severely decomposed remains of Jane Doe

Distal femur of Jane Doe

DNA Analysis of Bones and Hair Samples One section of the femoral ephyphysis and hair remains was removed immediately frozen at -80ºC as a control set. The surface of the sample was sterilized with 70% ethanol wrapped in clean bench paper and fragmented with a mallet. Dehydration and desiccation were carried out with sequential washes of sterile deionised water, 100% ethanol, and ethyl ether shaken at 4ºC for 20 minutes. When dried, the sample was frozen in liquid nitrogen and ground to a fine powder using a blender fitted with a special stainless-steel specimen cup (Fisher Scientific). Two grams of bone powder were dissolved with 3 mL of 10 mM Tris (pH 8.0), 10 mM EDTA, 0.1 M NaCI, 2% SDS, and 0.5 mg/mL Proteinase K at 42ºC for 16 hours in a shaking water bath. The Proteinase K concentration was then brought up to 1 mg/mL, and incubation continued 5 additional hours. The sample was centrifuged at 5,000 x g for 3 minutes at 4ºC, and the supernatant was extracted with an equal volume of phenol/chloroform/isoamyl alcohol. The DNA was precipitated with 2.5 volumes of cold 100% ethanol. The DNA pellet was recovered by centrifugation at 12,000 x g for 12 minutes at 4ºC and re-suspended in 10 mM Tris, 0.1 mM EDTA (pH 8.0). DNA recovered from the bone samples was quantified by absorbance at 260 and 280 nm; agarose gel electrophoresis alongside known quantitative standards (15-500 ng DNA, Gibco BRL) and southern transblot of the agarose gel followed by hybridisation analysis using the P32 labelled, human-specific probe V1 (locus D17s79) (lifecodes). Isolated human DNA was detected by autoradiography. Transblots were also hybridised with two oligodeoxynucleotide probes, p11E

and p13B, which were derived from conserved gene sequences for the 16S ribosomal RNA found in eubacteria. RFLP analysis was performed according to the most current method described in the specialized literature. Briefly, the isolated DNA was digested with an excess of 5 times the restriction of endonuclease Hae III (Boehringer Mannheim) overnight at 37°C and extracted with phenol/chloroform/isoamyl alcohol, and the DNA was precipitated with ethanol. The DNA sample was then electrophoresed through a 1% agarose gel alongside size markers and a pre-digested positive control—DNA from the human cell line K562 (Lifecodes). After electrophoresis, the DNA was transblotted onto a Biodyne B membrane (Pall Biosupport) under alkaline conditions and covalently linked to the membrane in a CL-1000 ultraviolet cross-linker (UVP) at 254 nm with 120,000 uJ/cm2. Each membrane was hybridized with a humanspecific DNA probe and DNA probed for the size markers, both labelled. To compare the intensities of the signals detected amid the various time points for each treatment, the normalized values for all the fragments detected by each of the human-specific probes were pooled; this was based on the assumption that any particular exposure condition has the same (random) effect on each of the probed loci. The data were then analysed by repeat measures analysis of variance between groups (ANOVA). Head hairs from different regions of the scalp were obtained during the anthropological analysis of the remains, stored in paper envelopes at an ambient temperature, and submitted for DNA analysis. Reference blood samples from Jane Doe’s mother were collected in ethylenediamine tetraacetic acid (EDTA) tubes. In order to compare the DNA typing results, the same genetic markers in the victim’s sample were analyzed.

DNA was isolated from 1 cm of the root portion from each of the hairs. The extraction of the reference head hairs and the blood samples were carried out independently at different times. Each hair was incubated overnight at 56º C in 400uL stain extraction buffer (10mM Tris, 10 mM EDTA, 100 mM Cl, 39mM Dtt, 2% SDS) and 10uL Proteinase K (20mg/mL) were added. Then the samples were incubated for 2 more hours at 56ºC. The solution was extracted with 500uL phenol-chloroform-isoamyalcohol (25:24:1) and subsequently extracted in 1 mL water saturated n-butamol to remove traces of phenol. The aqueous phase was then transferred to a Centricon 100 microconcentrator tube containing 1 mL sterile water. The volume was brought up to a total volume of 2 mL with sterile water, the sample reservoir was sealed with parafilm, and the tubes were subjected to centrifugation at 1000 g for 30 minutes. The DNA was recovered by back centrifugation at 1000 g for 5 minutes. The final sample volume was approximately 25–40 uL. Nine nanograms of Human DNA could be extracted from the hair samples. Later, two nanograms from the sample were amplified and typed for HLA-DQ according to the protocol contained in the AmplyType HLA-DQ alpha Amplification and Typing Kit. In order to conserve as much original evidentiary sample DNA as possible for further analysis, the genomic DNA from the HLA-DQA1 amplification product was purified, recovered, and subsequently amplified. The remaining portion of this sample has been stored at -20ºC. Subsequently, the solution was transferred to a Centricon 100 microconcentrator tube containing 2 mL of sterile water and purified by removing the primers, dNTPs, and salts. The purified retentate containing the genomic DNA and the DQA1 am-

16 THE EXAMINER Summer 2007

Distal femor of Jane Doe

Proximal tibia of Jane Doe

plification product was recovered by back centrifugation. The final sample volume was approximately 20–30 uL. Twenty uL were amplified in a 100 uL PCR in a Perkin Elmer Thermal Cyler 480 using the Ampli-Type PM PCR Amplification and Typing Kit and typed for five loci according to the manufacturers protocols. Briefly, the PCR was carried out in 50 uL reaction volumes in a Perkin Elmer 480 thermal cycler. Five uL of PCR product were mixed with 2.5uL 3 X STR loading dye and 2.5 uL of this mix were loaded onto a denaturing polycrylamide gel containing 7 M urea and 0.5 X Tris-Borate-EDTA buffer. Electrophoresis was carried out on an SA 32 Electrophoresis Apparatus. The conditions for electrophoresis were set at a constant power of 40 watts and electrophoresis was carried out at ambient temperature. Electrophoresis was stopped when the xylene cyanol dye migrated 6 cm from the anode (approximately 1 hour and 20 minutes). Allele designations were determined by comparison of the sample fragments with those of the allelic ladders supplied in the kit. From the hair sample of Jane Doe, human DNA were isolated and amplified successfully and typed at nine genetic loci: HLADQA1, LDLR, GYPA, HBGG, D7S8, GC, HUMTH01, TPOX, CSF1P0. The DNA profiles obtained from Jane Doe’s mother’s DNA sample matched the DNA profiles obtained from Jane Doe’s hair samples.

DNA or from samples that do not contain as much DNA may be obtained by amplification of the DNA using the PCR. PCRbased tests, including the amplification of the HLA DQA1 locus, the PM loci various VNTR loci, microsatellite typing, and mitochondrial DNA sequence analysis, have been successfully applied to the analysis of DNA extracted from various sources including bones and hairs. Although identifying the remains with DNA technology was important, the principal objective of this article, from a forensic perspective, is to determine the effects of quicklime and caustic soda water on a fresh body. Therefore, in this case it is important to note and determine what parts of Jane Doe’s cadaver had been affected, and to what degree, by the exposure to the indicated chemical agents. In this case, the action of both chemical components used to disfigure and to dissolve the cadaver remains did not have the same effects on the soft tissue as they did on the bone tissue. Indeed, quicklime and caustic soda water destroyed the greater part of Jane Doe’s soft tissue. However, although caustic soda water has the wellknown destructive effect of burning the soft tissue of the human body, the most destructive effects were on the bone tissue and dental system. The bones that could be recovered displayed a blubbery aspect, were very fragile, and were destroyed very easily under minimum pressure. The dental pieces were disintegrated or were dissolved so that none that fit the typical anatomy of a human tooth could be identified (Der Boghosian, 1952). Therefore, the identification of Jane Doe’s remains had to be done by comparative studies of extracted DNA from hair remains and the few long bone fragments that could be recovered and blood samples from the victim’s mother. It is also impor-

tant to indicate that the hair did not show any destruction due to the exposure to the quicklime and caustic soda water, as did the soft tissue, bone tissue, and teeth. The results of this study indicate 2 g of femoral cortical ephyphysis bone and a hair sample were sufficient to extract quality, typeable genomic DNA from a relatively fresh cadaver to a 1-year-old cadaver. The main goal of this study is to establish human bone and hair as a valid and reliable source for use in DNA testing in forensic case work. The majority of the forensic cases in Uruguay can be identified by traditional anthropologic methods, yet in many cases, only estimations of age, race, sex, and stature may be made. The methods employed in this study are not only significant when there is direct antemortem evidence for DNA comparison, but may also be used in cases where the separation of co-mingled evidence is problematic, when the relationship between spatially disparate fragmentary remains is in question, or when first order living relatives of the victims are available for reversepaternity testing. Based on our initial analysis of the DNA extracted from various bone ephyphysis specimens, it is clear that bone can be used as a reliable source of DNA. An average of 73 ug per gram of bone was recovered from three separate specimens. Although the quality of the DNA may vary, RFLP analysis of the three bone specimens suggests that they yielded high quality restriction patterns. Exposure of these bone samples to various environmental insults indicates that the DNA is susceptible to the prolonged treatment of shallow burial and water immersion. After 6 months of exposure, the DNA demonstrated extensive degradation upon RFLP analysis. This was despite what appeared to be a good recovery of DNA material for both treat-

Discussion and Conclusions DNA typing has been shown to be a powerful tool for identifying purposes. The detection of VNTR sequences by RFLP analysis can produce very high levels of discrimination, but it requires a minimum of 25 to 50 ng of relatively undegraded DNA. Genetic information from samples with degraded

Summer 2007 THE FORENSIC EXAMINER 17

A sock discovered with Jane Doe’s remains

Jane Doe’s blouse

ments at 6 months. This study consistently found that RFLP analysis required a large amount of DNA from these bone samples, even though in typical forensic RFLP analysis, only nanogram quantities of DNA are employed. The sensitivity of the RFLP analysis depends largely on the preservation of the high molecular weight of human DNA, and contamination by microbial DNA in the bone extracts limits the sensitivity of this analysis. Conceivably, the sensitivity of the RFLP analysis may be enhanced by separating the human DNA from the microbial contamination prior to restriction of the sample, particularly in the case of surface deposits. The results also support the contention that microbial activity and/or moisture in the soil may be important factors for DNA degradation in bones. The climatic conditions during the 1-year period that the body was buried were dry and cool loam; therefore, we consider that these conditions tend to retard the chemical action of quicklime and caustic soda water on fresh cadavers. Longer exposure time for autoradiography or increasing the amount of total DNA loaded may enhance the sensitivity of detection. Of the three forensic samples, as in this case, ephyphysis of the long bones was the most desirable source of DNA for RFLP analysis. Thus, exposing a fresh cadaver to these two chemical agents causes an important deterioration in direct relation to the length of time it has been buried and the volume of chemical agents applied. In this case, a volume of quicklime and caustic soda water was applied to a young female of about 60 kg and 167 cm of stature until it covered the entire body, which was buried in a hole with a depth of about 50 cm, a length of about 2 m, and a breadth of about 50 cm.

The action of the quicklime and the caustic soda water on the human body is not homogeneous. These two chemical agents do not affect the soft tissue and the bone tissue the same way. The quicklime is almost harmless to bone tissue, because the tissue is protected by soft tissue. The caustic soda water, however, is very destructive to the bone tissue as well as the soft tissue. Several areas of the bone anatomy showed a greater resistance to the action of these chemical agents, like the proximal and distal region of long bones (see Figures 10– 13). Finally, hair is particularly resistant to the action of these two chemical agents.

ences, Uruguay. He has completed many post-graduate degree courses in forensic anthropology. He received a Certificate of Inclusion in the 2000 Outstanding Scholars of the 21st Century (first edition) in honor of an outstanding contribution to the field of forensic anthropology in Uruguay as the founder of forensic anthropology in his country. He also received a doctorate degree of Merit (PhD) from the International Biographical Institute at Cambridge, England (2001). He has published three books and more than 50 scientific articles. Dr. Solla is a member of the Uruguayan Society of Forensic Sciences (1991), the Uruguayan Society of History of Medicine (1992), the American Academy of Forensic Sciences (1995), the American College of Forensic Examiners (2000), and the Spanish College of Forensic Experts (2002). He also was curator at the National Museum of Anthropology (1990–1992), assistant of physical anthropology at the University of the Republic, Montevideo (1989–1995), and a forensic anthropologist at the National Institute of Criminology (1992–1995). Presently, he has a full time position as a forensic anthropologist at the Judicial Morgue of Montevideo City (Secretary of Justice) where he has solved more than 600 forensic anthropology cases and identified more than 100 missing persons skeletal remains.

18 THE FORENSIC EXAMINER Summer 2007

References

Baud, C. C., & Susini, A. (1988). Alterations osseuses dues á l’ action de la chaux. Actes de 3émes Journées Anthop. Notes et Monographies Techniques, 24, 69–75. Der Boghosián, B. (1952). Los dientes. Impresora García Morales. Montevideo. Etxeberría, F. (1988). Aspefctos macroscópicos del tejido óseo sometido al efecto de las altas temperaturas. Aportación al estudio de las cremaciones. Revista Española de Medicina Legal, 19, 159–163. Genovés, S. T. (1959). Diferencias sexuales en el hueso coxal. UNAM. México City, D.F.: Publicaciones del Instituto de Historia. Primera serie. Num. 49. Gilbert, B. M., & McKern, T. W. (1973, January). A method for aging the female Os pubis. American Journal of Physical Anthropology, 38(1), 31–38. Iscan, M. Y., Loth, S. R., & Wright, R. K. (1985, July). Age estimation from the rib by phases analysis: White females. Journal of Forensic Science, 30(3), 853– 863. Steele, D. G. (1970). Estimation of stature from fragments of long limb bones. In Stewart, T. D. (Ed.), Personal identification in mass disasters (85–97). Washington, DC: National Museum of Natural History, Smithsonian Institution. Stryer, L. (1982). Bioquímica. (2nd Ed.). Barcelona: Editorial Reverté.

About the Author Dr. Horacio E. Solla received his graduate degree in Anthropological Sciences in 1991 from the University of the Republic, Faculty of Humanities and Sci-

This article is dedicated to the memory of Mary Rita Quinteiro.

Earn CE Credit To earn CE credit, complete the exam for this article on page 76 or complete the exam online at www.acfei.com (select “Online CE”).

SARBANES OXLEY ACT SECTION 404:

Effective Internal Controls or Overriding Internal Controls?

Certified Forensic Accountants.

Key Words: Sarbanes Oxley Act, SOX Section 404, fraud, external auditor, audit, trend analysis, financial statement deception

By Diarmuid A. Hurley, MBA, Cr.FA, and David Boyd, CPA, CMA, CFM, Cr.FA

MCT illustration by Rick Nease, Detroit Free Press

Abstract The principal objectives of the Sarbanes Oxley Act (SOX) are to minimize the possibility of financial statement fraud in publicly traded corporations and to minimize the possibility of external auditors endorsing falsified financial statements. Implementation of the act has gone well with the exception of Section 404, which was intended to create greater accountability of top management. It has, instead, morphed into a detailed, cost-prohibitive, and ineffective bureaucracy. External auditors are focusing on the risk of fraud occurring when the focus should be on determining if override of internal controls has occurred. The spirit of SOX Section 404 could be better served in a more cost-effective manner through the skilled evaluation of trend analysis, vertical analysis, and ratios.

Effective Internal Controls or Overriding Internal Controls? The principal objectives of the U.S. Sarbanes Oxley Act (SOX) are twofold. The first objective is to minimize the possibility of financial statement fraud occurring within publicly traded corporations. The second objective is to minimize the possibility of external auditors endorsing falsified financial statements. SOX focuses on four areas: corporate governance, regulating external auditing, confidential reporting of financial statement fraud by employees, and internal control over financial reporting. The principle corporate governance mandate calls for strengthening the powers of audit committees (AC) through measures such as having the external auditors report to the AC chairperson as well as mandating Summer 2007 THE FORENSIC EXAMINER 19

CEOs and CFOs to sign quarterly and annual financial statements. Regulating the external auditor revolves around creating the Public Company Accounting Oversight Board (PCAOB) and mandating that companies hire external auditors to provide one service only—the yearly external audit—as opposed to providing multiple services such as audit, consulting, and tax services. The principle SOX confidential reporting of financial statement fraud measure directs that public companies make confidential reporting mechanisms available to all employees. SOX Section 404 addresses internal control over financial reporting. Management must conduct an annual assessment of the design and operating effectiveness of internal controls over financial reporting. The external auditor is required to annually audit and report on the effectiveness of these controls. Most occupational fraud experts agree that the SOX corporate governance, regulation of external auditing, and confidential reporting mandates go a long way toward deterring financial statement fraud. Compliance with SOX Section 404 has, however, caused great controversy. According to Ronald Kruszewski, CEO of Stifel Financial Corporation, “Section 404 is a case study of unintended consequences. The spirit of what Sarbanes-Oxley intended to do, which was to create greater accountability, has morphed into a very detailed, very cost prohibitive, very ineffective bureaucracy” (as cited in Nicklaus, 2005, p. C01). CEOs and CFOs of publicly traded companies have been on the defensive and are reluctant to speak out. More and more executives are, however, asking if SOX Section 404 has turned into an expensive emperor with no clothes. When SOX was introduced in 2002, the U.S. Securities and Exchange Commission (SEC) forecasted an average cost of around $90,000 per company for each annual review of internal control over financial reporting. According to CRA International’s 2005 survey, the average cost for larger companies (market capital $700 mil +) during the first year of Section 404 compliance was $8.5 mil. The key words of Section 404 are internal control over financial reporting. External audit firms appear to interpret the words to refer to internal controls in general. The CRA study (2005) cited earlier in this article found external auditors reviewed on average 669 in20 THE FORENSIC EXAMINER Summer 2007

ternal controls within audited companies, including controls on petty cash, travel expense, and other relatively minor line items. Reviewing internal controls is an excellent idea if the objective is to minimize the risk of occupational fraud occurring within a particular area. Reviewing internal controls, however, has little or no value if the objective is to prevent financial statement fraud. Financial statement deception is not a result of defective internal controls. Financial statement fraud is a result of management overriding effective internal controls already in place. The internal controls in place at Enron and WorldCom were effective. Most of the financial reporting at both companies was correct. The problem was that management overrode internal controls in order to carry out periodic and selective financial statement falsifications. The issue is not the risk of a breakdown in internal controls; the issue is management override of effective internal controls already in place. Imagine for a moment that SOX was initiated prior to the WorldCom bankruptcy. Based on current experience, the external auditors at WorldCom would have interpreted Section 404 to mean a thorough review of all internal controls. The external auditors would likely have found that the WorldCom internal controls were effective. Section 404, as currently interpreted, will not prevent another Enron or WorldCom. The emphasis should not be on the risk of fraud occurring. The emphasis should be on the detection of financial statement cheating that has already occurred. External audit firms should consider including a financial statement fraud audit as the principal component of their review of internal controls over financial reporting. Such an audit would greatly improve the probability of detecting irregularities in the books. A review of internal controls without a fraud audit may raise red flags that financial statement fraud could occur, but it gives no indication that such a fraud has occurred. A financial statement fraud audit is much less time consuming than an internal control review, and it requires fewer auditors to carry it out. The financial statement fraud audit’s cost would be much closer to the SEC’s original $90,000 per company estimate for Section 404 compliance.

Financial Statement Fraud Audit Occupational fraud is likely to occur when

four elements come together in the mind of the fraud perpetrator: pressure, rationalization, opportunity, and a perception of impunity. Financial statement deception is an occupational fraud. Only the highest-level employees, however, have the opportunity to carry out this type of deception. They are in a position to order a subordinate to post false accounting entries. CEOs and CFOs can come under tremendous pressure to get positive results. They can rationalize to themselves that their deception is buying time to ultimately save the company from financial ruin, thinking things will get better in the future. Or, as is often the case, they are buying time to provide themselves with enough financial gain by selling off their own shares in the company. Anyone in a top management position is vulnerable. Perhaps the straw that breaks the camel’s back is the final element: the perception that they can get away with it, which sometimes comes with the office. A certain sense of omnipotence develops. Fraud has always been a difficult issue. No amount of internal controls will stop the resolute manager bent on fraud from accomplishing his or her mission. Measuring the risk that management override could occur is, at best, not very effective or accurate. Imagine that external auditors find that the CEO is an arrogant, dictatorial type and that the company being audited is going through some difficult times. Consequently, the external auditors report to the AC Chairperson that the tone at the top leaves much to be desired, and there is a high risk that the CEO may practice financial statement fraud. The AC Chairperson is likely to reply, “I understand the risk, but is the CEO actually practicing financial statement fraud?” The AC chairs do not want to hear suppositions; they want hard facts and concrete evidence. People tend to shy away from the word fraud. The topic is embarrassing, perhaps due to everyone’s use of deception at one time or another. Occupational fraud can be as non-consequential as deliberately taking a pencil home from work to the financial statement deception at Enron and WorldCom. External auditors, like everyone else, tend to keep the fraud word at bay. However, they are deceiving themselves if they think that a review of internal controls will mitigate the risk of a major

financial statement deception occurring in the future. If they continue to focus only on internal controls, external audit firms must accept a high probability of being sued by angry stakeholders when financial statement fraud that escaped their detection is revealed. The standard audit of a company’s financial statements verifies the fair presentation of the data and compliance with Generally Accepted Accounting Principles (GAAP). Searching the financial data for anomalies, deviations from the norm, and outliers seems to have become a lost art among external auditors. External auditors need to explore the possibility of management override of internal controls. They should consider the need to conduct a financial statement fraud audit. The fraud audit involves requesting all the financial statements and footnotes from management for several years. The financial statements would not be the standard reports compiled for public issue. These contain too many opportunities for concealing fraudulent numbers in summary totals and lengthy footnotes. Instead, the auditor should receive and work with the detailed financial information prepared for management decision makers. The auditor should then perform a vertical and horizontal analysis of the numbers including appropriate ratios calculation. Special attention should be given to the footnotes. A similar analysis should be conducted on quarterly financial statements. The audit’s extent would depend on the degree of risk the auditor perceived. How the auditor perceived the tone at the top would weigh heavily in determining the extent of the financial statement audit. Current technology permits maintenance of financial data in spreadsheet form. As a result, most companies maintain their records in a standardized format that is easily transferred into a worksheet for analysis and generation of internal reports. The data input could be carried out by junior members of the audit team. It should be a short, easy step to copy and paste the data into an auditor-generated worksheet using a template to maintain consistency in form. Subroutines could be created to generate vertical and horizontal analyses, ratios, and graphs as the data is entered. Based on this initial standard output, further analysis could be generated on line-items deemed critical to the audit.

After the data is assembled in the worksheet in a standardized form, analysis of it is limited only by the imagination and needs of the analyst/auditor. A diligent senior auditor experienced in reviewing financial statements and interpreting the changing numbers and ratios should conduct the output analysis. Ultimately, there is no substitute for the human factor. Knowledgeable interpretation of the output is vital to success in detecting fraud. Perhaps the operative term to apply to the fraud audit would be vigilance. Auditors, both senior and junior, should be ever alert and wary. When line-item increases or decreases do not make sense, they should solicit explanations from the appropriate management. Their answers should be combined with examination of the accounting records and source documents. If this does not satisfy the auditor, he or she should consider conducting a financial statement fraud assessment interview. He or she should first conduct interviews with lower-level financial employees who posted or approved questionable accounting transactions. The questionable transactions and interviews may indicate the need to conduct further interviews with higher-level management, all the way to the top if necessary. The financial statement fraud assessment interview phase is critical. Interviewers must be experienced accountants, but they also need to be experienced fraud assessment interviewers. A capable, high-level manager intent on committing fraud will search for ways to beat the financial statement audit program. When collusion occurs, as with Enron and WorldCom, no amount of internal controls can prevent the commission of a crime. Financial statement fraud audits conducted at regular intervals should, however, detect fraud and minimize the damage caused by an unprincipled manager. External auditors should keep the audit program flexible and unpredictable. They could consider, for example, asking management for up to ten prior periods of financial statements and footnotes. The extent of the actual analysis could vary over time and would depend on the risk the auditor perceived. For any given audit year, analysis might begin with the most recent 3 years. If examination of the results raises unanswered questions, the analysis can be extended to cover whatever time period deemed necessary.

Conclusion External auditors currently interpret SOX Section 404 to mean a thorough general review of internal controls. Section 404 could, more appropriately perhaps, be interpreted as a review to determine if top management has overridden existing, effective, internal controls. The cost of the latter to the audited company is only a fraction of the cost of an extensive audit of internal controls. Revival of the lost art of financial analysis through a financial statement fraud audit would satisfy SOX 404 and be more cost effective. References

Nicklaus, D. (2006, January 26). Businesses are pushing against requirements of Sarbanes-Oxley act. St. Louis Post Dispatch, p. C01.

About the Authors Diarmuid Hurley, MBA, Cr.FA, is a forensic accountant based in Mexico. His background is primarily internal auditing with various multinationals. He has taught fraud prevention at the Tec de Monterrey Mexico City campus. He owns and operates a forensic auditing firm, Sullivan Miranda, S.C. (www.smiranda.net), which he founded in 1998. David Boyd, CPA, CMA, CFM, Cr.FA, is professor of accounting and finance at Jacksonville University, in Jacksonville, Florida. He has published in numerous journals and is active in several professional organizations. Dr. Boyd has taught at universities in the United States, Europe, and the Caribbean. He and his wife, Cendy, operated a public accounting practice for several years before he resumed his teaching career.

Earn CE Credit To earn CE credit, complete the exam for this article on page 76 or complete the exam online at www.acfei.com (select “Online CE”).

Summer 2007 THE FORENSIC EXAMINER 21

Basics for Physicians and Allied Health-Care Providers

Key Words: bioterrorism, biological agents, Category A, decontamination

This article is approved by the following for continuing education credit: (ACFEI) The American College of Forensic Examiners International provides this continuing education credit for Diplomates. (CHS) The American College of Forensic Examiners International provides this continuing education credit for individuals Certified in Homeland Security. (CMI) The American College of Forensic Examiners International provides this continuing education credit for Certified Medical Investigators. (CFN) The American College of Forensic Examiners International provides this continuing education credit for Certified Forensic Nurses. (CABRN) The American College of Forensic Examiners International is approved by the California Board of Registered Nursing, Provider Number 13133 for 1 contact hour. (ACCME) The American College of Forensic Examiners International is accredited by the Accreditation Council for Continuing Medical Education to provide continuing medical education for physicians. This activity has been planned and implemented in accordance with the Essential Areas and Policies of the Accreditation Council for Continuing Medical Education (ACCME). The American College of Forensic Examiners International designates this educational activity for a maximum of 1 hour AMA PRA Category 1 Credits TM. Physicians should only claim credit commensurate with the extent of their participation in the activity.

This article was previously published in the Missouri State Chiropractic Association’s newsletter. The Forensic Examiner is now the exclusive copyright owner.

22 THE FORENSIC EXAMINER Summer 2007

Abstract Bioterrorism has become a buzzword causing apprehension, fear, and confusion. Using biological agents to poison food and/or water supplies, precipitate outbreaks of disease, and disrupt and overwhelm the health-care delivery system is thought to be a likely possibility. This article provides relevant, practical, and logical information regarding some of the agents bioterrorists may use. The first patient exposed to a biological agent in a deliberate attack, instead of presenting at an emergency department, may present at a physician or allied health-care provider’s office. It behooves all health-care providers to understand the basics of food-borne biological attacks and the biological agents that could be used to precipitate a deliberate outbreak of disease. This article presents symptoms of the diseases, vaccinations, treatments, and how to limit risk of exposure. It also provides recommendations for decontamination and what to do if you think you, your staff, or your office has been exposed to a biological agent.

Definitions

Terrorism (FBI)—The unlawful use of force against persons or property to intimidate or coerce a government, the civilian population, or any segment thereof, in furtherance of political or social objectives. Biological Attack—The deliberate use of microorganisms or toxins derived from living organisms to induce death or disease in humans, animals, or plants. BioTerrorism—A terrorist activity that employs a biological agent as the means of force. CDC Bioterrorism Agent Categories—In June 1999, the Center for Disease Control (CDC), the Department of Health and Human Services (HHS), law enforcement, military, and public-health experts met to define and categorize the various agents of potential use by bioterrorists. The agents were placed into categories A, B, and C, according to their ease of dissemination, potential for public-health impact, and potential for public panic and social disruption. Category A agents have the highest potential for damage and include anthrax, smallpox, plague, tularemia, botulism, and viral hemorrhagic fevers.

Bioterrorism Versus Emerging Naturally Occurring Infectious Disease Some of the diseases caused by bioagents occur naturally and may be seen in relation to various occupational/recreational diseases. In determining whether a biological attack has occurred, physicians and public health specialists investigate whether the disease is a normal occurrence for the particular geographic area. Infectious disease specialists will define whether the disease has occurred out of the natural season for its presentation or if the age of the infected individual

is unusual. The investigation will determine whether there are multiple clusters of patients with similar clinical symptoms. These factors will assist in determining if a biological attack has occurred. Other indications of an intentionally released biologic agent include an unusual temporal or geographic clustering of illness (i.e. persons who attended the same event or gathering) and patients presenting with signs and symptoms suggestive of an infectious disease (i.e. numerous patients with unexplained fevers or flu-like symptoms;

KRT illustration by Michael Hogue, The Dallas Morning News

By Howard J. Levinson, DC, DABFE

Summer 2007 THE FORENSIC EXAMINER 23

Salad Bar Salmonella By Kristin Crowe, Associate Editor hile many view bioterrorism as a possible future threat, most do not realize that this kind of terrorist act has already been put into action on American soil or that it happened before the anthrax threat. In 1984 in The Dalles, Oregon, 751 people fell ill due to Salmonella Typhimurium contamination (Andersson, 2001). However, this was not known to be an act of bioterrorism until more than a year had passed and it was discovered during the investigation of other charges (Grossman, 2001). Although this is the only proven intra-United States act of bioterrorism, it offers a unique look at the possibility of bioterrorism in the United States. A religious group called the Rajneeshees, which followed a man by the name Bhagwan Shri Rajneesh, began to assemble in 1981 (Flaccus, 2001). The Rajneeshees came from all corners of the world and followed Bhagwan from India when he immigrated to the United States. Several thousand members strong and living on a 100-square-mile ranch that they had incorporated as a commune with a school,

increased cases of pneumonias, respiratory failures, and neuropathic disorders; the onset of unusual skin rash occurrences, etc.). Biological Food Contamination Food supplies may be targeted by bioterrorists. In 1984, the Bhagwan Shree Rajneesh Cult in Oregon cultured Salmonella in a basement laboratory. Members of the cult contaminated salad bars in grocery stores and restaurants. The goal was to keep enough voters away from the polls to affect the results of a local election. Over 700 cases of Salmonellosis were reported, however no deaths occurred. In 1996 in Dallas, Texas, a disgruntled lab technician fed her coworkers pastries laced with Shigella bacteria obtained from work. Several of her coworkers got dysentery. In May 2006, muffins containing THC, the psychoactive ingredient in Marijuana, 24 THE FORENSIC EXAMINER Summer 2007

hospital, and police force, the Rajneeshees took over the city council of the nearby town of Antelope, which had a population of 95 (Flaccus). They renamed Antelope Rajneesheepuram and made it an extension of the ranch (Andersson, 2001). Antelope, or Rajneesheepuram, however, was not enough for Bhagwan—he wanted The Dalles, too. Oregon’s attorney general declared that it was unconstitutional for The Rajneeshee Cult to take over The Dalles because that would be a merger of church and state (Andersson, 2001). To

fight this, they planned to take the sheriff ’s office and two or three judgeship positions in Wasco County in the 1984 county election (Flaccus, 2001). The members were unable to run in the election, but they intended to have enough write-in votes to win (Magnuson, 1984). To rig the election and ensure their win, the cult planned to contaminate The Dalles’ water supply, making voters sick enough to keep them from voting. In addition to making The Dalles community sick, the Rajneeshees issued a

sickened 15 teachers and 3 support personnel at a Dallas high school. There have been several recent incidents of serious abdominal complaints on cruise ships, and the cause of these symptom clusters is still under investigation. Many of our states do not raise a significant portion of the food the residents eat. Foodstuffs must be stored and transported for distribution. Centralized food storage and large distribution centers may provide an easy target for opportunistic bioterrorists.

is important in limiting the spread of these diseases. There are no vaccines available for these diseases. Care is often only supportive. The very young or old are susceptible to complications, which are potentially fatal. Once cultured by a bioterrorist, these organisms could be covertly applied to food supplies at distribution centers, restaurants, grocery stores, and local markets to precipitate a significant outbreak of diarrheal disease. Something as simple as using a plastic spray bottle to spread a disease organism over food supplies could easily contaminate grocery or salad bar items. The health-care delivery system and public health resources would be required to respond to a large-scale outbreak. Panic and a disruption in food distribution are likely results the bioterrorist desires.

Diarrheal Diseases Food contamination’s symptoms are generally non-specific, including abdominal cramping and pain, diarrhea, and nausea. The diarrheal diseases are contagious when good personal hygiene is not practiced. Many are transferred through fecal-to-oral route. Good hand washing after defecation

countrywide invitation to homeless people, opening their community and houses to provide homes for those who wanted to come. The Rajneeshees bused willing participants to Rajneesheepuram, “enticing them to come live on their pastoral spread with promises of vegetarian meals and an unharried atmosphere” (Magnuson, 1984). As many as 3,500 street people were brought into Rajneesheepuram, and Ma Anand Sheela, Bhagwan’s personal secretary, announced that they were all going to register to vote in the 1984 election (Magnuson). The county had 14,000 non-Rajneeshee voters, and only 5,500 Rajneeshee voters (including the homeless), but between the intended illness of many citizens of The Dalles and the addition of the homeless people to the voter pool, the Rajneeshees thought they were guaranteed at least some control of Wasco County after the election (Magnuson). The county clerk, Sue Proffitt, recognized the problems that registering the myriad homeless people could cause. She stopped voter registration on October 10 after thousands of homeless people, then living in the Rajneeshee commune, had tried to register (AP, 1984). All new applicants were automatically rejected and each applicant was required to seek a hearing to decide his or her eligibility to vote (AP). This effectively stopped the massive Ra-

jneeshee registration drive. Thus, the Rajneeshee had to rely almost solely on their already-planned act of bioterrorism. The Rajneeshees considered using AIDS and Salmonella typhi, which could cause, among other things, typhoid fever and hepatitis, but they settled on food poisoning by Salmonella typhimurium (Andersson, 2001). Members bought bactrol disks from a Seattle medical supply company and began creating what they called salsa with an incubator and a freeze dryer (Andersson). However, the Rajneeshees never got to implement the main part of their plan to contaminate The Dalles’ water supply because the practice run with their salsa made approximately 750 people ill. The group decided to test their concoction in glasses of water given to officials that visited the ranch, on doorknobs and urinals in government buildings, and sprinkled on produce in a local grocery store (Andersson, 2001). These experiments did not produce the results the Rajneeshees wanted, so they sprinkled the salsa on approximately 10 salad bars in area restaurants. It only took 4 days for local doctors to identify Salmonella typhimurium as the source of illness for the 751 people who were complaining of nausea, diarrhea, headache, and fever (Andersson). The contamination was traced to the salad bars, costing the restaurants and

their owners (Flaccus, 2001). The owner of Shakey’s Pizza Restaurant at the time was Dave Lutgens, who lost money both because of a decrease in sales and because of liability claims when his customers became sick (Flaccus). Not just a few of his customers were afflicted, either. Around 400 people who had eaten at Shakey’s became ill, and Lutgens was “thinking it was dirty employees or hepatitis” when health inspectors closed the salad bar (Flaccus). Because of the number of health inspectors and investigators who went to The Dalles after the attack, the Rajneeshees were unable to continue their planned attack on the water system (Grossman, 2001). It took over a year for officials to realize that all the Salmonella typhimurium strains were the same, causing all of the illnesses (Andersson, 2001). Still, it was not until 1986, after the entire Rajneeshee community collapsed, that the cult was found to be the originator of the outbreak (Flaccus, 2001; Grossman, 2001). Information that led to this discovery was given during an investigation of the community on wiretapping and immigration fraud charges, and “an S[almonella] Typhimurium strain found in a laboratory at the commune was indistinguishable from the outbreak strain” (Torok et al., 1997). None of the 751 salad bar frequenters died due to this attack, and most Ameri-

Salmonellosis. This common, naturally occurring diarrheal disease is caused by a bacteria called Salmonella. The bacteria live in the intestinal tracts of humans and other animals including birds. Transmission occurs by eating foods contaminated with animal feces. Contaminated food usually looks and smells normal. Most persons infected with the Salmonella bacteria develop diarrhea, fever, and abdominal cramps 12 to 72 hours after infection. If a definitive diagnosis is required, laboratory analysis of the patient’s stool will identify the Salmonella organism. Salmonella infections usually resolve within 5–7 days and often do not require treatment unless patients become severely dehydrated or the infections spread from the intestines. Dehydration is treated with intravenous fluids. If antibiotics are required, gentamicin, trimethoprim/sulfamethoxazole, or ciprofloxacin are recommended.

There is no vaccine to prevent Salmonellosis. Thorough cooking kills Salmonella bacteria. Animal products should be well cooked and individuals should not consume raw or unpasteurized milk or other dairy products. Cooking surfaces, knives, and hands should be washed regularly during food preparation of animal products to avoid cross contamination. Frequent and thorough hand washing after using the bathroom is essential.

swimming in contaminated water can also cause Shigella infections. Incubation occurs 1–4 days after exposure. Most persons infected with shigellosis develop diarrhea, fever, and stomach cramps within 1 or 2 days of exposure. The diarrhea is often bloody. The disease usually resolves in 5–7 days, although for some patients, it may be several months before bowel habits are entirely normal. In some, especially the young or elderly, the diarrhea can be severe, requiring IV hydration. If required, diagnosis is made on laboratory examination of the infected patients’ stool. Shigellosis can usually be treated with antibiotics, most commonly ampicillin, trimethoprim/sulfamethoxazole, nalidixic acid, and ciprofloxacin. Some Shigella bacteria have become antibiotic resistant, so judicious use of antibiotics is suggested. There is no vaccine for Shigella. Hand washing,

Shigellosis (Bacillary Dysentery). Shigella are a group of bacteria that cause shigellosis. Shigella infections can be acquired by eating contaminated food. Infected food handlers who fail to follow sanitary measures during food preparation or after using the bathroom may contaminate food. The food may also be infected if harvested from a field containing sewage. Drinking or

Summer 2007 THE FORENSIC EXAMINER 25

cans are unaware that it even took place. This first bioterrorist attack on American soil did not garner much attention. A study of the attack was not published at the time because federal officials and investigators were afraid that there would be a copycat attempt (Elmer-Dewitt, 2001). The Dalles, Oregon, community does not use this as their claim to fame. In fact, people who live there would like for it to be forgotten (Flaccus, 2001). The small, struggling town needs new industry and is fighting a weak economy, and publicity about the attack could hinder growth (Flaccus). Additionally, many of the victims of the attack are still living in The Dalles 20 years later, and the memories of the 1984 attack are not happy ones. The 1984 Wasco County clerk, Sue Proffitt, was one of the 751 poisoned townspeople. She said, “We lived with that fear on a daily basis. . . . We understand in The Dalles how bioterrorism can happen” (Flaccus). In 1984, no one thought the outbreak could be bioterrorism; it was inconceivable to most. It took an entire year for authori-

ties to discover that the outbreak was actually an act of terrorism, and then it was only found because of key information revealed during a separate investigation and trial. This group worked from inside the United States, and there is no record of an escalation of violence leading to the bioterrorism attack (Andersson, 2001). Much has changed since 1984. We better understand the possibilities of biological warfare and bioterrorism. There are procedures and restrictions in place to protect the American people. Yet, we are still vulnerable to an attack, and United States citizens should know the signs and symptoms of a bioterrorist attack and how to protect themselves. We cannot leave the protection of our country and ourselves only to those who have the right job title; we must take an active role in shielding our country from potential attacks or, when necessary, in containing a real attack on American soil.

attention to basic food safety precautions, and avoidance of potentially contaminated drinking water can limit the potential for infection. Experts have identified Shigella as a concern in the post-Katrina hurricane evacuation environment. Evacuation centers house large numbers of people in one area. This increases the person-to-person contact and the likelihood of an infected person being present in the evacuation center. If toilet and hand washing facilities are inadequate for the number of people, maintaining hygiene may be difficult. Hemorrhagic Colitis. This illness results from the ingestion of the Escherichia coli bacterium (E. coli 0157:H7 antigen type). E. coli is a bacteria strain that lives in the intestines of humans and animals and is normally found in lakes, streams, and canals. The vast majority of E. coli strains are harmless. E. coli 0157:H7 is commonly found in the intestinal tract of cattle and is found in ground beef. However, cooking over 165 degrees Fahrenheit destroys the bacteria. Transmission is fecal-oral and has been noted in 26 THE FORENSIC EXAMINER Summer 2007

The Associated Press. (1984, November 7). Guru’s followers lose plea on poll watchers. The New York Times. Retrieved February 23, 2007, from http://query. nytimes.com/gst/fullpage.html?res=9FOCE7DA1039F 934A35752C1A962948260&n Elmer-Dewitt, P. (2001, October 8). America’s first bioterrorism attack. Retrieved February 22, 2007, from http://healthandenergy.com/america’s_1st_bioterrorism_attack.htm Flaccus, G. (2001, October 19). Ore. Town never recovered from scare. The Associated Press. Retrieved February 22, 2007, from http://rickross.com/reference/ rajneesh/rajneesh8.html Grossman, L. K. (2001, January/February). The story of a truly contaminated election. Columbia Journalism Rreview. Retrieved February 22, 2007, from http:// www.rickross.com/reference/rajneesh/rajneesh4.html Magnuson, E. (1984, October 22). Whose home is this? Time Magazine. Retrieved February 23, 2007, from http://www.time.com/time/magazine/article/ 0,9171,951332,00.htm Torok, T. J., Tauxe, R. V., Wise, R. P., Livengood, J. R., Sokolow, R., Mauvais, S., et al. (1997, August 6). A large community outbreak of salmonellosis caused by

References

intentional contamination of restaurant salad bars. The

Andersson, P. (2001, June). The Rajneeshee cult. Re-

Journal of the American Medical Association, 278(5). Re-

trieved February 22, 2007, from http://hem.passagen. se/jan.olofsson/biowarfare/history/rajneeshee.html

trieved February 27, 2007, from http://jama.highwire.

naturally occurring instances among toddlers in diapers. The incubation period for E. coli 0157: H7 is 2–8 days after exposure with patients experiencing significant abdominal symptoms. Treatment is usually supportive. The organism is sensitive to antibiotic therapy; however, the use of antibiotics does not seem to significantly improve symptoms. Basic food safety precautions and personal hygiene are important means to avoid infection. E. coli bacteria were measured in flood waters after Hurricane Katrina. The E. coli bacteria detected were not the 0157 strain. However, individuals should be instructed to leave any areas contaminated with sewage.

Botulinum Toxin. There has been a recent emphasis in the media on this very potent toxin and its associated benefits in the cosmetic surgery arena. Botulism toxin is produced from the anaerobic Clostridium botulinum organism. The toxin can be dispersed by ingestion, inhalation, or injection. There is a vaccine available through the CDC; however, it must be given prior to exposure. The known natural route of exposure is from the ingestion of improperly processed, canned, or smoked meats. Botulism toxin is a nerve toxin that affects the nervous system 12–36 hours after exposure; clinical features include headache, fatigue, dry mouth, and nausea if ingested. Experts note cranial neuropathies including blurred vision, diplopia (double vision), ptosis (drooping eyelids), weakened jaw clench, and difficulty speaking and swallowing. Flaccid paralysis occurs, beginning with the eyes and progressing symmetrically downward, proximal to distal, leading to respiratory paralysis if the chest muscles and diaphragm are involved. In cases of ingestion exposure, if the suspect food is still in the gut, induced vomit-

Toxins Toxins are naturally occurring poisons produced by living organisms such as bacteria, fungi, plants, and animals. These natural toxins can be more toxic and lethal than many synthetic toxins. They are usually odorless and tasteless, which makes them desirable to bioterrorists.

org/cgi/content/abstract/278/5/389

ing may prove useful. Potentially exposed clothing and skin should be washed thoroughly with soap and water and decontaminated with a bleach solution. The CDC maintains a supply of antitoxin against Botulism. Treating progressive cases includes ventilator support. Death is usually a result of asphyxia. Ricin. This toxin is made from Castor beans. In 1995, Canadian authorities arrested an Arkansas man who was trying to bring Ricin powder across the border. The man hung himself in his jail cell after his arrest. In 2003, employees at a South Carolina mail processing facility discovered an envelope with a threatening note and a sealed container. The note threatened to poison water supplies. An analysis confirmed the presence of Ricin in the container. Authorities intervened and the resulting investigation determined that no persons exhibited symptoms of Ricin exposure. Ricin exposure usually indicates a deliberate act of bioterrorism. Ricin can be ingested, inhaled, or injected. As early as 4–8 hours post exposure, the clinical symptoms include weakness, chest tightness, and cough progressing to pulmonary edema and respiratory failure within 36–72 hours. There is no vaccine or antidote available. Treatment for inhalation cases would include pulmonary toilet, oxygen, and/or mechanical ventilation support. If a patient is suspected of ingesting Ricin, do not induce vomiting. Instead, use activated charcoal administration. Gastric lavage may be helpful if the patient presented within an hour of exposure. Vasopressors may be required. A common geographic factor without a common dietary location may indicate an aerosolized contamination. An unusual number of sick or gravely ill patients presenting in a region could indicate a toxin attack. Patients suspected of being exposed to Ricin must leave the area of exposure immediately. Recommendations include removing clothing, washing with soap and water, and disposing of the contaminated clothing. Physicians must report any suspected cases of Botulism or Ricin poisoning to public health authorities within 24 hours. Smallpox Smallpox is caused by the variola virus and has two strains: variola major and variola minor. Variola major, the classic smallpox,

was predominant in Asia and has a mortality rate of at least 30%. Variola major is considered to be the agent a bioterrorist would most likely use. Variola minor was predominant in North America and has less severe prodrome and rash than variola major, with a milder course of disease. Infected persons transmit smallpox through close contact with others. Saliva contact can transmit the virus by droplet infection, cough, and so on. The virus is contained in the pustules and scabs of the rash that occurs. The virus can contaminate bedding and clothing, which can be transmitted from person to person. The patient is considered infectious and able to spread the disease from about 1 day before the rash occurs until the rash is crusted over. The patient may not be infectious during the incubation period. Smallpox can be aerosolized for surreptitious dissemination using spraying devices. Some hypothetical situations involve infected and contagious terrorists coughing and sneezing in public places to spread the disease. There are three stages of disease progression: incubation, prodromal (pre-eruptive), and eruptive. Incubation stage is usually 12–14 days post exposure. This lengthy incubation period makes the agent difficult to track in the early stages of a bioterrorism attack. The prodromal stage includes common flu-like symptoms such as high fever (above 101°F), prostration, headache, myalgia, lower back pain, and occasionally, abdominal pain, vomiting, and delirium. The high fever occurs 1–4 days prior to the development of the rash. The eruptive stage involves the development of the characteristic smallpox rash. The rash appears in centrifugal fashion. The lesions first appear on the oral mucosa, palate, face, and forearms; it appears later on the palms and soles. Lesions appear sparingly on the trunk. The lesions are firm to touch. The lesions all appear to be in the same stage of development as they go from pustule to vesicle to crust. The characteristic prodrome, high fever, very ill appearance, and the centrifugal rash with lesions on palms and soles, are the predominant telltale signs differentiating from other rash-type illnesses such as chickenpox. A single case of smallpox is a public health emergency. Physicians must immediately isolate a patient suspected of having

smallpox and notify the local public health authorities. The patient will require treatment in a controlled environment with isolation precautions. Treatment is primarily supportive. An investigation will identify all recent close contacts with the patient to identify potentially infected individuals. Bedding and clothing suspected of contamination should be laundered in hot water with a bleach solution. Surfaces such as tables and sinks thought to be contaminated can be disinfected with a 1:9 bleach solution or a hospital-type disinfectant. Smallpox Vaccination. Smallpox vaccination is accomplished using the vaccinia virus. Persons vaccinated in the 1970s are not likely to have any protection against smallpox. Currently, there are only about 15 million doses of smallpox vaccination, but recent studies may lead to expanding the dose number by dilution. The vaccine is administered into the superficial skin with a bifurcated needle. Post-exposure vaccination—within 3–5 days of contact—can effectively prevent or decrease the disease’s severity. CDC has recommended that the smallpox patient’s close contacts all get vaccinated. The undiluted Dryvax vaccine, produced in the 1970s, will initially be used to fight smallpox. The vaccine effectively prevents smallpox and has rare, but serious adverse reactions. Such adverse reactions occasionally occur in patients with Eczema, immunocompromised status, and moderate or severe illnesses. Recent vaccinations indicate that some vaccinees experience cardiac complications. The etiology for this reaction is under investigation. On receiving the vaccination, one must avoid transferring the virus from the vaccination site to other areas of the body. Abrasions or otherwise open skin areas can become infected with vaccinia virus. The vaccination site will be covered with gauze, but virus contamination to clothing and secondary contamination through contact with the clothing are possible. Other adverse reactions include a generalized vaccinia rash, necrosis at the vaccination site, and post-vaccination encephalitis. Using historical data from previous smallpox vaccinations, researchers anticipate that per one million vaccinations the following will occur: A) 49–9000 serious but not life threatening events, B) 14–52 life-threatening events, and C) one to two deaths. A 2003 report defining the results of the ciSummer 2007 THE FORENSIC EXAMINER 27

Widened Mediastinum associated with Inhalational Anthrax

vilian and military population vaccination programs indicates a possible relationship between the vaccine and development of myocarditis, pericarditis, and/or myopericarditis. The relationship is still under investigation.

Rash Distribution

Anthrax The anthrax disease occurs naturally in grazing animals such as goats, cattle, and sheep. The gram-positive rod bacteria Bacillus anthracis causes the disease. Animal-handling industry workers, such as ranchers and sheep shearers, are at higher risk, especially in countries without public health regulations. Anthrax is a likely agent for terrorists to use. Anthrax is stable and spores can remain viable in soil and animal products for years. It can be processed into a powder or liquid for dispersal. Terrorists could use various spraying devices to spread the organism. The fall 2001 anthrax attacks clearly show how easily this deadly agent can be dispersed. Using the postal service, the perpetrator was able to cause death, illness, panic, and disruption of our economic, political, and social activities for the price of a stamp. Anthrax is clinically identified in three forms: cutaneous anthrax, gastrointestinal antrax, and inhalational anthrax. Cutaneous Anthrax. Cutaneous anthrax occurs when the bacteria is introduced through an open wound in the skin. This is the most common form seen in the occupational arena. The first sign of infection is a small reddish papule that forms within a week of the inoculation. The papule becomes a fluid filled vesicle with surrounding tissue edema. The vesicular fluid contains anthrax bacteria. The vesicle ruptures and a painless black eschar forms. Local lymphadenopathy, myalgia, headache, and fever may accompany cutaneous anthrax.

Vesticles 28 THE FORENSIC EXAMINER Summer 2007

Pustules

Gastrointestinal (GI) Anthrax. Naturally occurring GI anthrax happens when one

eats undercooked meat from an infected animal. The bacteria may germinate in the mouth, esophagus, or upper GI, causing an ulcer. The infection produces toxins that may produce septicemia. The spores can further germinate in the lower GI tract. Mesenteric lymphadenopathy, acute abdominal pain, and bloody vomitus and stools are noticable. Post-mortem examiners usually make the diagnosis. Inhalational Anthrax. Inhalational anthrax occurs when the bacteria are aerosolized and inhaled through the air. The spores reach the lung alveoli where white blood cells engulf the spores and transport them to the lymph nodes. Incubation period is commonly 3–4 days; however, it may extend up to 60 days while the spores germinate in the lymph system. The disease presents in two stages. The first stage is accompanied by non-specific flu-like symptoms for 2–5 days. The second stage reveals a markedly worsening condition with acute respiratory distress, sepsis, and shock. Diagnosis is made with appropriate laboratory studies. Data from the 2001 anthrax cases indicate that a widened mediastinum appears on chest X-rays within 48 hours of the appearance of symptomology. Treating all anthrax forms includes aggressive antibiotic therapy with ciprofloxacin or doxycycline and one or two of the following: rifampin, vancomycin, imipenem, chloramphenicol, penicillin, ampicillin, clindamycin, or clarithromycin. Exposed persons should decontaminate with soap and water. Surfaces exposed to the bacteria require cleaning with hospital disinfectants. Some cases warrant post-exposure prophylaxis with antibiotics. Plague The plague, or Black Death, was first recorded in 541 AD during an outbreak that killed over half the population of North Africa. In 1855, a Chinese pandemic killed more than 12 million. Plague is actually Yersinia pestis—an acute bacterial disease caused by a gram-negative bacillus with a safety pin appearance. The disease occurs naturally and can be spread by a bite from an infected flea. The California ground squirrel, prairie dogs, chipmunks, rodents, wild rabbits, dogs, and cats can be sources of the disease. Transmission occurs from animal-to-animal and animal-to-human by infected fleabite. Humans can contract plague by handling

infected animals with the organism entering the skin through an open wound. A person may also inhale active plague bacilli from an infected person’s cough or through inhalation of the bacteria that has been aerosolized, such as in a bioterrorism event. There are three types of plague: bubonic plague, speticemic plague, and pneumonic plague. Bubonic Plague. This form is evident 2–8 days after a bite from an infected flea or an infection through an open wound. The patient develops a fever and swollen and painful lymph nodes, usually unilateral. The lymph node (bubo) may be hot to the touch. This form is common in the inguinal and femoral nodes (groin area) in the adult. The bacteria is present in drainage from an open bubo; however, the person is not otherwise contagious. Septicemic Plague. This form occurs when the bacteria enters the bloodstream and may follow untreated bubonic plague. Easily palpable buboes do not form as the infection becomes generalized throughout the bloodstream. The patient experiences fever, chills, prostration, abdominal pain, shock, and bleeding into the skin and other organs. This form causes the characteristic blackening, gangrenous infections of the fingers, toes, and nose, which is likely the reason the plague is termed Black Death. Pneumonic Plague. Primary pneumonic plague occurs when a patient inhales the plague bacilli. The incubation period is typically 2–3 days but may be as long as 10 days. The patient presents with flu-like symptoms and fever. Within 24 hours of prodrome, chest discomfort occurs and coughing and difficulty breathing develop. Hemoptysis (coughing up blood) and worsening respiratory distress follow. The sputum contains the bacteria and the cough is productive for infectious droplets, making the patient quite contagious. A chest X-ray will reveal patchy infiltrates bilaterally. Antibiotic therapy is effective if given quickly, within 24 hours of presentation of symptoms. The plague is nearly 100% fatal if untreated and 20–60% fatal if treated rapidly. Antibiotics such as doxycycline, streptomycin, gentamycin, tetracycline, and chloramphenicol are effective therapies. Droplet precautions should be used in contact with these patients, at least until the patient has completed 72 hours of

Tissue Destruction associated with Septicemic Plague (Black Death)

antimicrobial therapy. Standard hospital disinfectants are effective for cleaning. Currently, no effective vaccine exists. Tularemia Tularemia is a bacterial zoonosis caused by a gram-negative coccobacillus called Francisella tularensis. Tularemia is one of the most infectious pathogenic bacteria with potential biological terrorist use. It only requires inoculation or inhalation of as few as ten organisms to cause disease. Tularemia is an occupational hazard for persons who handle animals; hunters, trappers, and skinners especially face risk. During the period 1990–2000, 44 states reported a combined total of 1,368 tularemia cases to the Center for Disease Control. Most persons acquire the infection from arthropod bites—particularly tick bites—or from contact with infected animals, mainly rabbits. Tularemia presents in three primary forms: ulceroglandular tularemia, typhoidal tularemia, and pneumonic tularemia. Ulceroglandular Tularemia. Ulceroglandular tularemia arises from the handling of a contaminated animal or following the bite of an infected tick. Incubation period for symptoms can vary from 2–5 days. A local cutaneous papule appears at the inoculation site and ulcerates within a few days. The patient will experience an acute febrile illness accompanied by headaches, chills, generalized body aches, back pain, and nausea. The regional lymph nodes may become enlarged and tender within several days of the appearance of the papule. Summer 2007 THE FORENSIC EXAMINER 29

Typhoidal Tularemia. Typhoidal tularemia is used to describe the disease in patients who have systemic infections without signs indicative of a cutaneous or mucosal inoculation. These patients may have eaten contaminated meat or water. They present with flu-like symptoms, as described above, accompanied by prominent gastrointestinal manifestations such as diarrhea and pain. They may develop pharyngeal ulcers. Pneumonic Tularemia. Pneumonic tularemia results from inhaling bacteria. The patient develops flu-like symptoms 3–5 days after exposure, typically including a nonproductive cough. Pulmonary radiographic signs include peribronchial infiltrates and bronchopneumonia of one or more lobes, and pleural effusions and hilar lymphadenopathy often occur as well. These signs may be absent, or the patient’s chest X-ray may show small, discrete pulmonary infiltrates. Following its use as a biological weapon, diagnosis of inhalational tularemia would be made by noting the abrupt onset of patient clusters with similar symptomology in a setting that is not known for tularemia outbreaks. A diagnosis is made by examining secretions and exudates and taking biopsies. Antibiotic therapy, including streptomycin, gentamycin, ciprofloxacin, doxycycline, or chloramphenicol, is considered effective. Exposed persons receiving antibiotics during the incubation period may be protected against symptomatic infection. A tularemia vaccine is used to protect lab workers who routinely work with the bacteria. The vaccine is currently under review by the FDA, and its future availability is presently unknown. Exposed surfaces can be decontaminated with a 10% bleach solution. Soap and water can be used to flush away less hazardous contaminations. Francisella tularensis can survive months in water, soil, and rabbit meat, especially in a cold and moist environSkin lesion associated with Tularemia

30 THE FORENSIC EXAMINER Summer 2007

ment. A short half-life for particles intentionally released is expected due to desiccation, solar radiation, and oxidation. Protecting Yourself If exposed to a biological agent, your health risks depend on several factors including how much of the agent you were exposed to and, in some cases, the length of exposure and whether you were shielded from direct contact with the agent. Your age, sex, overall health, and immune system response are also contributing factors to your response. Emergency responders are equipped with four levels of protective clothing. The levels for protective gear are as follows: • Level D—Common street clothes. This level is appropriate when there is no skin or respiratory hazard, but provides no real protection against the bioterrorism agents discussed in this article. • Level C—The military’s battle dress overgarment is chemical resistant and includes an air purifying mask respirator. • Level B—This level includes a splash resistant suit with a hood and a self-contained breathing apparatus (SCBA). The air tank is outside of the suit and can be used in low oxygen environments. • Level A—This garment includes a totally encapsulated chemical resistant suit with a SCBA. Responders to a bioterrorism event will likely be wearing a Level A suit. The media commonly provides video footage of responders in this gear. There are numerous emergency gear suppliers the average citizen can use to purchase protective clothing. However, one must use good judgment in purchasing military surplus-type gas masks or protective gear. Aging materials can make these items ineffective. Experts recommend a few easily obtained items for your home/office preparation kit. You should purchase at least a couple of the low cost N95 or N100 facemasks for each person in your family or office. These masks provide a measure of respiratory protection as they filter out contaminants in the air. An occlusive seal around the mouth and nose must be produced when using these masks to avoid contamination. If a complete seal is not made, protection from airborne biological agents cannot be guaranteed. Many companies that sell the masks provide fit testing and instruction in mask use. You should obtain some type of rubber or latex glove. Surgical-type gloves can be purchased by the box and are relatively inexpensive.

Finally, keep a supply of antibacterial soap, bleach, and laundry detergent containing bleach available for cleaning your clothing, your safe room, and yourself. Safe Rooms During a bioterrorist attack, the authorities will likely recommend that people stay in their homes. This is called shelter in place. It is recommended that a part of your home be designated as a safe area. This area will generally be a room that can be sealed off from outside air in the event that the disease is being spread by airborne contamination. Pick a room or two that have few windows and all openings can be sealed off with clear plastic sheeting, clear packing tape, or duct tape. Rolls of clear plastic, in various thicknesses, can be purchased at hardware stores, as can painting drop-cloths. A damp towel between the floor and the bottom of doors can seal the base effectively. You will want to consider including the bathroom in the safe room for extended stays. The safe room should contain the protective gear and food, water, and cooking supplies that you will need. Depending on the extent of the bioterrorism attack, quarantine could occur, and the stay in the safe room could be lengthy. Food supplies should include non-perishables. Canned meats, fruits, and vegetables are options. Storage of whole-kernel grains that can be ground up in a home mill is also helpful. Stores of beans, sugar, salt, and powdered milk will make your stay more manageable. Water is a necessity during these critical times. You should have at least one gallon of water per person per day. Two gallons per person per day would allow for cooking, bathing, and clean up. It is also a good idea to have water purification kits. These kits contain bleach or iodine and instructions on how to purify water. Boiling water for 1–10 minutes will kill almost all disease organisms. Keep fresh, standard emergency supplies in your safe room. Items such as extra clothing, blankets, a first aid kit, prescriptive medication, extra eyeglasses, flashlights, a battery operated radio or television, cash, a telephone, and extra batteries will be very useful. Decontamination In the event of an attack with some type of biological agent, emergency teams will be dispatched to the area. You will receive instruction from the responding agencies as to what you are to do and where you are to

go. In the event that you were potentially exposed to a bioterrorism agent, you may be washed down with volumes of water by fire department equipment. Personal decontamination is usually accomplished with generous use of soap and water. Equipment and property can be cleansed with a 1-part bleach to 9-parts water solution. Caution should be exercised in the use of bleach solutions, as they can be caustic in high concentrations. If you were not in the area of contamination, there will be informational radio and television bulletins advising the public what actions to take. Forensics and Allied Health Care A terrorism incident will rapidly deplete the health-care delivery resources in an effort to treat trauma victims and/or seriously ill patients. Physicians, nurses, hospitals, intensive care units, clinics, emergency services, and support services will be required to operate at capacity levels. Skill sets in health care and forensics will be in demand. Despite the problems associated with the response to Hurricane Katrina, disaster teams, volunteer health-care providers, and forensic specialists rose to the occasion. Responders’ experience and skills were invaluable, and they will likely be called upon again. Numerous health-care disciplines, including medicine, dentistry, and podiatry, assist in the overall response to disaster. The addition of chiropractic physicians to the disaster/terrorism response plan is currently being discussed. Chiropractic Physicians in Disaster Response While the majority of chiropractic physicians cannot function in the critical care arena, there is a place for chiropractic physicians in the event of a terrorism attack. Chiropractors have provided service at nearly every major disaster and terrorism event in the recent past. DCs are sought to provide care to the first responders in field tents and offices, and they have been called upon for consultations with allopathic responders relative to musculoskeletal conditions. With appropriate pre-event credentialing and identification procedures, chiropractors can provide service at disaster sites; field hospitals; temporary clinics, shelters, and morgues; and hospitals. The credentialing process will assure that the chiropractors’ skills, abilities, and professional histories are commensurate with the service they may be called upon to provide.

As the role of chiropractics within the DOD and VA continues to expand, the opportunities for chiropractic physicians to become formally recognized members of the various federal disaster response teams may occur. Chiropractors and chiropractic colleges are untapped resources for disaster response and should be considered for inclusion in an overall response effort. In this post- 9/11 era, there are legitimate reasons for our patients and our families to be concerned about international terrorism, domestic terrorism, and bioterrorism. As forensic professionals and/or health-care providers, we should remain cognizant of bioterrorism and other issues related to disaster response. Remaining in a ready state will help ensure our ability to respond.

References

American Medical Association. (2001). Table of characteristics and management of selected bioterrorism agents. Chicago, IL: Author. American Red Cross. (1997, April 4) Emergency Preparedness Checklist. Retrieved from www.redcross.org/services/disaster/foreignmat/epceng.pdf Anderson, J. H. (1998). Microbes and mass casualties: Defending America against bioterrorism. The Heritage Foundation, Backgrounder. Retrieved March 12, 2001, from www. heritage.org/library/backgrounder/bg1182.html Breman, J. G., & Henderson, D. A. (2002, April 25). Diagnosis and management of smallpox [Electronic version]. New England Journal of Medicine, 346(17). Center for Disease Control. (2001). Interim recommendations for the selection and use of protective clothing and respirators against biological agents. Retrieved December 18, 2001, from www.bt.cdc.gov/DocumentsApp/Anthrax/Protective/ 10242001Protect.asp Center for Disease Control. (2001, October 12). How to handle anthrax and other biological agent threats. Health advisory. Retrieved October 15, 2001, from www. bt.cdc.gov/DocumentsApp/Anthrax/10122001Handle/ 10122001Handle.asp Centers for Disease Control and Prevention. (2004). Interim smallpox fact sheet. Retrieved June 11, 2006, from www.cdc.gov/smallpox Centers for Disease Control and Prevention. (2006). Facts About Ricin. Retrieved June 11, 2006, from http:// www.bt.cdc.gov/agent/ricin/facts.asp Centers for Disease Control and Prevention. (2006). Q&A about E.coli measured in Katrina flood waters. Retrieved June 11, 2006, from www.bt.cdc.gov/disasters/ foodwater.asp Coordinating Center for Infectious Disease/Division of Bacterial and Mycotic Diseases. (2005, October 13). Shigellosis. Retrieved June 11, 2006, from www.cdc.gov/ ncidod/dbmd/diseaseinfo/shigellosis_g.htm Coordinating Center for Infectious Disease/Division of Bacterial and Mycotic Diseases. (2006, November 4). Salmonellosis. Retrieved June 11, 2006, from www.cdc.gov/ ncidod/dbmd/diseaseinfo/salmonellosis_g.htm Dempsey, M. (2001, November 8) Update: Investigation of bioterrorism-related anthrax and adverse events from antimicrobial prophylaxis. Jefferson City, MO: Missouri Department of Health and Senior Services, Health Alert. Dennis, D. T., Inglesby, T. V., Henderson, D. A., Bartlett, J. G., Ascher, M. S., Eitzen, E., et al. (2001, June 6). Tularemia as a biological weapon: Medical and public health management. The Journal of the American Medical Association, 285(21), 2763–2773. English, J. F., & Malone, J. D. (1999, April 13). Bioterrorism readiness plan: A template for healthcare facilities.

Washington DC: The APIC Bioterrorism Task Force and the CDC Hospital Infections Program Bioterrorism Working Group. Hayes, E., Marshall, S., Dennis, D., & Feldman, K. (2002, March 8). Tularemia—United States, 1990–2000. CDC Morbidity and Mortality Weekly Review. Retrieved March 17, 2002, from www.cdc.gov/mmwr/preview/ mmwrhtml/mm5109a1.htm Jarboe, T. (2007). Weapons of mass destruction first responder PREP notes. Fire and Rescue Service. Retrieved from http://www.firehouse.com/training/wmd/ NBC5i.com. (2006, May 25). Accused muffin making teens out on bond. Retrieved June 11, 2006, from www. nbc5i.com/print/9273360/detail.html Centers for Disease Control and Prevention. (2001, October 19). Recognition of illness associate with the intentional release of a biologic agent. Morbidity and Mortality Weekly Report, 50(41), 893–7. Retrieved April 4, 2002, from www.cdc.gov/mmwr//preview/mmwrhtml/ mm5041a2.htm

Additional Resources

Centers for Disease Control and Prevention, Atlanta, GA 800-311-3435 Domestic Preparedness Information Line 800-368-6498 US Public Health Service 800-872-6367 Centers for Disease Control and Prevention Bioterrorism www.bt.cdc.gov Hopkins Center for Civilian Biodefense www.hopkins-biodefense.org Federal Emergency Management Agency www.fema.gov Dept. of Health and Human Services. www.dhhs.gov Association for Professionals in Infection Control www. apic.org US Army Medical Research Institute of Infectious Diseases www.usamriid.army.mil American Red Cross www.redcross.org

About the Author Howard J. Levinson, DC, DABFE, is a 1984 graduate of Logan College. He is a Diplomate of the American Board of Forensic Professionals and the American Board of Forensic Examiners. Dr. Levinson practices in St. Louis, Missouri. He has been a law enforcement official for 22 years with assignments in homicide, organized crime, terrorism, and narcotics. He is an instructor and consultant to law enforcement, physician and citizen groups, private companies, and the insurance industry. Dr. Levinson is a logistics team member of the Missouri Disaster Medical Assistance Team and has served as an operations officer of the St. Louis Metropolitan Medical Response System for response to mass casualty as a result of disaster and terrorism events. He may be contacted at IFCdetectives@aol.com. Earn CE Credit To earn CE credit, complete the exam for this article on page 77 or complete the exam online at www.acfei.com (select “Online CE”).

Summer 2007 THE FORENSIC EXAMINER 31

Abstract This article provides an overview of the use of psychological approaches that have potential application to accident investigation and other settings. Low-level approaches emphasize definition and careful measurement of the known facts of the case; high-level approaches emphasize conceptualization and inferences carried to behavior. Intuition and logic complement the investigative procedure. Success in investigation depends upon the accurate application of data-based and intuitive approaches appropriate to the opportunity. The methods are applied to an unsolved case, which is 50 years old.

Keywords: aircraft accident, criterion, deduction, environmental turbulence, falsely accused, hypothesizing after the fact, inference, intuitive versus data based, observation versus inference, operational definition, prediction, psychological approach, reliability, statistical method, system theory, threat to validity, validity

This article is approved by the following for continuing education credit: (ACFEI) The American College of Forensic Examiners International provides this continuing education credit for Diplomates. (CFC) The American College of Forensic Examiners International provides this continuing education credit for Certified Forensic Consultants. (NBCC) The American College of Forensic Examiners International is an NBCC Approved Continuing Education Provider (ACEP) and may offer NBCC approved clock hours for events that meet NBCC requirements. The ACEP solely is responsible for all aspects of the program. Provider #5812. (CBBS) The American College of Forensic Examiners International is an approved provider of the California Board of Behavioral Sciences, approval PCE 1896. Course meets the qualifications for 1 hour of continuing education credit for MFTs and/or LCSWs as required by the California Board of Behavioral Sciences. (APA) The American College of Forensic Examiners International is approved by the American Psychological Association to sponsor continuing education for psychologists. ACFEI maintains responsibility for this program and its content.

32 THE FORENSIC EXAMINER Summer 2007

Psychological Approach to Accident Investigation

By Allen J. Schuh, PhD, DABPS

Where Is The Plane? In May 1957, David A. Steeves took a T-33A from an airfield in Northern California to fly to Alabama (Air Force Safety Center, 1957). When he did not arrive as scheduled, the Air Force searched for its aircraft and its pilot. No physical evidence of either was found. In time, his family was notified of his presumed death. Almost 2 months later, Steeves walked out of the High Sierras with an incredible story of personal survival after an explosion in the cockpit and his ejection from the disabled aircraft. Military authorities conducted investigations. Although the plane was never found and Steeves was never charged with wrongdoing, there were ugly stories circulating suggesting something sinister. In the Cold War era of that period, with frigid relations between the United States and the Soviet Union, the key issue was the missing wreckage. Could it be that Steeves delivered the jet to Mexico and sold it to a foreign government?

Steeves left the Air Force and died in a civilian aircraft accident several years later. Twenty years thereafter, the T-33A canopy was found in the area where it would be expected if Steeves had, in fact, been telling the truth (Wikipedia, 2007). Psychological inquiry is not a substitute for formal investigation, but it can serve as an important supplement.

Level 1 Theory In Level 1 Theory, the environment is assumed to remain stable. Inferences are minimal and short term (Haney, 1979). There are no statistical assumptions made regarding either a measure or its environment. This Level 1 Theory does not tell you when to expect a change in environment or what the effect will be when you detect the change. There are times when the environment is stable and Level 1 Theory is probably as good as any other. A great deal of prediction is of this sort (Webb, Campbell,

pictured is an example of a T-33A jet

Schwartz, & Sechrest, 1966). It is like saying that tomorrow’s weather will be like today’s. It often works because in a short-term episode there is a lot more orderliness and inertia to the universe of experience than there is randomness. So, whatever caused one accident is assumed to be the best place to look as the reason for another. Prediction quality is threatened by any change in either the measure of the variable or the environment. Because other approaches are possible, it is necessary to consider the next level of predictive theory. Consider the case of David A. Steeves and the missing T-33A. How might Level 1 Theory apply to the search for the aircraft? Investigators know approximately where Steeves said he landed after leaving the damaged aircraft and where, 20 years later, a group of Boy Scouts said they found the aircraft’s canopy, which was jettisoned just before the ejection seat sent Steeves from the cockpit. Because these two locations are near each other, the plane should be nearby. Given the evidence, no

deep psychological theory is needed for this reasonable inference. Because there is no obvious evidence of wreckage, it might be assumed, as many have suggested, that the aircraft is in one of the several lakes in the area. In the High Sierras, the elevations are in five digits, making those lakes all but inaccessible. Old maps of the area reveal there was a glacier on the west side of a large peak within walking distance of the canopy location. Steeves said he landed in ice and snow, which broke his fall, yet the temperature in the area is typically in the 80s during that time of year. His parachute had been scorched during the cockpit fire and two panels were damaged. He may have directed his landing to the glacier reasoning that ice and snow was a better landing than rocks. Still, he landed with a force strong enough to sprain his ankles and immobilize him for several days. His possible landing on the glacier, coupled with the canopy being found nearby, suggests proximity to several lakes—any one of which may be hiding the wreckage.

Level 2 Theory Level 2 Theory, the Actuarial, uses a multiple sample database of related information and typically a statistical model (Guilford, 1954; Hays, 1973; Siegel, 1956; Thorndike, 1949). One accepts the underlying assumptions of a statistical test, such as the method of linear regression forecasting analysis and then derives a linear estimated value for the criterion. The environment is assumed to remain stable. Inferences are short term and based on assumptions of an underlying distribution for the measure, and a statistical model is used to formulate the estimate. The validity of the assumptions underlying the measure’s statistical database and environmental turbulence threatens prediction quality (Wherry, 1984). Level 2 expands the ability to predict possibilities by incorporating more information. For example, in predicting tomorrow’s weather, one could say that tomorrow will be like today as with Level 1, but the averages for the last year and the averages for that calSummer 2007 THE FORENSIC EXAMINER 33

endar date for the last 10, 50, and 200 years can be included if the data is available. The work has increased, but by bringing in more information, the chance of an accurate estimate increases, and parameters around that estimate can be set. Level 2 Theory requires much more work than Level 1, but it has many benefits that make it worthwhile. Looking at graphs and charts and doing statistical analyses can lead to greater understanding of what has occurred. The main benefit is seeing greater understanding in what has occurred. The main problems can be the data analysis and the statistics, as even an educated researcher who is familiar with the mainstream statistics in his or her area of expertise can rarely know all the possibilities. In the case at hand, it is known where the canopy was found, and there is the suggestion that Steeves landed on the glacier location noted from the old map of the area. So, it might be suggested that the ejection seat would be between the two locations and the plane just ahead. No deep psychological theories are needed here. This is simple linear interpolation. However, there are complications one must consider. On the morning of May 9, 1957, Steeves boarded his aircraft and left Oakland International. According to his flight plan to Alabama, he increased his speed to about 400 knots, climbed to the required altitude of 33,000 feet, and pointed his aircraft’s nose toward the vectored location of the radio beacon in a southeast direction along his route. He was recognized as a good pilot in all official reports of his fitness, so it is assumed that he followed all required procedures. It can also be assumed that he expected the trip to be uneventful because he left his survival gear in his locker. However, as he leveled off, all trimmed up with altitude, speed, and direction perfect, there was an explosion in the cockpit. Steeves was reportedly knocked unconscious. When he regained consciousness, he fought the aircraft’s controls, but it was unresponsive. Smoke filled the cockpit, so he decided to eject himself from the aircraft. The complication to Theory Level 2 is that simple linear interpolation of the direction of the wreckage is made difficult because the aircraft cannot be guaranteed to have followed a direct line after the explosion. It may have been turning left or right, and indeed, Steeves said that it was 34 THE FORENSIC EXAMINER Summer 2007

turning when he ejected. So, all lakes in the immediate area have to be considered, not just those straight ahead. Moreover, at the time of Steeves’ accident, the aircraft had already had more than a decade of operational use, both as a single-seat fighter and as a two-seat trainer. It had seen use in both U.S. Air Force and Naval Aviation operations. It had been adopted as the main fighter aircraft of many foreign countries. There is considerable data on the aircraft, including many accidents in many settings that could be relevant for analysis. When all the analysis is completed, however, there is still no knowledge of where Steeves’ aircraft is, at least not at this level of theory.

Level 3 Theory Level 3 involves constructs. A construct abstracts several items of related information to derive a common essence (Cronbach, 1990; Cronbach & Meehl, 1955). One then makes an estimate of the value of the essence as it is expected to manifest itself in a future setting. For example, in employment settings, it has been observed that getting along with others, being motivated, and being a good scout are generally assumed to be of importance in holding a job. Understandably, interviewers look for indications of the presence of these constructs in applicants (Hakel & Schuh, 1971). The derivation of the construct is a challenging task that usually requires some theoretical work. It is the lack of comprehensive theoretical work that has been the weakest part of psychological investigation and theorizing in modern times (Cofer & Appley, 1964). One has to think about why a person would do something that would increase the probability of something else related to the accident, and many issues enter the picture (Whisler & Harper, 1962). Typically, an aircraft man-machine system will present with sets of potential problem behaviors. There will be the regular and predictable pilot mental-attituderelated and performance-related physical issues that are obvious factors for study. Also, there will be the operation and maintenance characteristics of the aircraft (McCormick, 1976; Woodson & Conover, 1966) and the interface of the pilot and the aircraft (Gagne, 1962) related to the number of hours the pilot has been in the seat of that model. In addition, the irregu-

lar and unpredictable issues that appear as the person runs into trouble because of poor aircraft performance under unexpected situations, such as weather events or enemy action, are taken into consideration. At the higher cognitive level, there is the organization-of-behavior approach (Krech, Crutchfield, & Ballachey, 1962). Here, the focus is on triggering events that quickly increase anxiety and get the pilot to be less flexible and discerning in his or her behaviors during emergencies. Here the investigation’s goals are to detect what increases restrictions on pilots’ perceptions and on their responses. The problem with their perceptions can be low sensitivity, while problems with their actions stem from low flexibility. During an unexpected and dramatic emergency, pilots are metaphorically caught in a stream that is sweeping them along. This third approach is more demanding than the lower level techniques. Here the investigator must have in-depth self-knowledge, a high level of general life experience, good interviewing skills, good training in personality (Hall & Lindzey, 1978) and learning theory (Hilgard, 1956), and a good understanding of research methods (Scott & Wertheimer, 1963)—especially the threats to internal and external validity (Campbell & Stanley, 1963). The mark of an experienced investigator is his or her ability to fit an approach to the unique characteristics of the situation. The investigator could arrange to observe models of unsuccessful coping or using non-adaptive behaviors in action, view tapes of testimonials by people who have been in the problem, or examine letters and books by survivors. Biographies and even fiction can work as models. The psychologist sees accident-related behavior as an inappropriate reaction to the presence of a stressful action in the pilot’s environment. The successful pilot who hopes to survive an accident will move from the reactive state, while he or she perceives the emergency, to an active choice state as he or she reduces the anxiety from feeling like a pawn reacting to tragic life events. The pilot’s response is to gain control as a compensation for feeling helpless. Virtually all personal problems cause damage to the pride of an individual who has always perceived him or herself to be the captain of his or her own fate but sud-

denly finds he or she was wrong. He or she is not the captain of a flying aircraft but is a struggler falling in space. The sense of helplessness can be a serious problem to someone who seemed to have a command of his or her life (Horney, 1945; Selye, 1980). What separates the successful survivor pilot from the unfortunate one is the method of response. Note that at Levels 1 and 2 Theory, the human factor is irrelevant. What is relevant is where the next piece of wreckage can be found. If one is going to describe and analyze the location to get a better understanding of it, one needs the information in the constructs. The overall construct would be attention-worthiness, provided the analysis was carried into a comparison against some absolute standards and against peer geographical location alternatives. The point is that what one can get from a study of constructs will give a better picture than a focus on just one or two bits of information that are easy to collect. At Level 3 Theory, the environment is assumed to remain stable (McCormick & Tiffin, 1974). Inferences are generally short term, but the time horizon can be increased depending upon the stability of the observed variable’s interrelationships with closely related measures, the robustness of the statistical assumptions in the techniques used, and freedom from environmental turbulence. The investigator’s impatience and other character issues can threaten prediction quality. Several applications to the Steeves case exist for both the aircraft and the pilot’s performance. Consider a cluster of items to be called the good pilot construct. In this construct, include all behaviors that would be expected of a good aviator with military bearing. Following procedures would be a main definer of this construct. Flying a military aircraft is not a casual undertaking. There is the rigid adherence to military procedure—doing one thing then another, and always in the same order. Predictability is a main criterion of performance. Steeves was labeled a good pilot, as his seniors in the military said he followed established procedures. Before take off he would have lowered his visor and put on his oxygen mask. With his separate air supply he would not have noticed the smell of fuel leaking into the cockpit. It is suggested that after climbing to altitude,

and with the correct speed and heading, he set the autopilot. The following introduces the construct for the aircraft as a potential threat to the pilot. The aircraft’s maintenance problems were so bad the Navy discontinued its use. The aircraft’s fuel cap, which was behind the ejection seat, occasionally leaked. Steeves was lucky his particular aircraft was a two-seater because the fuel cap problem was 3 feet further back than if it had been a one-seater. This is suggesting that the spark from engaging the autopilot switch lit fire to the fuel and air mixture in the cockpit. That may have been the explosion that knocked him unconscious. Of course, if someone had been sitting behind him, that person would have faired much worse. The fire advanced far enough past the back seat to burn part of Steeves’ parachute. To understand what happened that morning, the suitability of the aircraft’s maintenance and its operational characteristics would need to be questioned—not just those of the pilot. Also, any change in the aircraft’s flight performance after such an explosion could be suggested after studying the database of the aircraft’s many other incidents. Most important for finding the aircraft would be the question of how much further it could have been expected to remain in flight after the event.

Level 4 Theory Level 4 changes the landscape. This level of thinking looks away from the predictor database and considers environmental changes and new opportunities. Two or more separate estimates are now required—each one used for the predictor’s history of performance under contingent environments—before the expected values of the criterion at the time horizon can be estimated (Sackett, 1982). With Level 4 thinking, one has to be generous in inventing possible scenarios and then investigate the variable’s performance under those separate environmental conditions. Judgment of scenario probability now becomes an issue. If a scenario is more likely, then efforts should weigh more in that direction. The point is that the environment needs to be considered before making the prediction. In Level 4 Theory the environment is assumed to be unstable and becomes the

major focus of attention. Therefore, one needs to know how the variable one wishes to estimate has performed under different environmental circumstances during the same or similar episodes in the most recent past. The best measure of the variable one wishes to estimate is a joint function of the construct variable’s stability and the environment’s freedom from turbulence. The personality characteristics of the person making the judgment, such as risk tolerance (Kogan & Wallach, 1967; Mellers, Schwartz, Ho, & Ritov, 1997), will affect the decision maker’s actions toward the measure after knowing the possible choices. This level of theorizing is threatened by a researcher’s less-thanthorough consideration of the alternatives and failure to set an appropriate probability for each estimate. So where does one look for wreckage with knowledge of Level 4 Theory? A couple of questions need to be asked. What time of year was it? What were the visibility conditions? Level 4 Theory makes a specific reference to changing environmental circumstances and its effects on location selection and detection efforts. Researchers must appreciate the alternative environments that affect a location’s probable success. In Level 4 Theory it is also important to see the time dimension. Setting up the alternative location selections and expected alternative criterion outcomes in a table make the tradeoffs visible. A lot more time is spent in paper rehearsals of what-if statements. Therefore, there is a much clearer understanding of the probable effects of what is being done. The systematic deliberation is assumed to have a competitive advantage over just drifting, as it is easier to select the optimum strategy for the effort. Probably the greatest benefit to Level 4 Theory is that the researchers thoroughly understand the reasoning behind their decisions, giving them a stronger sense of control over the situation. Exactly when Steeves engaged the autopilot becomes a major question in this line of reasoning. Because Steeves says he was knocked unconscious by the explosion, knowing how long he was unconscious is beneficial. How long have other pilots in the same circumstances been knocked out, and what were their reactions upon recovery? Now the scenarios get interesting and relevant: Summer 2007 THE FORENSIC EXAMINER 35

When he engaged the autopilot, an immediate explosion knocked him out, but he snapped back immediately. He attempted to regain control, but the flight surfaces and controls had been fatally damaged, and the only alternative was to eject. Most who read the reports suggested that scenario, but it is not the only possibility. He was knocked out for just a flash but had forgotten he set the autopilot. In a panic and with the cockpit filled with smoke he began fighting the autopilot, which was working just fine. The controls were not damaged, and there was nothing wrong with the flight surfaces. He did eject, but the aircraft continued on its programmed flight. However, the flight was affected by the change in weight without the pilot and ejection seat, and its performance was affected by the wind stream with the smooth surface of the canopy gone. Given a full load of fuel, the craft could have flown over 1000 miles in a straight line for more than 2 hours. It could possibly have reached the Gulf of Mexico. Steeves said he was knocked out, but had no way of knowing how long. What if it was for 10 minutes? If the aircraft was disabled and spinning he would have been dead within a minute. In scenario creations, researchers need to suggests various amounts of time he was unconscious with implications both to the aircraft’s flight characteristics and to the mental state of the pilot. He said the aircraft was spinning, but perhaps his head was spinning and the aircraft was still flying straight and level. Whether he fought the aircraft’s controls after forgetting that he set the autopilot is psychological red meat, as everyone attributes faults to others at times. Rationalization, compensation, and denial are well-known conceptions in a psychological investigation of human motives and behavior. It is important to know what part of the aircraft Steeves saw last. He said that after he ejected and pulled the ripcord he looked up to see two panels damaged in his parachute. While he was looking up, did he still see the aircraft? Where and what was it doing? He never said he saw it splash, yet he was hanging in the parachute for several minutes. If it was falling out of the sky and spinning out of control he would have seen the splash.

Level 5 Theory Level 5 requires considering no less than 36 THE FORENSIC EXAMINER Summer 2007

three related variables in a relationship that is often cyclical. One of the few solid axioms of prediction research is that variables are systematically and complexly linked in their relationships in a multiple contingency system with redundancy and feedback. Left far behind is the notion that everything that will exist tomorrow is just a simple linear estimate of what existed yesterday. The study of at least three variables requires researchers to consider that each result is, in itself, a cause of something else, which eventually feeds forward to cause whichever variable being considered for examination. However, the world rarely stays linear for long. At this level we have to consider everything we know about an investigation. We study maps. We look for evidence of consistent activity. We consider that behind a detecting effort there is usually the attempt to collect important, accurate, and relevant information from trusted sources. Everything is brought together into a comprehensive understanding of the accidentrelated activities. It is a lot of work when done right. At Level 5 Theory, assume all variables maintain their relative position in a quasi-stationary equilibrium with the other variables, within a framework in an interdependent system. There is a constant interaction of deviation-amplifying and deviation-counteracting influences on the quasi-stationary equilibrium of all variables (Weick, 1979) operating in the framework. This is sometimes referred to by other names such as a logical-mathematical-structure. Any variable noticed and then selected for examination is changed by our observation and manipulation of it, and those variables with which it interacts in turn readjust in feed-forward influences to affect the original variable. A cyclical system of a constantly readjusting state of nature, then, is the assumed model (Forrester, 1969; 1970). Long-term inferences are possible, depending upon the stability of the observed variable’s interrelationships with closely related variables in a framework of interacting influences and environmental inertia across a time episode (Church, 1979). Accuracy of long-term inferences depends on vigilance in monitoring the important interactions within the system. Prediction quality is threatened by any limitation in the researcher’s

capacity to monitor the exhaustive list of contingencies and linkages that influence the most important variables under study (Mandel, 1995). The direct effect of Level 5 Theory is to tell one what to study about the accident even before one puts a foot on the ground. The fact that the aircraft was on autopilot is an example for our investigation at Level 5 Theory. The aircraft’s autopilot corrects its complex interactions with the environment even after the human has exited the system. Detecting decisions require much more analysis than the casual observer expects. Time and financial resources are the major variables, and both need to be devotedly exclusively to the matter, just as any other variables. The number of resources that can be invested determines the scope. One must be attentive to details and only investigate noteworthy areas to avoid wasting time and effort. If researchers keep material about a specific location in a permanent physical record and conduct the theory level analyses, by applying each level of theory to the location, parallel to where they study the material, they can learn a lot about that location. If they still want to search that location, they can feel confident about the selection because they know exactly why they are there. They know what to expect concerning the location, when to expect a result, and what conditions would cause them to leave. They understand the alternatives and will likely be more accurate because they are aware of what might cause a change in their activities. Prepared people rarely waste time and money because they enter the arena carefully, pick their activities carefully, and take the steps to cut losses when things do not go right. The Steeves case fits in well with Level 5 Theory because the major issues of the time bear on information that would have been available to authorities but not to civilians. The civilian looking at the problem sees it as a novelty that a plane is missing. To the military authorities it is different. They want to know causes to prevent problems in the future. They want to know the airspace of the continental United States is free of anything unwanted. In 1957 there was a vigilant air defense command because of the Cold War and because nations had nuclear weapons and the ability to deliver them. In a psycho-

logical investigation of the Steeves case one must consider the possibility that military authorities spotted the aircraft at a high altitude traveling at a high rate of speed over places it was not supposed to be. They probably knew one of their own was overdue for reporting. Any attempt to radio contact the aircraft would have been futile. Perhaps fighters were even sent to have a closer look when it did not identify itself. The command would have known, or at least had a pretty good idea, what happened from past experience in these matters, but would not necessarily have told the news media about it. If the T-33A did go so far as the Mexican border, it could have gone to a remote site over land or water and been lost. If it made it to the Gulf it would have seemed like any other old military wreck, of which there were many because of extensive training operations in the area. So the missing T-33A may remain a mystery only to civilian investigators. Perhaps, buried in a fading manila folder deep in the Pentagon’s bowels, there are even pictures of the wreck site. The civilian investigator is not told because he does not have the clearance or the need to know. The presentation and discussion of the material on data-based methods of prediction show that the field is sufficiently developed to allow for reasonably accurate predictions for finding likely crash locations. Professionals use these methods all the time. Understanding the data-based methods can also get one further down the road to understanding his or her limitations. Predictions are based on public information. Anyone who follows the same rules will get the same answer.

Intuition in Investigation Intuition plays a major role in investigation. Many investigators require that a story, its related location, and its individual components pass a smell test, an eye test, and a feel test. It has to feel right, as well as look right. The investigator has to feel comfortable about it so he or she can sleep at night without being concerned about whether he or she has made the right decision. The socalled science-based methods’ failure to include all his or her concerns does not mean that he or she does not use them. It means that he or she needs to turn somewhere else for the information needed to supplement his or her monitoring effort.

Our English word intuition is from the Latin intueri—to look into. It is the term that describes both an event and a feeling that accompanies that event. The event is the process of immediate comprehension of a fact or the immediate realization of the relationship between a fact and a result. The material may come from either senses or intellect, but it is more likely a combination. Intuition furnishes the elements of all scientific and philosophical speculation. Some philosophers attempted to understand intuition as the fundamental element of our ability to acquire knowledge (James, 1890). Most philosophers start from the principle that human reasoning is unable to give us knowledge. Intuition alone is able to put us in communication with reality. They believe it is only through intuition and internal experience that we can acquire knowledge. The development and use of intuitive information is shown by the ability to come up with suitable estimates for making decisions in the data-based material. When a researcher needs to form an opinion or make a judgment without sufficient data, he or she uses intuitive nature. Ultimately, a blend of data-based methods are used when appropriate, under the umbrella of morally guided intuition. A comprehensive study of intuitive and impressionistic methods to gather information helps researchers better understand the field of prediction (Meehl, 1954). Reflecting on the so-called objective methods reveals they all have a substantial dose of intuition. Intuition requires one to be still and relax. The goal of learning techniques is to show how one can receive revelations. Even many religious scholars believe that prophecy, though it was a gift from the world beyond, still required some knowledge (May & Metzger, 1977; Wulff, 1991). In discussions of the nature of truth, it is generally held that reason alone is necessary but insufficient (Descartes, 1952). Prophecy, or what this article refers to as intuition, could supply what is missing. It is important to note that scholars usually assert that prophecy cannot be acquired by human preparation or effort alone. Inspiration, intuition, or a gift of prophecy only requires taking the spoon out of the soup pot of our thinking once in a while and letting the contents simmer (Holmes, 1985).

Intuition may be a first observation or a belated realization. The source of the information may be a dream, a thought carried on the wind, or a feeling during our waking hours about something that might occur or might be found. Intuition has no respect for time and place, and little is known about how intuition works. If, while looking at a map after having had no luck in carefully searching for the wreckage of Steeves’ plane at several promising sites, one suddenly got a very strong urge to go to see a specific place, he or she would put on his or her boots and travel directly to that spot.

The Solution This article proposes a methodology and, based on the findings through the several levels of analysis, also proposes a solution to the case (Kerr, 1998). The accident report shows that bad weather was closing in and Steeves had 15 minutes to get airborne, or he would have had to re-file his flight plan. Perhaps he did not carefully check the gas cap behind the seat, which caused leaking fumes and was the basis of the explosion in the cockpit later in the flight. After takeoff, Steeves set the autopilot, traveling easterly to Fresno. Over Fresno airspace he rolled his wings right to go south. He radioed his position to the Fresno tower, stating that he anticipated Wheeler Ridge in 15 minutes. When the tower asked for a repeat of his last transmission, there was no response. It is likely the explosion occurred in the moment between the transmissions, so that is the first point on the map. He had his altitude and airspeed set and was adjusting his heading at the moment of the explosion and probably had his hand on the trim tab. The explosion could have caused his hand to put in too much left rudder as he was knocked unconscious. If so, he would have started to slip into a slow left turn. By calculation, this turn would have a diameter of about 70 miles and could take him in a loop from his initial south heading, first east and then north, eventually over Kings Canyon. Assume Steeves was unconscious for at least 10 minutes. When he awoke he did not know where he was. There was smoke in the cockpit and the flight controls were unresponsive, so he ejected. The canopy left first, near the Citadel (a second data point on the map), and in the ejection seat Summer 2007 THE FORENSIC EXAMINER 37

Steeves went next. He landed near the Helen Lake area (the third data point on the map). The aircraft’s circular path explains why he is north and west of the canopy. The aircraft continued the wide circle until fuel exhaustion. Perhaps the solution was in the official accident investigation report, but the board did not realize it. When the Air Force noted Steeves was missing they ordered the air rescue squadron to initiate search operations. The unit reported sighting a new wreck (36.2333N 118.6833W), which was not in the crash database, but it was never checked on the ground because of terrain and weather. There was no evidence of explosion or fire to alert the air rescue crew that flew over the scene because the flame-out was from fuel exhaustion. It was just a bent aircraft in some rocks when they saw it. We now have all four points on the circumference of the circle. Perhaps because it was so far east of Steeves’ expected flight path, with no indication of recent fire or explosion or the presence of a sign of life, it was not considered as a priority after the air search was discontinued. A ground search at that location was never completed. Access to the location is restricted. If you get to it before I do, let me know if its tail number is 52-9232A.

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Guilford, J. P. (1954). Psychometric methods. New York: McGraw-Hill. Hakel, M. D., & Schuh, A. J. (1971). Job applicant attributes judged important across seven diverse occupations. Personnel Psychology, 24, 45– 52. Hall, C. S., & Lindzey, G. (1978). Theories of personality. New York: Wiley. Haney, W. V. (1979). Communication and interpersonal relations: Text and cases. Homewood, IL: Irwin. Hays, W. L. (1973). Statistics for the social sciences. New York: Holt, Rinehart and Winston. Hilgard, E. R. (1956). Theories of learning. New York: Appleton-Century-Crofts. Holmes, D. S. (1985). To meditate or rest? The answer is rest. American Psychologist, 40, 728–729. Horney, K. (1945). Our inner conflicts: A constructive theory of neurosis. New York: Norton. James, W. (1890). The principles of psychology. (2 volumes). New York: Henry Holt. Kerr, N. L. (1998). HARKing: Hypothesizing after the results are known. Personality and Social Psychology Review, 2(3), 196–217. Kogan, N., & Wallach, M. A. (1967). Risk taking: A study in cognition and personality. New York: Holt. Krech, D., Crutchfield, R. S., & Ballachey, E. L. (1962). Individual in society: A textbook of social psychology. New York: McGraw-Hill. Mandel, D. R. (1995). Chaos theory, sensitive dependence, and the logistic equation. American Psychologist, 50(2) 106–107. May, H. G., & Metzger, B. M. (Eds.). (1977). The Bible with the apocrypha, the new Oxford annotated, revised standard version. New York: Oxford University. McCormick, E. J. (1976). Human factors in engineering and design. New York: McGraw-Hill. McCormick, E. J., & Tiffin, J. (1974). Industrial psychology. Englewood Cliffs, NJ: PrenticeHall. Meehl, P. E. (1954). Clinical versus statistical prediction: A theoretical analysis and a review of the evidence. Minneapolis, MN: University of Minnesota Press. Mellers, B. A., Schwartz, A., Ho, K., & Ritov, I. (1997). Decision affect theory: Emotional reactions to the outcomes of risky options. Psychological Science, 8(6), 423–429. Sackett, P. R. (1982). The interviewer as hypothesis tester: The effects of impressions of an applicant on interviewer questioning strategy. Personnel Psychology, 35, 789–804. Scott, W. A., & Wertheimer, M. (1962). Introduction to psychological research. New York: John Wiley. Selye, H. (1980). The Stress of Life. New York: McGraw-Hill. Siegel, S. (1956). Nonparametric statistics for the behavioral sciences. New York: McGraw-Hill. Thorndike, R. L. (1949). Personnel selection: Test and measurement techniques. New York: Wiley. Webb, E. J., Campbell. D. T., Schwartz, R. D., & Sechrest, L. (1966). Unobtrusive measures:

Nonreactive research in the social sciences. Chicago: Rand McNally. Weick, K. E. (1979). The social psychology of organizing. Reading, MA: Addison-Wesley. Wherry, R. J. Sr. (1984). Contributions to correlational analysis. Orlando: Academic Press. Whisler, T. L., & Harper, S. F. (Eds.). (1962). Performance appraisal: Research and practice. New York: Holt, Rinehart & Winston. Wikipedia. (2007). David Steeves. Retrieved from http://en.wikipedia.org/wiki/David_Steeves Woodson, W. E., & Conover, D. W. (1966). Human engineering guide for equipment designers. Berkeley, CA: University of California. Wulff, D. M. (1991). Psychology of religion: Classic and contemporary views. New York: Wiley.

About the Author Allen J. Schuh, PhD, DABPS, is a retired psychology college professor. He received his BA from San Diego State University, his MA from the University of California, and his PhD from Ohio State University. During the 1960s he served in the U.S. Navy. He has published several dozen scholarly papers and a textbook. He maintains membership in scholarly and professional associations including The American Psychological Association, The Association for Psychological Science, The Institute of Operations Research and Management Sciences (INFORMS), and the American College of Forensic Examiners.

Earn CE Credit To earn CE credit, complete the exam for this article on page 77 or complete the exam online at www.acfei.com (select “Online CE”).

KRT photo by David Furst, Abaca Press

By Barry Austin Goodfield, PhD, MFT, FACFEI, DABFE, DABFM, DABPS, AAETS

SADDAM HUSSEIN: The Unconscious Mind of The Butcher of Baghdad—New Tools Reveal What the World Does Not Know lthough forensic examiners have a vast arsenal of tools and techniques to use in investigations, all too often they overlook the clues human behaviors reveal, or, at best, they underutilize the clues. Psychological profiling cannot be empirically tested; as a result, many examiners feel such profiling is unreliable. However, there are profiling methods that are testable, repeatable, and verifiable. With 30 years of experience assisting law enforcement and the intelligence community in a very specialized type of profiling, I can say without equivocation

that the Goodfield Method has been proven consistently reliable and verifiable time and time again when used properly. The Goodfield Method is based on the non-verbal leak (NVL), which is a repetitive, patterned head-and-neck movement that reflects an individual’s unresolved, perceived trauma. This movement manifests decisions or strategies from one’s past when the person encountered similar trauma. Based solely on a person’s observable behaviors, the NVL is unconscious to the person, yet visible to others; it is testable. It is a way of looking at the unconscious

strategies that an individual presents in his or her total non-verbal behavior. Establishing the NVL’s symbolic meaning involves decoding the non-verbal responses into their unconscious symbolic meanings on three levels: impact, primary emotion, and primary coping strategy. These levels fully comprise an individual’s expression of basic emotional strategies during interaction. Once assessed, the symbolic level gives a logical and referentially based stepping-stone for deducing the subject’s personality type. Summer 2007 THE FORENSIC EXAMINER 39

KRT photos by Abaca Press

The fundamental notion is that traumas are learning points for people, as are non-traumatic events. The emphasis is on trauma because decisions regarding causality and consequence often follow traumas and profoundly impact sequent behavior. In fact, when decisions are made after traumatic events—especially unconscious decisions—they become personality cornerstones on an unconscious level. One’s perception of traumatic events drastically influences decisions regarding such basic factors as risk taking, openness to difference, expression of aggression, and contact with others (including love, sexuality, and most emotions). I call these events perceived traumatic events (PTEs). At an unconscious level, one’s PTEs form the basis of his or her unconscious self-concept. It may be thought of as the keel of a person’s ship of state. The winds of one’s life can affect direction and speed, but it is the keel that gives balance to and assures stability in life’s journey. When an individual’s unconscious PTEs can be determined by closely observing the NVL, you have the key to a person’s unconscious process and, ultimately, to his or her personality type. Humans only have so many possible response patterns. Once developed, a predictable pattern of responses becomes an unconscious self-concept that guides our reactions to life’s daily challenges. Our response patterns are generally developed early in life and are related to our PTEs. The first PTE is impact (symbolic level one, SL-1). It comes into the system primarily through the eyes and is real in the sen40 THE FORENSIC EXAMINER Summer 2007

sory system of the person who experiences it. At some time, a perceived crisis occurs and this shock to the system can be recorded on a conscious or an unconscious level. The impact on a person is on an intra-psychic, a psycho-physiological, or an interpersonal level. In the Goodfield Method there are six manifestations of impact: shock (eyes large), fear (teariness), denial (eyes up, trance, white below eyes), disbelief (eyes closing), pain (tearing, turn away from), and trance (eyes that stare in an unfocused way). The primary emotion (SL-2) is a person’s first reaction to a traumatic event, and it is what the individual wants to do, but not what he or she actually does. If the response in an SL-2 situation is anger, then the person wants to express it clearly and directly without holding back. SL-2 can be anger directed outward or inward, or it can be sadness. The primary coping strategy (SL-3) is what the person actually does; it is not what he or she wants to do. It is what the person does after he or she has realized that giving in to immediate urges could make the situation even worse. It’s the compromise between thought and action that worked at the time the PTE occurred. Over time, one develops similar strategies to face similar situations. The SL-3 is the person’s basic strategy for handling feelings experienced throughout life when facing a PTE. SL-3 strategies include denial, trance, anger in, anger out, control by (fill in the blank), distancing intellectualization, calculated emotional response (CER), and seduction. A close look at former Iraqi dictator Saddam Hussein’s NVL can give a good exam-

ple of analyzing the NVL to the symbolic levels and then through to the resultant personality type. Saddam exhibited behaviors of a cruel, intimidating, murderous psychopath, but the Goodfield Method reveals some things that are not common knowledge. This specific example illustrates this method’s effectiveness as a tool for forensic examiners. Based on Saddam’s known actions and his NVL, along with the diagnostic criteria, it is clear that he fit the clinical category of a psychopath. Saddam adhered to the pattern or process impulse–thought–action, whereas other people use impulse–thought– strategy–action. Thus, he would have known what one thought but not cared what one felt. It is clear that he was a psychopath with paranoid features. Although there was a real threat, his behavior could plainly be classified as paranoid. While his notorious behavior shows that he was psychopathic, his non-verbal behavior was also a clue leading to this deduction.

Saddam’s Non-Verbal Leak Saddam elevated his left eyebrow pulling his eyes into a tight stare, then tightened his jaw muscles and proceeded to tighten his upper lip and swallow down. This NVL would be listed as follows: • Eyes open • Left Eyebrow elevated • Eyes into a tight stare • Tightened jaw muscles • Tightened upper lip • Swallowed down • Eyes open

Saddam’s Non-Verbal Leak Brought to a Symbolic Level The referential aspect of Hussien’s non-verbal leak is a tool that provides clear distinctions between body functions and the conscious and unconscious self-concepts. The fact that the unconscious can be seen via the NVL in the face and body eliminates guessing about the movement, meaning, and messages of Saddam or virtually anyone else. The muscles of his face provide clues to the true message of his unconscious. Muscles controlling the expressions around his mouth reflect, as part of the SL-3 in the NVL, anger in. The muscles affecting the closing and pursing of his lips are associated with his SL-3 control as it relates to his unconscious self-concept. The principal muscle associated with the control and blocking of his aggression is the masseter. As his primary SL-3 was the blocking of his aggressive impulses, he developed enlarged masseter muscles. These muscles were enlarged due to his literal biting down of his initial response (SL-2) and diverting it to his SL-3 for later expression in a calculated emotional response. There was tension showing in his top lip as he literally kept a stiff upper lip, keeping his mouth shut about what he really felt. Saddam’s NVL had aspects of what we refer to as no behavior (point 3 of his NVL, “Eyes into a tight stare”). This makes analysis of non-verbal behavior difficult in cases such as Saddam. It is a characteristic of a psychopath to exhibit little, if any, noticeable response in situations where other people would show their feelings clearly. The no-behavior behavior results from the lack of super ego development, which is a hallmark of the psychopath. Conversely, it can also be found in individuals with a weak ego structure. In the case of Saddam, it was the ticking time bomb inside, waiting to explode, which, as history shows, detonated all too often. The 1992 Academy Award winning film The Silence of the Lambs, a dark psychological thriller, gives a perfect example of this kind of no-behavior behavior: As portrayed by Hopkins, Hannibal is both a suave, cultured gentleman and an unspeakable fiend. He is gracious and monstrous at the same time. (Hopkins also provided one of the most quotable lines in recent film history with “I ate

his liver with some fava beans and a nice Chianti,” which was followed by an inimitable slithering slurp.) (Berardinelli, 2000) Without the super ego, the person lacks what could be termed the conscience, the internal check that keeps the cultured gentleman from becoming the unspeakable fiend.

Saddam’s Symbolic Level of Response SL- 1 Impact—pain/disbelief SL- 2 Primary Emotion—anger SL- 3 Primary Coping Strategy— calculated emotional response The NVL Statement on the Symbolic Level We can deduce that Saddam might say, “I feel distrust and disbelief, and it makes me angry. I, however, control my anger and search for a rationalization to give it open and full expression.” How is this deduced from his NVL? We can deduce “I feel distrust and disbelief ” from Saddam’s

point 2, left eyebrow elevated, and 3, eyes in a tight stare. We garner the statement “It makes me angry” from point 4, the tightening of his jaw muscles. Point 5, the tightening of his upper lip, reveals “I, however, control my anger,” and point 6, swallowing down, provides us with “I search for a rationalization to give it open and full expression.” Saddam’s clinical diagnosis, like all evaluations done using this method, is based solely on his nonverbal responses and the symbolic levels of his NVL. Saddam’s SL-1, -2, and -3 results do not suggest that a person with similar responses to the world will adopt the same strategies as the Butcher of Baghdad. They reveal that when extreme behavior is known to exist and a criminal profiler is called into a case, he or she is able to deduce the unconscious strategies and predict the behavior and actions of the person being profiled with a higher degree of exactness. The profiler strives for accuracy and predictability, so he or she can provide practical suggestions for law enforcement. Summer 2007 THE FORENSIC EXAMINER 41

The NVL is based on observable data. This, of course, is not possible when there is no known photograph or video record of the subject available. In most cases, some description eventually surfaces during the investigation. In the case of the Night Stalker (Richard Ramirez), I worked off a composite sketch made by a survivor. It provided a treasure trove of information, as the survivor had a PTE that burned an image of key impressions into her memory. The causality of personality has many aspects. One might wonder how a person can become capable of such dastardly acts. In a recent article entitled “Mind, Brain, and Personality Disorders,” Glen Gabbard (2005) made the following observations: The etiology of borderline personality disorder is probably multifactorial, but extensive research supports the notion that early abuse and neglect may be a significant factor in many cases. Early childhood separations, chaotic home environments, insensitivity to the child’s feelings and needs, emotional discord in the family, and trauma of varying 42 THE FORENSIC EXAMINER Summer 2007

degrees have all been implicated in the etiology. (18) Although he was addressing borderline personality disorder, similar factors are contributors to the psychopath’s etiology.

Saddam’s Clinical Profile The psychopath does not develop a capacity for depressive anxieties or for guilt from concern that his actions can hurt others. This explains the lack of response on a nonverbal level. Saddam’s swing from the riflefiring leader on a balcony to the benevolent man stroking a frightened child’s head on CBS television demonstrates the range of possibilities that typify the psychopath. He demonstrated his unique management style in a meeting when a general gave unwelcome advice. Saddam ordered him to stand and then shot him six times. Stories abound regarding Saddam’s violent actions and his orders for others to commit violent actions. Consider the actions for which he was tried and hanged: On July 8, 1982, Saddam was visiting the town of Dujail (50 miles north of Bagh-

dad) when a group of Dawa militants shot at his motorcade. In reprisal for this assassination attempt, the entire town was punished. More than 140 fightingage men were apprehended and never heard from again. Approximately 1,500 other townspeople, including children, were rounded up and taken to prison, where many were tortured. After a year or more in prison, many were exiled to a southern desert camp. The town itself was destroyed; houses were bulldozed and orchards were demolished. (Rosenberg, 2005) Saddam’s NVL showed he had an unconscious core of distrust and disbelief. The consequence was that no one could get close to him. It was also a factor in the development of antisocial strategies that manifested themselves so clearly in cold, calculated, vicious behavior. For example, Saddam unemotionally and ,with absolute assurance, systematically manipulated his son-in-laws to return from Jordan, where they had fled. They feared retribution after making remarks about his weapons pro-

gram. Jerrold Post, former CIA Analyst and psychiatrist, remarked: In February 1996, in what might be characterized as “assisted suicide, Iraqi style,” both men and their wives returned to Iraq after Saddam provided assurances that they would be safe and forgiven. Within 48 hours of their arrival back in Iraq, both men had been murdered. (Post & Baram, 2002) Frank Fisk, a journalist for the Londonbased Independent, wrote, There is about Saddam a peculiar ruthlessness, an almost calculated cruelty, perhaps even an interest in pain. It wasn’t enough to order the murder of his sons-in-law after their return from exile in Jordan. They had to be dragged away with meat hooks through their eyes. It wasn’t enough to order the hanging of the Observer journalist Farzad Bazoft in 1990; Bazoft was to be left unaware of his fate until a British embassy official turned up at the Abu Ghorraib prison to say goodbye. (Fisk, 2000).

Saddam’s Personality Type In the Goodfield Method of analysis there are 12 hypnotized personality types. In the methodology, Saddam is within personality type seven. It is important to note that not all people who are within this category are ruthless tyrants or, for that matter, psychopaths. Saddam’s case is that of a personality at the extreme limits of psychopathology so that his actions resulted in behavior with a proclivity to a specific clinical diagnostic category. In his case, it is an extreme manifestation of a type seven. The type seven, or observer personality, is a witness not taking part in the events that go on around him or her. This ability to stand back and observe individuals and events makes him or her a powerful person when it comes to facts, information, and data about people and places. He or she is often a critical player in major decision-making situations and is often found at the center of policy decisions. His or her strong ego often puts him or her in the center of the fray where action is required. A type seven personality knows what is necessary to obtain his or her objectives, but often watches others’ actions rather than leading a group. He or she is a keen observer and is insightful about the dy-

namics of the situations in which he or she becomes involved. He or she will not hesitate to speak up when he or she feels the time is right, and he or she quickly notices who agrees with his or her viewpoint and who does not. When such persons want to be, they can be the center of attention, showing power, skills, and outstanding organization abilities.

Final Thoughts The last moments of Saddam’s life flashed around the world via the Iraqi national televsion station, Al-iraqia. Saddam was executed by hanging at 0600 (0300 GMT) in a secure facility in the Northern Baghdad suburb of Khadimeya on December 30, 2006. To most people it is unimaginable that a person could behave in the way Saddam Hussein did. Today, Kim Jong-il, Robert Mugabe, Seyed Ali Khamane’i, and, of course, Osama Bin Laden fill the pages of our newspapers and our television screens with language and logic that defy our comprehension. To enter the minds of such people is both difficult and essential. A person must put aside the logic and values with which he or she has been raised. We must confront and ultimately defeat those who would impose their will on our society. Understanding the NVL can be a valuable tool and even a weapon in that fight. The forensic examiner stands as the new Centurion at the gates of the 21st century. References Woods, K., Lacey, J., & Murray, W. (2006). Saddam’s delusion: The view from the inside [Electronic version]. Foreign Affairs, 85. Retrieved from http://www.foreignaffairs.org/20060501faessay85301/kevin-woods-jameslacey-williamson-murray/saddam-s-delusions-the-viewfrom-the-inside.html Berardinelli, J. (2000). The Silence of the Lambs: A film review by James Berardinelli Reelviews. Retrieved from http://www.reelviews.net/movies/s/silence_lambs.html Bullock, A. (1981). Hitler. New York: Bantom Books. Fisk, R. (2000, December 30). Saddam Hussein: The last great tyrant. The Independent. Gabbard, G. O. (2005a). Mind, brain, and personality disorders. American Journal of Psychiatry, 162 (4), 648–655. Gabbard, G. O. (2005b). Psychodynamic psychiatry in clinical practice (4th ed.). Arlington, VA: American Psychiatric Publishing. Goodfield, B. A. (1999) Insight and action, the role of the unconscious from personal to international levels. London: University of Westminster Press. Goodfield, B. A. (1984). Special homicide task force San Francisco Police Department, the night stalker: A psychological analysis of a composite sketch. San Francisco, CA: Author. Sampson, S. (2005, July 18). Charging Saddam. KnowledgeNews.net. Retrieved 2007, from http://knowledgenews.net

Post, J. M., & Baram, A. (2002). Saddam is Iraq: Iraq is Saddam. Maxwell Air Force Base, Ala.: Air University Press. Rosenberg, J. (27 Oct. 2005) “Top 5 crimes of Saddam Hussein” About.com. Retrieved 2007, from http://history1900s.about.com/od/saddamhussein/a/husseincrimes. htm Zanarini, M. C., & Frankenburg, F. R. (1997). Pathways to the development of borderline personality disorder. Journal of Personality Disorder, 11(1), 93–104.

About the Author Barry Austin Goodfield, PhD, is senior professor at Henley-Putman University, an international lecturer, and an author. He has advised presidents, prime ministers, and other top leaders on crisis management and conflict resolution and stress reduction. He helped negotiate the Baltic crisis and the conflict between Chechnyan leaders and President Yeltsin. He continues to share his methods and train other top professionals who specialize in the nonverbal language of the human mind. He has spent 30-plus years identifying and codifying unconscious signals. His work is based on the only patented psychotherapeutic process, which he developed in the 1970s using advanced video techniques. Dr. Goodfield has helped senior corporate executives, attorneys, ranking international civil servants, and cabinet-level officials on five continents. He profiles war criminals for law enforcement, prosecution staffs, and international courts. He is assisting in the American antiterrorist activities by profiling known international criminals. He is a member of the American Psychological Association, a Fellow of the American Board of Forensic Examiners, a Diplomate of the American Board of Forensic Medicine, and a member of the California Association of Marriage and Family Therapy and the American Academy of Experts in Traumatic Stress. During his time as a visiting professor at the Diplomatic Academy of London, University of Westminster, he published Insight and Action: The Role of the Unconscious in Crisis from Personal to International Levels. He has been lecturing for the Foreign Service Program of Oxford University in England. He currently splits his time between his institutes in Europe and America. He may be contacted at bgoodfield@aol.com. For more information visit www.goodfieldinstitute.com.

Summer 2007 THE FORENSIC EXAMINER 43

Interviewing Murderers and Suspects: Learning About the Crime and the Killer

By John Douglas, EdD, FACFEI n order to understand the artist, you have to look at the artwork. It’s the same thing with killers— you really have to study the crime. You have to look at how it was done and then you can begin to understand why.

44 THE FORENSIC EXAMINER Summer 2007

In the past, authorities made decisions about sentencing, treatment, parole, and probation without really knowing the motivation behind the crime. Today, there is more of an effort to try to gain insight into the minds of killers, rapists, and other criminals. Before you sit across a table from either a convicted or suspected killer, you need to do your homework. You have to study the crime scene and autopsy photos of the victims and read the police reports. And you have to complete the victimology—an analysis of the subject. Being familiar with all this information will help convey to the offender the idea that you are interested in him. And from that, he may also come to believe that you’re showing him respect— an initial objective in establishing rapport.

Building Rapport is the Key As with any interview, developing rapport is the key. An investigator builds rapport by understanding the killer’s world. Conveying respect for a murderer means setting aside your personal feelings about the nature of the crimes committed. You may have to sit there joking around with someone who preys on little children or tortures his victims in unspeakable ways. But it’s worth it if you come away

from an interview with firsthand information about the killer’s values, beliefs, and thinking patterns, not to mention an admission of responsibility for the crimes. And it moves things along more quickly. When the interviewer shows respect for the killer, the subject spends less time evaluating the person who is trying to crawl inside his mind. Across the Table From Murderers During a study conducted for the FBI, some colleagues and I interviewed killers whose crimes were sexual in nature. These offenders were already convicted and behind bars, but we believe the same techniques we used for this study are beneficial in interviewing suspects during the process of trying to apprehend a killer. The questions we asked centered on four phases of the murder: the pre-crime phase, the actual crime, disposal of the body, and the postcrime phase. In the pre-crime phase, it’s helpful to reconstruct the scene prior to the murder. We asked offenders to describe how their day went before they committed the crime and to describe their thoughts and feelings before encountering the victim. This helps the interviewer determine what moved the offender’s murder from fantasy to action. Regarding the murder, it’s important to talk about gaining access to the victim; conversations and behavior involving the victim; transporting the victim; sexual behavior before, during,

and after the victim’s death; methods of torture; other acts after the victim’s death; and thoughts and feelings throughout this time. Our interviews with murderers made clear the importance of fantasy in planning the disposal of the victim’s body. This is the point where the killer may first come to grips with the reality of what he has done. Here, we asked what individuals had done with the body; how the offender left the scene; what, if anything, he took from the body or crime scene; and what he thought and felt during this time. We asked the offenders what they did right after the murder. Did they change clothes? Go out to eat? Go to sleep? Have a night out with friends? We wanted to know their thoughts and feelings about their crimes, whether they dreamed about them, went back to the crime scenes, attended the funerals, read about them in the papers. Did they talk to police or assist in the search for the bodies? Fantasy Fuels Sexual Homicides The role of fantasy in sexual homicides cannot be emphasized enough. Fantasy fuels these killers and provides a kind of instant replay for them after the murder is over. They can relive their crimes indefinitely, playing them over and over in their heads. The fantasy life provides a sense of power and control, along with emotional stimulation. However, people with a long-standing fantasy life may not talk about it easily. Often, a low-key approach is successful in getting them to talk. Killers with a rich fantasy life tend to provide very specific details about their crimes. It isn’t difficult—they have been thinking about it nonstop. It is important to be able to ferret

out these details during interviews—they provide the best information about how the subjects operate.

Looking Into the Face of Evil: What Profilers Learn by Talking With Killers After my collapse in December 1983, I was in a coma for a week, suffering from viral encephalitis brought on by the pressures of an enormous caseload. When I came out of it, I was in terrible shape—I could not talk, and the left side of my body was almost entirely paralyzed. I endured 5 months of rehabilitation before I was ready to work. But I could not shoot; I still have trouble with my left hand. I wondered if the Bureau would want me back, so I mentioned this to then-director William Webster, who said, “Don’t worry about that, John. We want you for your mind.” He meant it. The profiler’s best weapon is his or her mind. You might be a great shot, or be able to bench 450, or be fluent in six languages, but none of that qualifies you for the mental gymnastics you will have to do when visiting a crime scene and constructing a profile of the criminal—or looking evil in the face and getting it to talk. Imagine visiting Charles Manson at San Quentin. He sits on the back of a chair, looking down at you. You start talking. You cannot help but stare at that swastika on his forehead. The way he ducks responsibility for the grisly Tate-LaBianca murders sickens you. Thinking about the nearly fullterm unborn child that Manson’s followers murdered chokes you up. You sweat, become angry, or squirm in your seat. You will not get anything from him now. Refining the Technique In speaking with Manson as part of a research interview, I could not let that happen. So I let him tell his side of things, and he ultimately explained how he used sex, sleep deprivation, drugs, and other means to exert control over his followers. This helped us understand other messianic figures we encountered later. Those research interviews served two important purposes. First, they taught

us how to refine the art of interviewing—each was a trial by fire. Second, by doing them we established the patterns we now apply to finding serial criminals and to gleaning information from those who have been caught. This brings me to another type of interview and a function of profiling—getting critical information from incarcerated offenders, either about crimes we know they committed or about open cases. Research interviews provide data for the FBI, but when we go in for this second type of interview, we are looking for information for local authorities. Say someone confessed to killing seven people and was convicted for the crimes. That does not mean he has not killed seven more that we do not know about. An “Accidental” Murder To this end, I’m often asked to evaluate convicted criminals for pardon and parole boards. This was the case with Robert Zarinsky, a killer I interviewed at the New Jersey State Prison. The cable network TNT was there, taping us for the upcoming documentary Faces of Evil. Zarinsky is serving a 98-year sentence for killing 15-year-old Rosemary Calandriello, who was running a few blocks from her home to buy snacks when he kidnapped and murdered her in 1969. Her body was never found. For years after his conviction, Zarinsky insisted he had never even met the New Jersey teenager. He eventually admitted killing her “accidentally” by backing over her in his car, but he never told anyone what he did with her body. I sat with Zarinsky for 6 hours without even stretching my legs. You have to be patient. The subject has his own agenda, and he will go off on tangents. You cannot get angry. You have to listen and watch for his carotid artery to pulsate and his pupils to dilate or for other signs that he is losing control. Playing the Part You cannot show any of those same signs, even though they are logical effects of the shock, stress, and horror you might be feeling. He will be watching for them, too. You have to play along like an actor in a role. He might need to believe he is manipulating Summer 2007 THE FORENSIC EXAMINER 45

A selection of books by John Douglas Inside the Mind of BTK: The True Story Behind Thrity Years of Hunting for the Wichita Serial Killer, 2007 Anyone You Want Me to Be, 2003 Crime Classification Manual: A Standard System for Investigating and Classifying Violent Crime, 2006 Man Down: A Broken Wings Thriller, 2002 Broken Wings,1999 The Cases That Haunt Us: From Jack The Ripper To JonBenet Ramsey, the FBI’s Legendary Mindhunter Sheds Light on the Mysteries that Won’t go Away, 2000 The Anatomy of Motive: The FBI’s Legendary Mindhunter Explores the Key to Understanding and Catching Violent Criminals, 1999 Guide To Careers In The FBI, 1998 Obsession: The FBI’s Legendary Profiler Probes the Psyches of Killers, Rapists, and Stalkers and Their Victims and Tells How to Fight Back, 1998 Sexual Homicide: Patterns and Motives, 1988 Journey Into Darkness: Follow The FBI’s Premier Investigative Profiler As He Penetrates The Minds And Motives Of The Most Terrifying Serial Killers, 1997 Mindhunter: Inside The FBI’s Elite Serial Crime Unit, 1995 Unabomber: On The Trail Of America’s Most-wanted Serial Killer, 1996

you, that you are buying what he is saying, and that you are impressed by it. In this circumstance, you have to play on his ego, complimenting him on his crimes or, conversely, pointing out the goof that got him caught. It can be disgusting. I have sunk to the lowest depths in some of these interviews. With Zarinsky, it was more a matter of coming at him with skepticism and challenging him: “Come on, you really expect me to believe you drove this girl to a secluded spot—no probing eyes—and you did not have sex with her?” Finally, Zarinsky got that thousand-yard stare. He looked off, over my shoulder, and started talking. When he finished, I knew where he had dumped Calandriello’s body. He had hauled her over his shoulder, like a “hundred-pound sack of potatoes,” and thrown her into the Atlantic Ocean. Making Connections Why is it important to know this? It goes beyond closure for the victim’s loved ones and getting information for the parole board. In the months following Calandriello’s disappearance, four young women were killed near that same area. Each was badly beaten and then strangled with electrical wire tied in the same type of knot. They were all found naked from the waist

46 THE FORENSIC EXAMINER Summer 2007

down, but none had been sexually assaulted. While we cannot make comparisons to Calandriello’s death without a body, there are similarities in the way she and the others were kidnapped, along with eyewitness reports of the car used to abduct the women. Zarinsky is the main suspect in these murders. Knowing what he did with Calandriello’s body may have provided authorities with more connections among the five murders, which could help put those four open cases to rest.

Zeroing in on a Suspect’s Weakness: How Profilers Stage an Interrogation When investigators interrogate a suspect in a crime, they have to pay careful attention to the process. Months or years of work on a case can be lost when just one interrogation is run without forethought and preparation. I have conducted a few interrogations, as profilers are sometimes called upon to do this. But most often, their job is to help select and prepare investigators from local law enforcement or state or federal agencies—often, other FBI agents—to question the suspect. By formulating an approach that zeroes in on the suspect’s weakness, profilers augment the investigators’ knowledge of the case with a script and setting for the interrogation— what I call staging.

My first opportunity to stage an interrogation came in December 1979, when an FBI agent in Georgia called me for assistance. He was investigating the rape and murder of 12-year-old Mary Frances Stoner, who had disappeared the previous week after a school bus driver dropped her off 100 yards from her front door. Darrell Gene Devier, who had been trimming trees in the area the week before, drove up just after Mary Frances got off the bus. He forced her into his car and took her to the isolated, wooded area where her body was found soon after she was killed. He raped her in the car and was surprised to find that she was not going along with it. She struggled and begged and cried— ruining the fantasy he had constructed of what it would be like to have sex with her. He Could Not Let Her Go He let her out of the car and told her to get dressed, but decided he could not let her go. When she turned her back to him, he began strangling her, knocking her out while pushing her to the ground. But he was not strong enough to choke her to death, so he lifted a 50-pound rock and dropped it onto her head again and again until she was dead. There were no witnesses, so how did we know what had happened? By telephone, I was given descriptions of the crime scene, autopsy results, and the victim’s personality. From this information, I constructed a probable scenario for the crime and a profile of the unknown subject, or UNSUB, which turned out to be very accurate. The

would not mention the rock at first, but would allow Devier to sweat and sneak glances at it while they talked about other aspects of the crime.

police brought Devier in, but he was uncooperative, cocky, and evasive. His polygraph results were inconclusive. He felt confident he could beat the system. The way we staged his interrogation was going to be important. So I went to work and came up with a plan. Setting the Stage First, a team made up of both local police officers and FBI agents from the Atlanta field office would conduct the interview, which would intimidate Devier and let him know this was a big deal. Second, the team would question Devier in the evening, in a room with dim lighting. The setting would relax Devier, which would make him vulnerable to a key stressor that would be placed in the room. Third, stacks of overflowing folders with his name on them would be placed in the room. Even if the folders were filled with blank paper, Devier would believe that this was a thorough investigation. Fourth, they would bring up the issue of spattered blood. I knew from other blunt-force-trauma cases that the murderer would have gotten blood on his clothes and hands. If Devier was their man, he would respond strongly to the mention of this. Fifth, and most importantly, they would place the bloody rock from the crime scene—the murder weapon—a few feet from Devier, 45 degrees below his line of sight. If he was guilty, I knew he would never be able to keep his eyes off it. The interrogators

Transfixed by a Bloody Rock The rock was his weakness, the key stressor he would be unable to ignore. I warned the interrogators that they would have to sink to Devier’s level by projecting blame onto the victim by suggesting that she had seduced him. Allowing Devier a face-saving scenario was their only chance of getting a confession because Devier knew that Georgia is a death penalty state. The instant Devier entered the interrogation room, he was transfixed by the rock. He started sweating, breathing hard, and cowering. As planned, interrogators projected blame onto the victim. Devier got really quiet. An innocent man will scream and protest, but a guilty man will listen to what you have to say if you have surprised him with a chance to save face. Then they moved the rock, placing it on the table right in front of Devier. They told him they knew he was guilty, but that they believed he had only planned to rape the victim, not kill her. They said others thought the killing was premeditated, but they knew better and had spoken with the district attorney. They said they understood that he had been frightened and acted suddenly; otherwise he would have brought a real weapon instead of using a rock. Boom. Devier confessed to the rape and murder of Mary Frances as well as another rape the previous year. He was executed in 1995. Do not miss John Douglas’ presentation at the 2007 ACFEI National Conference in Kansas City, Missouri, where you will have the opportunity to hear about many more fascinating cases and Douglas’ revolutionary profiling techniques. For more information, call toll free (800) 423-9737 or visit www.acfei.com.

Infamous Cases Tackled by Douglas JonBenét Ramsey

The parents of JonBenét Ramsey found their daughter’s body on Christmas Day in 1996 in the basement of their Boulder, Colorado home. The killer remains at large and the investigation continues more than 10 years later.

The Unabomber

A hermit living in the mountains outside of Lincoln, Montana, Ted Kacinski terrorized the nation through a series of bombings from the 1970s to the early 1990s. He was arrested April 3, 1996.

The BTK Strangler

Dennis Rader murdered 10 people from 1974 to 1991, and he eluded authorities until his arrest in 2005. His brutal, sexually motivated killings happened in Wichita, Kansas. BTK, a name he gave himself, stands for Bind, Torture, and Kill. (MCT photo)

Green River Killer

Gary Ridgway, better known as the Green River Killer, was arrested in 2001, and he later pleaded guilty to 48 counts of aggravated murder. Authorities think Ridgway killed 50 or more women in the 1980s near the cities of Seattle and Tacoma, Washington.

Atlanta Child Killer

From 1979 to 1981, 29 people, most of them children, were murdered in Atlanta. Authorities arrested Wayne Williams on June 21, 1981. He was tried and convicted for the murder of two adults, and authorities declared 22 of the remaining murder cases solved.

Summer 2007 THE FORENSIC EXAMINER 47

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Photo courtesy of Shalee Cooper

An Interview with Greg Cooper, MPA, FBI (Retired), Chief of Police (Retired)

Please tell readers about your background and professional experience in criminal profiling and behavior analysis. My first official criminal profiling assignment was with the FBI, Seattle Division, which was my first field office. In 1988, after a couple of years with the Bureau, I was promoted to field coordinator for the Criminal Profiling Unit, which was aligned with the National Center for the Analysis for Violent Crime (NCAVC) at the FBI Academy in Quantico, VA. My duties included facilitating communication between the NCAVC and the local law enforcement agencies in Washington state. My ultimate goal was being promoted to a full time profiler at the NCAVC—my primary motivation for joining the Bureau. After serving 2 years in Seattle, I was transferred to the LA Division, where I was a Field Coordinator for another year. In 1990 I had my big break: I was promoted to profiler with the Quantico unit. I was very fortunate to have been promoted so early in my career. I had only been with the Bureau for 5 years, so it was exciting to find myself so quickly doing what I had joined the Bureau to do. During my 5 years as an FBI profiler, I was also privileged to 52 THE FORENSIC EXAMINER Summer 2007

teach several classes at the FBI’s prestigious National Academy; I supervised the Violent Criminal Apprehension Program, and I ultimately acted as the profiling unit chief for about a year. During that time, several unit members co-authored the Crime Classification Manual—a landmark publication that classified three major categories of crime: homicide, sexual assault, and arson and bombing. This was a major accomplishment for the unit under the leadership of John Douglas, Ann Burgess, and Robert Ressler. Profilers used behavioral analyses of hundreds of cases and corresponding motivations to develop classifications. I was privileged to write the chapter about prescriptive interviewing, which incorporates profiling principles into the interview/interrogation process. While I was a member, the unit reviewed thousands of cases varying from serial homicide to political corruption and terrorism. I was honored to learn my craft from John Douglas, who is among the foremost pioneers of the art. I was also fortunate to receive instruction from Roy Hazelwood, who led the way in applying profiling concepts to sexual assault. In 1995, I left the FBI to serve as the chief of police in Provo, Utah. It was a difficult decision, but I had always wanted to return to Provo, where I began my law enforcement career as a police officer in 1977. It was great to come full circle, and it led to a lot of opportunities I would never have had if I had stayed with the FBI. I was able to join a good friend and partner, Mike King, to co-host a couple of Discovery Channel programs, co-author books and studies, and, for the last 11 years, teach international courses in criminal profiling, prescriptive interviewing, victimology, and cold case methodology. Currently, I enjoy instructing the college courses Psychological Profiling and Anatomy of Homicide. Additionally, I enjoy working in the legal profession as an expert witness. I look at life as a mission with several adventures to accomplish, rather than one career, and I am having a great time.

In what direction do you see the field of behavior analysis and criminal profiling going? I think it is an opportune time to seize the current notoriety criminal profiling receives in the media. When I have applied profiling’s behavioral principles to a case analysis, they have always resulted in more, and improved, insight. When teaching these principles, I have also found that police professionals agree with that conclusion. It is always helpful, and sometimes even pivotal, to address a case behaviorally first. It helps you understand the puzzle and may provide the missing piece to complete it. Profiling and behavioral analysis concepts are not commonly taught in basic training academies or even in investigators training. Most investigators have had no training in this area, and there are few qualified instructors who provide it. The professionally committed must seek the training and use it effectively. I know the demand to learn and apply the knowledge is peaking, but currently there is no official association that provides guidance, training, or education to promote profiling’s untapped value. Until that happens, Hollywood will continue to be its biggest promoter and beneficiary. With that in mind, what steps do you believe that ACFEI and its members should take to advance the field? I believe that ACFEI possesses the credentials, professional esteem, and notoriety to promote profiling. I suggest that ACFEI and its administration seriously work to elevate the art and science of criminal profiling to a professional status by acknowledging it as a pivotal tool and investigative aid in developing all sources of evidence leading to a successful case conclusion. Please describe your experiences working closely with John Douglas. John has been my professional mentor for many years. He has lived up to his reputation as a distinct professional and continued to advance the art and science of profiling

to its current level of notoriety. Had it not been for John’s commitment and dedication to profiling early in his career, I doubt that profiling would ever have received the national attention and recognition it enjoys today. He trained me as a profiler and mentored me as my supervisor. It took a very strong and confident personality to successfully lead, manage, and guide the types of personalities assigned to the profiling unit because all the agents were also very strong and confident. While John was promoting the discipline in the FBI, it was met with significant resistance because it was a new, innovative way of investigating, and it took awhile to break some barriers. It took both his unique personality and professional integrity to advance the concepts successfully. I served as one of John’s program managers, and I was always impressed by his willingness to include each supervisor’s opinions. He was a true leader who never felt threatened and always valued everyone’s differences, believing that our real strength was in our differences. After I served little more than a year in the unit, John assigned me to a case that required an expert opinion and testimony to behaviorally link two homicides to the same offender. Typically, these cases were reserved for more experienced agents, so he took a lot of flack for letting me take the case. After all, we had a lot to lose. If I failed and we lost the case, two police departments and two county attorney’s offices would have looked bad, the Bureau would have been embarrassed, and our program would have taken a lot of hits. I was even beginning to second-guess myself. Despite all the pressure to reassign the case, John had more confidence in me than I did. I remember calling him the night before I was to go on the witness stand. His counsel to me then was, “Listen, Cooper, you have got nothing to worry about. All you have to do is teach them. Don’t get wrapped up with the defense counsel. Just teach the judge, the jury, and the attorneys, and everything will turn out. Now get some sleep. You’ll need it for tomorrow.” Fortu-

nately, it was a success and ended with two convictions and two death penalties. (The convicted received the death penalty for each separate homicide. I have often wondered how that sentence will be carried out!) I have never forgotten that case. John is a man of great integrity and is willing to go out on the front lines for his people. Another incredible experience is to watch him sit in on a case review. John has an uncanny ability and gift for profiling. He would listen to the case presentation and then allow all the other profilers to comment. Once everyone who wanted to say anything was done, he would share his perspective on things. What he saw never ceased to amaze us, and it left us wondering, “Where does he get this stuff?” or “How does he see that?” He encouraged everyone to offer insights, but he did not have time to waste if you did not have something worth saying. Occasionally, some poor guy felt like he just had to be heard and began pontificating about the obvious. That would only happen once. I was glad to have learned that lesson by watching others!

Please tell our readers about your upcoming book that will be available for conference attendees to purchase. I co-authored this book with Mike King and Tom McHoes. Mike is a 25-year retired law enforcement veteran and Tom McHoes is a former Investigative Reporter. The book, entitled Predators: Who Are They and How To Avoid Them, emphasizes the victimology principles applied to several cases while assessing them from the perspective of the victim, offender, and profiler. We have taken the cases from our own personal archives and from cases we have analyzed, and they have been highlighted by interviewing serial offenders who have provided their insights on crime prevention.

What would you say to members who are considering attending John Douglas’s presentation at the 2007 National Conference? Do not miss the opportunity. It may never come again! You will be giving a full-day session the second day of the 2007 National Conference. What topic will you be covering? I will be presenting “The Ten Filters of Profiling” with an emphasis on vicitmology from 8:00 a.m. to 2:00 p.m. on Saturday, October 6. What can attendees expect to learn from your presentation? They will learn a systematic approach and model to profiling or criminal investigative analysis. I will incorporate the Behavioral Model and Interpersonal Violence Model that I developed when I was teaching profiling at the FBI National Academy.

ISBN 978-1-59102-506-1

Summer 2007 THE FORENSIC EXAMINER 53

When Crime Pays By Bruce Gross, PhD, JD, MBA, FACFEI, DABFE, DABPS, DABFM, DAPA etween federal, state, and local jurisdictions, countless acts and omissions are deemed illegal, each with numerous elements and characteristics. Given this immensity, when monitoring and analyzing crime rates and trends, researchers generally use a crime typology in their methodology. Crime typologies are designed to capture specific components of crime, thereby creating homogeneous and differentiated groupings out of the many components of crime and criminal behavior. A given typology may focus on the crime itself, on characteristics of the offender or victim, on the context in which the crime occurred, or on a combination of these dimensions. The most well-known and frequently used crime typologies are based in the legal definitions of criminal behavior. The simplest of these is the misdemeanor versus felony classification system, which distinguishes between offenses on the basis of the seriousness of the given act or offense. A slightly more complex legal classification of crime types is based on the endpoint of victimization: person, property, or public order. The final and most widely recognized legal crime typology is based on the crime’s severity or intensity. In this classification system, crimes are categorized as either index or non-index crimes, with index crimes being the more severe and researched of the two. Index crimes include select violent crimes (murder and non-negligent manslaughter, forcible rape, robbery, and aggravated assault) as well as property crimes that include the greatest potential risk or cost (burglary, larcenytheft, motor vehicle theft, and arson). Facts and Fears For decades, two agencies within the Department of Justice (DOJ) have tracked index crimes using different data sources (Federal Bureau of Investigation [FBI], 1994–2005; Bureau of Justice Statistics ([BJS], 1994–2005). The Federal Bureau of Investigation (FBI) started collecting data in 1929, and on a monthly basis since 1994 has collected reported crime data from law enforcement agencies representing over 95% of the total U.S. population. Yearly, since 1972, the Bureau of Justice Statistics (BJS) has collected nonfatal victimization data (both reported and non-reported) from a representative sample of U.S. inhabitants. In 2005, the BJS interviewed approximately 134,000 people age 12 and over (representing around 77,200 households), with a respective 84.3% and 90.7% eligible individual and household response rate (FBI, 2006a). According to both surveys, crime index offenses in the United States—both violent and property—have been on the decline since 1994 (FBI, 1994–2005; BJS, 1994–2005). The FBI’s data show that victims reported almost 14 million index crimes to authorities in 1995, as compared to 11.4 million in 2005 (FBI, 2006b). Looking at total victimizations (i.e.; reported and non-reported), BJS data demonstrate a decline from approximately 38 million in 1995 to approximately 23.2 million in 2005 (Catalano, 2006; BJS, 2000). Public attitude regarding crime, violence, and victimization reflect the demonstrable decrease in crime between 1995 and 2005 (BJS, 2006). In 1995, the largest percentage of respondents (27%) cited crime and violence as the most important problem facing the country. By 2005, only 2% shared the same concern. Despite the lower prioritizing of crime and violence as a national concern, a significant percentage of the population frequently or occasionally worry about becoming victims of crime (BJS, 2005a; BJS, 2005b). In 2005, when considering a range of violent and property crimes, respondents feared crimes related to burglary the most (BJS, 2005b). Specifically, 24% of those surveyed frequently or occasionally worried about their home being burglarized while they were present, and a notable 45% frequently or occasionally feared their home being burglarized while they were away. In response to their fear, 29% installed a burglar alarm and 23% bought a gun for self-protection. The public’s burglary fears may be well justified. In 54 THE FORENSIC EXAMINER Summer 2007

Summer 2007 THE FORENSIC EXAMINER 55

2005, burglary was the only property crime to increase over the preceding year (FBI, 2006b). Eighteen million property crime victimizations occurred in the United States in 2005 (Catalano, 2006). Slightly less than 3.5 million of those were burglaries, and 65.8% were of household structures. Victims reported approximately 2 million burglaries to law enforcement (FBI, 2006a). Criminals stole a total of $3.7 billion in property in 2005, representing an average per burglary dollar loss of $1,725 (FBI, 2006b; BJS, 2000). Cost and Benefits While some may view violent crimes as spontaneous crimes of passion or psychological and legal insanity, people are apt to view property crimes as more calculated and planned. Clearly, planned crimes have a higher likelihood of success. At the same time, planning and premeditation imply consideration of possible consequences. This approach is often seen in street gangs, where younger members are set up to commit and/ or take the fall for a given crime, because the consequent punishment—if apprehended— is less costly than that an adult perpetrator would suffer. With criminals’ rationality in mind, the National Center for Policy Analysis (NCPA) identified expected punishment as a means for determining the cost to the perpetrator of committing a crime (Reynolds, 1999). According to the NCPA, the punishment an offender can expect for a given crime is determined by multiplying four specific factors or probabilities. These include the probabilities of being arrested, of being prosecuted if arrested, of being convicted if prosecuted, and of being sentenced to prison if convicted. This product or total probability is then multiplied by the median (versus the mean) time served for the specific offense. The NCPA used this formula to determine the cost of burglary in 1995. They found that according to the BJS, an estimated 4.8 million burglaries were committed in the United States that year (BJS, 2000). Of those, victims reported approximately 50% (or 50 out of 100) to authorities, and of those, only 13% (or 6.5 of the 50) were cleared by arrest (FBI, 1996). Using the most recently available data at the time, the NCPA found that 90% of burglary arrests (5.9 out of the 6.5) were prosecuted, and just 56 THE FORENSIC EXAMINER Summer 2007

over half of the those prosecutions resulted in conviction. In other words, there were 3.1 felony convictions for every 100 burglaries. Of those convicted, 1.3 were sentenced to prison, with the balance receiving a lesser sentence. The NCPA determined there was a .013% overall probability of serving prison time for burglary in 1995. However, since only half of all burglaries were reported, the odds of a burglar going to prison rose to .026% if the burglary was reported. The true cost of crime for any criminal is not the term of the sentence received, but the actual time served in prison. With the goal of influencing policy that would prevent novice offenders from becoming career criminals, the NCPA concluded the median sentence had greater relevance due to its insensitivity to outliers—those imprisonments that are exceptionally or atypically long. While there was a .013% total probability of being sentenced to prison for burglary in 1995, once in prison, the median time served was 15 months. However, because only 1.3 of 100 burglaries ended in prison time, the median term per act (reported and unreported) was 5.85, or approximately 6 days (.013 x 15 months x 30 days per month). In other words, for a burglar to benefit from his or her crime, what was stolen had to be worth more to the felon than the cost of 6 days in prison.

sentenced to prison while the remainder were sentenced to jail (26%) or probation (28%) (Cohen & Reaves; Data Anlaysis Unit, 2006). In other words, of the .57 out of 7 prosecuted, .38 were convicted, and of those, .174 went to prison. Based on the most recent data available, the median time served for a felon convicted of burglary was approximately 14 months (Data Analysis Unit). With only a .00174% probability of being sentenced to prison, the median term per burglary (reported and unreported) was .73 days. The comparison between expected punishment for burglary in 1995 versus 2005 (as shown in Table 1), suggests that the felon’s average benefit far outweighs the probable cost for committing burglary. An estimated total of $3.3 billion worth of property was stolen in 1995, at an average per burglary loss of $1,259 (FBI, 1996). As such, the potential burglar in 1995 weighed a possible 6 days in prison against an average profit of $1,259, or approximately $210 per day in prison. In comparison, as mentioned above, $3.7 billion in property was stolen in 2005—a $1,725 average per burglary loss (FBI, 2006b; BJS, 2000). For a potential burglar in 2005, virtually no analysis is required to weigh the probable expected punishment of ¾ of a day in prison against an expected profit of $1,725.

Then and Now Between 1993 and 2005, the household burglary victimization rate fell 49%, while the percent of total burglaries victims reported to law enforcement rose from 50% to 56% (Catalano, 2006). Of interest is whether there was a corresponding change in the cost of burglary to the potential perpetrator. According to the NCVS, in 2005, people reported 56.3% of the approximate 3.5 million household burglaries to authorities (Catalano, 2006). In other words, of every 100 burglaries, victims reported approximately 56. With an arrest rate of 12.7% (the lowest clearance rate of all property crimes in 2005), of the 56 reported burglaries (out of every 100), only 7.15%, or an approximate 7, ended in arrest (FBI, 2006b). Based on the most recent available data, of those arrested, only 8% (or approximately .57 out of 7) were prosecuted (Cohen & Reaves, 2006). With a 66% conviction rate for burglary, of those convicted, 46% were

Shifting the Equation Based on a review of the literature, the NCPA determined the most-effective deterrents to criminal behavior are those that are the most obvious or visible such as increased rates of arrest and conviction for any given crime (Reynolds, 1999). The NCPA believed this was especially so for those criminals who used more than a minimal degree of planning or premeditation. Criminologists Wright and Decker (1994) established this theory by interviewing over 100 active and non-incarcerated burglars over the course of approximately one year. Many of their subjects selected their crime category (burglary rather than drugs, etc.) based on the average sentence given for a specific crime, choosing the crime with the lesser sentence. In addition, many subjects made rational choices regarding elements of their crime behavior based on anticipated consequences; that is, choosing not to carry a gun in order not to risk a burglary becoming a robbery.

There is long-standing general agreement that punishment deters crime. Maximizing the deterrent effect of punishment might be achieved most effectively by reinforcing the sequential steps of punishment (i.e., initial report, arrest, prosecution, conviction, imprisonment, and time served). In considering the first step—reporting—public education regarding the importance of reporting all criminal victimizations might prove effective. Not only do fewer burglaries take place in areas where more people report burglaries, burglars are less apt to target neighborhoods where the perceived prospect of the potential victim reporting the crime is high (Wright & Decker, 1994; Goldberg & Nold, 1980). Unfortunately, between 1995 and 2005, there was only a 6.3% percentage point increase in the rate of victims who reported burglaries. Between 1995 and 2005, only two factors showed notable change: there was a shocking decrease in the probability of prosecution, but there was a remarkable increase in the rate of conviction. This is of special concern given the findings of a study comparing the decision-making of prisoners and non-criminal college students that showed prisoners’ decisions were far more sensitive to certainty than severity (Block & Gerety, 1995). In other words, the certainty of prosecution may have a greater deterrent effect than the length of imposed imprisonment if convicted. In turn, the certainty of prosecution might lose its effectiveness and prison sentence length prove meaningless, if actual time served remains low. Between 1995 and 2005, there was a 1-month decrease in actual time served by convicted burglars and a comparatively small increase in the average per-burglary loss. It may not be coincidental that the Sentencing Guidelines added incremental levels to the baseline level for burglary for losses greater than $2,500 (U.S. Sentencing Commission, 2005). What is certain (and was clearly demonstrated during the 1960s and 1970s), is that when the expected punishment for crime drops there is a corresponding increase in the crime index rate.

References Block, M. K.,

& Gerety, V. E. (1995). Some experimental evidence on differences between student and prisoner reactions to monetary penalties and risk. Journal of Legal Studies, 24(1), 123–138. Bureau of Justice Statistics. (1994–2005). National

Table 1: Expected Punishment for Burglary, 1995 and 2005 For every 100 burglaries

1995

2005

Reported

56.3

Arrested

6.5

7.15

5.9

.57

Convicted

3.1

.38

Sentenced to Prison

1.3

.174

Median Time Served

15 months

14 months

Expected Punishment

6 days

.73 days

Average Property Loss

$1,259

$1,725

Prosecuted

Crime Victimization Survey. Retrieved from http:// www.ojp.usdoj.gov/bjs/ Bureau of Justice Statistics. (2000). Criminal victimization in the United States, 1995: A national crime victimization survey report [Electronic Version]. Washington, DC: Department of Justice, Office of Justice Programs. Bureau of Justice Statistics. (2005a). Attitudes toward level of crime in the United States, selected years 1989–2005 (Table 2.33). Sourcebook of Criminal Justice Statistics, Online. Retrieved from http://www.albany.edu/sourcebook/pdf/t2332005.pdf Bureau of Justice Statistics. (2005b). Respondents reporting concern about crime victimization, by sex and race, United States, 2005 (Table 2.39.2005). Sourcebook of Criminal Justice Statistics, Online. Retrieved from http://www.albany.edu/sourcebook/pdf/ t2392005.pdf Bureau of Justice Statistics. (2006). Attitudes toward the most important problem facing the country, United States, 1984–2006. (Table 2.1. Sourcebook of Criminal Justice Statistics, Online. Retrieved from http://www.albany.edu/sourcebook/pdf/t212006.pdf Catalano, S. M. (2006). Criminal victimization, 2005 [Electronic Version]. (NCJ 214644). Washington, DC: Department of Justice, Office of Justice Programs, Bureau of Justice Statistics. Cohen, T. H., & Reaves, B. A. (2006). State court processing statistics: Felony defendants in large urban counties, 2002. (NCJ 210818). Washington, DC: Department of Justice, Office of Justice Programs, Bureau of Justice Statistics. Data Analysis Unit. (2006). Time served on prison sentence: Felons first released to parole by offense, calendar year 2005. Sacramento, CA: Department of Corrections and Rehabilitation, Offender Information Services Branch, Estimates and Statistical Analysis Section. Federal Bureau of Investigation. (1994–2005). Uniform Crime Reports. Retrieved from http://www.fbi. gov/ucr/ucr.htm Federal Bureau of Investigation. (1996). Crime in the United States, 1995. Retrieved from http://www. fbi.gov/ucr/95cius.htm Federal Bureau of Investigation. (2006a). Burglary. In Crime in the United States, 2005. Retrieved from http://www.fbi.gov/ucr/05cius/ offenses/property_ crime/burglary.html

Federal Bureau of Investigation. (2006b). Crime in the United States, 2005. Retrieved 2007, from http:// www.fbi.gov/ucr/05cius/ Goldberg, I., & Nold, F. C. (1980). Does reporting deter burglars? An empirical analysis of risk and return in crime. The Review of Economics and Statistics, 62(3), 424–431. Reynolds, M. O. (1999). Crime and Punishment in America: 1998. Retrieved from http://www.ncpa. org/studies/s219.html U.S. Sentencing Commission. (2005). Guidelines manual (§2B2.1) [Electronic Version]. Washington, DC: Government Printing Office. Wright, R. T., Decker, S. H., & Geis, G. (1994). Burglars on the job: Streetlife and residential break-ins. Boston, MA: Northeastern University Press.

About the Author Bruce Gross, PhD, JD, MBA, is a Fellow of the American College of Forensic Examiners and is an Executive Advisory Board member of the American Board of Forensic Examiners. Dr. Gross is also a Diplomate of the American Board of Forensic Examiners and the American Board Psychological Specialties. He has been an ACFEI member since 1996 and is also a Diplomate of the American Psychotherapy Association.

Summer 2007 THE FORENSIC EXAMINER 57

Beyond the Obvious: The Cases of Sir Sydney Smith

By Katherine Ramsland, PhD, CMI-V

ocals spotted the bodies in a water-filled quarry in Hopetoun, Scotland, on a Sunday afternoon in June 1913. At first, the men who found them thought the dark object in the water was a farmer’s scarecrow, but on closer inspection they realized it was two waterlogged, decomposing corpses tied together. The police fished them out, but they knew of no missing children from the area and the facial features were beyond recognition. Even their sex was impossible to tell, and it seemed like an unsolvable case. Young Sidney Smith, who would become one of the most notable death investigators of the early 20th century and make key contributions to the areas of pathology and ballistics, was assistant to the eminent pathologist, Dr. Harvey Littlejohn. Authorities consulted the two for the case, and despite the Hopetoun doctor’s dismissal of an autopsy, the passionate Smith believed they should do everything possible to identify the children. Littlejohn granted him free reign to try his best, although the experienced investigators thought it a waste of time. Smith accepted the challenge. He learned that the victims were boys and noted that the clothing they wore was not only identical but was also of poor quality. One shirt yielded a faint stamp that Smith traced to a poorhouse in another town. In addition, because the corpses had been in the water so long, their body fat had trans58 THE FORENSIC EXAMINER Summer 2007

formed into a substance called adipocere, which had a preservative effect. Indeed, Smith was able to see exactly what the boys had eaten for their last meal—Scotch broth—as well as determine that they had been in the water at least a year and a half, if not longer. Thus, recent reports of missing boys were irrelevant. Smith said they should be searching records much earlier, and the police discovered that two boys, ages 7 and 4, had gone missing from Fife in November 1911. It seemed likely to Smith, who went to the secluded quarry, that the boys had walked there with their killer, so they had probably felt safe with him. Smith learned that their father, Patrick Higgins, had once been in prison for failing to support them, and he had faced that charge again just before the boys disappeared. When people noticed they were gone, Higgins claimed he had found them a good home, but witness reports indicated otherwise. Smith traced the preserved vegetables from the victims’ stomachs to a woman who had made the Higgins boys such a meal. This led to Higgins himself, who claimed he did not know where his sons were. Several of his acquaintances stated they had seen him leading the trusting boys toward the quarry. After his arrest, Higgins was tried (with Littlejohn and Smith giving testimony), convicted, and hanged for both murders. Because the preserved bodies were too

unique to simply bury, Littlejohn occupied the guards while Smith smuggled most of the parts out of the mortuary to take to the Forensic Medicine Museum in Edinburgh. But they had to transport the remains by train, so they placed the boxed-up packages on the luggage rack. The day’s heat made travel in that car quite miserable, but no one asked what was in the packages, and the pathologists arrived in Edinburgh without discovery. This had been Smith’s first solo case, a difficult one, and he had been thrilled with its resolution.

His Path to Pathology In his autobiography, Mostly Murder, Smith states that as he grew up in New Zealand, he had no ambition to pursue a career among the dead. Yet he ended up in the most famous forensic department of that era, at the University of Edinburgh, and eventually became its most popular dean. In fact, Dr. Keith Simpson, an equally renowned British pathologist, said in a foreword to Smith’s book, “No expert in the art of medical detection has ever enjoyed the respect and affection of his fellow pathologists as Sydney Smith did, and few have extracted so much fun from a macabre profession. His sparkle and enthusiasm turned the most drab situation into a tale.” Starting as an assistant to a chemist in New Zealand, Smith initially qualified as a pharmacist, but he made a small fortune with investments, so in 1908 he set his sights

on getting medical training in Edinburgh. There he excelled in ophthalmology, and when he sought an internship at the royal infirmary, he crossed paths with Professor Littlejohn, Chair of Forensic Medicine. He agreed to become Littlejohn’s assistant and felt that it was almost an accident that he ended up with a career in forensic medicine. A fan of the Sherlock Holmes stories, Smith was impressed by Holmes’s three directives for detectives: the power of observation, the power of deduction, and a wide range of exact knowledge. He took these guidelines as his touchstone and reminded himself always to look beyond the obvious. In fact, he sat in lectures of former students of the very same Dr. Joseph Bell who had inspired Arthur Conan Doyle. In 1917, Smith accepted the post of principal medico-legal expert to the Egyptian Ministry of Justice, and there he was able to practice what he had learned about careful observation, gaining a reputation for solving tricky cases. He also grew to appreciate specialized knowledge.

A Deserted Body in the Desert During the early 1920s, the body of a postal worker was found in the desert; the victim has been shot in the head. Smith, who learned that the bullet had gone through the head and had not been found, went to observe the investigation. There were no clear tracks that he could see, thus he was impressed with how Bedoin trackers had spotted them. With their keen eyes and lifetime training in track identification, they saw where a man wearing sandals had walked into the scene, knelt down (where a rifle cartridge was then found), and also walked up to the body. The man removed his sandals and ran away barefoot. At a certain point, he had come to a car, where four sets of men’s boot tracks were evident. These led to an encampment of six men. To identify the culprit, authorities marched all members of that group, along with other men, across a prepared area of sand so the trackers could compare their footprints, and they soon identified a man whose footprints matched. It was then discovered that the same man owned a gun that matched a discarded cartridge casing. He also had a motive: the victim was having an affair with his sister. Smith realized from this case how important it was to re-

fine the senses and acquire specific types of knowledge. He put this to use whenever he could.

A Suspicious Suicide Forensic medicine had long examined bullet wounds, specifically to determine whether someone was shot accidentally, homicidally, or by his or her own hand. Exit wounds had to be distinguished from entrance wounds, and distances had to be measured between a weapon and a wound. Unburned powder particles that move through the gun barrel and hit a target leave telltale effects, as do gases that penetrate the wound. Pathologists had precise formulas worked out, although as powders changed, they had to refine their calculations with experiments. One case that challenged expert pathologists occurred in 1926 in Scotland. Smith was still out of the country, but Littlejohn involved him when Smith returned for a summer vacation. By then, Smith had pleased his mentor by becoming a leading authority on the subject of bullets and wounds, having improvised a rudimentary comparison microscope and published his illustrated book, The Textbook of Forensic Medicine. In it he argued that ballistics should be a science unto itself, not an offshoot of pathology, as it was then. The incident involved John Donald Merrett, who lived with his mother, Bertha, in Edinburgh. On March 17, he reported to Rita Sutherland, a domestic servant, that his mother had just shot herself, and Rita ran to see. Bertha was lying, still alive, on the floor of the library with a terrible wound to her head. Taken to the hospital, she was treated, but her chances of surviving were slim. In the meantime, Merrett went out with his girlfriend, inquiring occasionally if his mother was dead. When Rita openly wondered why Bertha would have shot herself while in the midst of writing a letter, Merrett told her his mother had been troubled with money worries. Bertha hung on, and during this time she told a friend that her son had been near her while she was signing papers and that she’d heard a loud noise near her head, like a pistol shot; she could recall nothing more. Yet no one in authority questioned her for details because she was considered a suicide case, and they viewed anything she

said as the product of a deranged or disoriented mind. Still, the intake physician had noticed no powder burns on her. She died two weeks later, and investigators lost the chance to recover her testimony. By then officials had noticed her son’s cavalier behavior and realized that he had inherited a considerable amount of money—motive enough for murder. Littlejohn performed the autopsy and determined that the entry wound and bullet’s trajectory path were consistent with suicide, but he thought the collection of circumstances was suspicious. In addition, he’d found no powder burns under the skin, which was unusual for a close shot. He shared his concerns with Smith, knowing that Smith had done numerous experiments and had observed under different conditions how bullets enter skin. Smith advised using the suspect weapon and its ammunition to make comparison shots under conditions replicating as closely as possible the original crime. Littlejohn acquired the Spanish pistol from the incident, along with its cartridges, and fired shots from various distances at white cards. He examined these targets in the context of the powder marks left on the skin. Just in case the doctors attending Mrs. Merrett had washed her wound, he washed the cards and found that with close-range fire some residue stubbornly remained. But, according to the intake personnel, there had been none on the victim. Thus, the gun could not have been as close as it would had to have been if Bertha had shot herself. Just to be sure, Littlejohn repeated the experiments with skin taken from an amputated human leg. Again, no amount of wiping would remove the powder burns. He thought he had a good case, and Merrett was arrested and charged with murder. However, his defense attorney engaged the service of a celebrity expert, Dr. Bernard Spilsbury, who had consulted with an equally impressive international ballistics expert. They claimed Bertha had committed suicide. However, rather than use the exact suspect pistol to conduct their tests, they had used one of similar caliber, concluding that any residue left on the victim from her self-shooting could easily have been wiped off at the hospital. Spilsbury said that he’d conducted a second set of Summer 2007 THE FORENSIC EXAMINER 59

tests using the Spanish pistol, but he’d substituted different ammunition and had fired at only the white cards. He had to admit that he did get blackening with the original gun, which suggested that Littlejohn’s experiments with the correct ammunition had greater validity. Still, Spilsbury held to his opinion and his presence gave added weight to the defense. The jury found that the case against Merrett was not proven, so while he had to serve time for a forgery conviction, he was released within a year. Twenty-five years later, he confessed to the murder, vindicating Littlejohn’s suspicions. Dr. Littlejohn died the year after the crime, in 1927, so Smith returned to Edinburgh to accept the chair. He kept this position for 26 years, making remarkable contributions to diverse forensic fields. Science was having its day in court by then, even in the far reaches of Scotland, and Smith was called to teh northeast coats for a case that put the latest scientific methods to the test.

Deception Discovered Helen Priestly was only 8 years old when she set out on a 10-minute walk to purchase bread for her family in Aberdeen, Scotland. It was about 1:30 p.m. on April 20, 1934. She showed up at the bakery but failed to return home, so area residents helped search for her. Alexander and Jeannie Donald were the only immediate neighbors who declined to help. They kept to themselves throughout the search. Early the following morning, the search party finally found Helen’s body stuffed inside a cinder sack on the ground floor of the tenement building where she had lived. She had not been in that spot a half hour earlier, so someone had obviously placed her there. In fact, lividity on the body indicated that she had died earlier, lain for hours on her left side, and been moved to this place and left on her right side. Although the child was clothed, her underwear was missing and there was blood between her legs. An autopsy revealed that she had been asphyxiated and sexually molested with extreme brutality, so every male in the vicinity was questioned. A roofer said he had heard a girl scream at around 2:00 on the previous afternoon, 60 THE FORENSIC EXAMINER Summer 2007

which corresponded to the various signals that indicated time of death had occurred about then. All the males proved to have alibis, and when the police surgeon failed to find semen in Helen’s vagina, he decided that the rape might have been staged, perhaps by a female in the building. There was a woman who had lied about where she was the previous afternoon: Jeannie Donald. In fact, she had a history of feuding with Helen’s family and had actively disliked the little girl, because Helen called her names. The Donald apartment was searched and the police turned up a washcloth and other items with bloodstains. Jeannie’s husband had a solid alibi, so the light of accusation remained shining on Jeannie. That’s when the Aberdeen police invited Smith into the investigation. It had been 10 days since the murder. Following Locard’s principle of contact and exchange, Smith examined all the evidence on the body and in the Donald apartment. He focused on the jute sack in which Helen had been placed, because it was similar to those in the apartment. The sack, which was made in Canada, produced trace material: dust, cinders, fibers, and hair—both human and animal. The human hairs were not Helen’s, since they were coarse and processed with a permanent chemical, but they proved consistent with Jeannie Donald’s hair. Smith also subjected the fibers from inside the bag to spectroscopic analysis and matched two-dozen different fibers to materials in the Donald residence. To eliminate other residences, he made comparisons with dust and hair from many of them, but he was unable to find the same results. In addition, bloodstains on a washcloth and other items in the Donald apartment were the same type as Helen’s but not Jeannie’s. The murder weapon was not found, nor were Helen’s panties, but it appeared that a piece of paper resembling the store voucher from Helen’s purchase of bread might have been partially burned in the fireplace. Given the nature of Helen’s wounds, Smith believed there would have been bacterial contamination. He consulted with a university colleague, Dr. Thomas Mackie, who performed several analyses and found the same type of bacterial stain inside the dead girl as on the blood-stained washcloth. Thus, there was both circum-

stantial and physical evidence against Jeannie Donald. In fact, her trial proved to be highly technical, taking several days, as the scientists explained their tests and their findings. Because there were no eyewitnesses, Smith knew the case rested on his ability to produce a lot of trace evidence analysis, and they offered more than 250 exhibits, which impressed the jury sufficiently to quickly return a guilty verdict. The judge, too, said that the meticulous work was unparalleled in his court. Since it seemed likely that Mrs. Donald had probably killed Helen accidentally, in reaction to the child’s usual taunts, and had then staged the rape to deflect suspicion from herself, she received life in prison instead of a sentence of death. In 1947, Smith was knighted for his outstanding contribution to forensic medicine. He retired from the Edinburgh chair in 1953 and lived another 16 years, penning his autobiography and offering consultations before dying in 1969.

Works Consulted Evans, C. (2004). Murder 2: The second casebook of forensic investigation. New York: John Wiley & Sons, Inc., pp. 244–46. Smith, S. (1959). Mostly murder: An autobiography. New York: Dorset Press. Thorwald, J. (1964). The century of the detective. New York: Harcourt, Brace & World. Wilson, C., & Wilson D. (2003). Written in blood: A history of forensic detection. New York: Carroll and Graf Publishers.

About the Author Katherine Ramsland, PhD, CMI-V, has published 27 books including The Human Predator: A Historical Chronicle of Serial Murder and Forensic Investigation. Dr. Ramsland is an assistant professor of forensic psychology at DeSales University in Pennsylvania. She is a Certified Medical Investigator (CMI-V) and has been a member of the American College of Forensic Examiners since 1999.

The American College of Forensic Examiners

The American College of Forensic Examiners Institute (ACFEI) is the world’s largest professional scientific forensic membership society. Multi-disciplinary in its scope, the society actively promotes the dissemination of forensic information. Our purpose is to continually advance the profession of forensic examination and consultation across the many professional fields of our membership by elevating standards through education, basic and advanced training, and Diplomate status. ACFEI serves as the national center for this purpose and circulates information and knowledge through our official peer-reviewed journal – The Forensic Examiner® – lectures, seminars, conferences, workshops, continuing education courses, and certification programs. We believe forensic examiners do not win or lose cases. Forensic examiners seek only the truth; conduct evaluations, examinations, and inquiries; and report the true results of their findings in an unbiased and objective manner. BECOME AN ACFEI MEMBER TODAY!

phone: (800) 423-9737 | fax: (417) 881-4702 | web: www.acfei.com

BEYOND BOUNDARIES: Future Trends in Forensic Education

By Ian R. Tebbett, PhD; Donna Wielbo, PhD; and David Khey, MS, MA he recent proliferation of academic forensic science programs has prompted professional organizations to reexamine their education and training needs and the role of academic institutions. Distance education in support of laboratory training efforts may help provide programs to working professionals globally, allowing them to advance their careers without the need to relocate and without extensive time lost from the bench and casework.

62 THE FORENSIC EXAMINER Summer 2007

Surveys of forensic laboratories have consistently shown a preference for applicants with a bachelor’s degree in a natural science subject. A survey of U.S. laboratory directors conducted by Furton et al. in 1999 indicated that the preferred academic background for the new recruits of forensic science laboratories was overwhelmingly a bachelor’s degree in chemistry. While a bachelor’s of science degree in a biological subject, such as biochemistry or molecular biology, has also become desirable with the advent of DNA technology, it remained that a BS in the hard sciences was the best approach for those wishing to enter forensic science. In fact, according to this study, biochemistry, biology, and forensic science were the preferred degrees. In the latter case, the forensic science degree should have a strong science core with a requirement for a significant number of chemistry and other natural science courses. When asked their requirements for various laboratory positions, U.S. crime laboratory directors’ responses were 63% BS, 27% BA, 6% none, 3% MS, and 1% PhD. This data indicates that the entry requirements of the profession are in stark contrast to the many MS degree programs being offered by academic institutions on both sides of the Atlantic. The turn of the century has witnessed an explosion of forensic programs offered by academic institutions worldwide. There are more than 70 schools offering a bachelor’s degree in some kind of forensic discipline, and 38 masters-level programs, all within the United States. Dozens of other schools offer forensic courses of some description while many others have plans to build such coursework in the near future. Accordingly, a reasonable indicator of the growth in forensic science education is inherent in the job postings in the Chronicles of Higher Education. If one were to enter the key term forensic into a job search on the Chronicles’ website, he or she would find that the amount of academic positions—including tenure track faculty billets—has steadily increased throughout the past decade. There are many reasons for this increase in forensic programs. Interest in forensic science, which had grown steadily in the past, suddenly exploded in recent years as a result of the popularity of both fiction and

Table 1: Students’ combined ratings of Spring 2006 courses

Mean

Std Dev

% of Above Average or Excellent Responses

Description of course objectives and assignments

4.37

0.72

86.5

Communication of ideas and information

4.24

0.85

79.4

Expression of expectations for performance in this class

4.21

0.84

76.5

Timeliness in responding to students

4.61

0.68

90.0

Timeliness in returning assignments

4.37

0.80

84.5

Encouragement of independent, creative, and critical thinking

4.62

0.68

89.0

Respect and concern for students

4.20

0.85

75.8

Overall rating of instructor

4.24

0.87

78.4

Interaction opportunities with other students

4.37

0.79

83.5

Stimulation of interest in the course

4.29

0.82

80.3

Enthusiasm for the subject

4.46

0.75

86.8

Overall rating of the course

4.24

0.80

83.5

Technical support’s ability to resolve technical difficulties

4.31

0.85

82.6

Availability of necessary library resources

4.48

0.69

90.3

Convenience of registration procedures

4.36

0.76

79.4

Reliability of the technology(ies) used to deliver this course

4.57

0.68

89.4

Appropriateness of assigned material to the nature and subject of the course

4.22

0.91

77.4

Note: Available responses are: 1 = Poor, 2 = Below Average, 3 = Average, 4 = Above Average, 5 = Excellent. N=305

nonfiction TV shows such as CSI: Crime Scene Investigation, Forensic Files, and Cold Case. As a result, television and the media have catalyzed the public’s fascination with forensic science and formed a popular culture about several of its professions. An illustration of the current state of forensic pop culture is evidenced by the voracious growth in this type of programming and lip service to forensics in the media. Court TV alone dedicates about 12.5%–16.7% of its programming to forensic science.1 The fictional CSI: Crime Scene Investigation and CSI: Miami were number one and number five, respectively, in primetime ratings in previous years, and both remain in the top 10 this year.2 To keep up with demand, colleges, universities, and even secondary schools are rushing to develop forensic science curricula and related degrees.3 In fact, Court TV promotes the use of the forensic sciences in the secondary classroom by offer-

ing educational grants to hold a “Forensics Day” at the winning school and by introducing “Forensics in the Classroom,” which offers continuing education credit to teachers who wish to gain insight on how to facilitate learning by integrating forensic science in high school science classrooms. Over recent years, basic science programs have steadily become less popular than business degrees among students. In the United States, fewer foreign applicants are applying for entry to academic programs following the events of September 11, 2001, and the resulting restrictions on student visas. Academic institutions have realized that the addition of forensic courses to existing degrees greatly improves the attraction of that program to the student body. Many chemistry departments have simply added lectures from local forensic scientists in an effort to increase the number of applicants. Other institutions have developed new

courses with interesting titles but with tenuous applications to forensic investigation (Creswell, FFSS editorial). Such courses have prompted the evaluation and accreditation of academic forensic science programs. The American College of Forensic Examiners is taking the necessary steps to make a vast improvement in maintaining and enhancing the quality of traditional forensic science education through its new program, The Commission on Forensic Education. The Commission allows forensic education professionals a way to network with one another, share information, and stay updated on current news in forensics. The Commission is also bringing much needed and deserved attention to forensic science education in high schools in order to generate student interest at a younger age. This channel for the dissemination of forensic information is taking distance forensic education to the next level. Summer 2007 THE FORENSIC EXAMINER 63

In the United Kingdom, the Forensic Science Society is now actively involved in evaluating academic forensic science programs and has specified that such programs must include an evaluation and interpretation component and some aspect of laboratory analysis or crime scene investigation.

Education versus Training in Forensic Science While the applicant pool increases and there are currently few new vacancies in forensic science laboratories each year, there is an ongoing need for both basic and continuing education and training for new and existing personnel. However, even assuming that the laboratory already has the expertise to provide such a program, its development and implementation puts demands on time, resources, and, therefore, finances. Soon these demands may produce strain for these laboratories as we push further into the 21st century. According to a recent report (2006) produced by the U.S. Bureau of Labor Statistics and the Commission on Professionals in Science and Technology (CPST), forensic science technicians rank the highest in growth in 10-year employment projections among scientific, technological, engineering, and mathematical (STEM) professions alongside medical scientists, epidemiologists, hydrologists, biomedical engineers, and computer specialists. Thus, the demand for adequate and accredited training will continuously increase as the vacancies for these personnel begin to swell. Modern forensic science requires an indepth understanding of multiple fields and disciplines covering many sophisticated concepts and techniques—from analytical chemistry to molecular biology. Academic institutions have the faculty and the experience in delivering such material to pro64 THE FORENSIC EXAMINER Summer 2007

vide education in support of forensic training. Conversely, crime laboratories are well equipped to train analysts. They have the standard operating procedures and policies in place, and they have access to actual case samples and proficiency tests to enable an analyst to be well trained, with the ability to document their proficiency with a particular technique or task. Few academic institutions have the equipment, expertise, or access to realistic case samples to let them adequately simulate actual forensic examinations. We have, therefore, taken the approach of making quality educational materials available via distance education to those who have already had practical training and are working in a forensic environment or related field. All of the course material is made available via the Internet with WebCT as the delivery platform. Each course is modular in structure and has an accompanying assignment that must be completed and submitted to the instructor by a specified deadline. Assignments can take the form of written questions, timed online tests, or both. Unlimited access enables students to work on the course at their own pace and at any convenient time. This pedagogy is nested in an underlying structure to keep the class on track and to promote ample attention and focus on a particular module. The WebCT interface has a number of communication features that enable the interaction between instructors and students and between students and their classmates. These features include private email, a bulletin or discussion board, and real-time chat rooms. The bulletin board in particular is an excellent medium for discussions, and interaction with the students is generally greater than can be achieved in a classroom. Students are more likely to post their views and comments on a discussion board than

raise their hand in a classroom, and the interface allows students to think about the issues and compose a response without the time pressures of a traditional classroom (see Oren, Mioduser, & Nachmias, 2002). Because our students are working in various aspects of forensic science in different parts of the world, discussions often lead to comparisons made in procedures from their respective jurisdictions. That in itself leads to further discussion on policies, methodology, and the general sharing of experiences and information. The online learning environment using WebCT also allows for the use of images, animations, and video clips to illustrate laboratory techniques, crime scenes, and case scenarios. These features require free software such as Real Player and Adobe Acrobat. Students can locate and download these plugins through step-by-step instructions provided in the “Gearing-up” section at the start of each course. Through the use of a proxy server, students have access to the university’s extensive collection of electronic journals and are able to research the latest literature from anywhere in the world. The proxy server also facilitates course access for students logging in from secure sites, such as crime laboratories or military installations, where normal access to course materials may be inhibited by firewalls and other security measures.

Use of Case Scenarios In many courses, case scenarios are used to emphasize material presented in the modules and also to encourage students to apply what they have learned to an actual case situation. In one course, the case scenario introduces the collection of drug evidence, its handling, preliminary analysis, and confirmatory analysis. The following case study is introduced early on in the course and is illustrated with digital photographs and audio: In this case study you will examine a series of crime scene photographs. You will then develop a plan for collecting and analyzing the evidence. Several weeks of surveillance photography suggested that the suspect was heavily involved in drug dealing. After documenting frequent visits to his house by several known drug users, officers executed a successful raid on the suspect’s home. A

number of items were discovered, seized, and subsequently submitted as evidence. The following crime scene photographs indicate that the occupants of the house were involved in drug use and trafficking. A search of the house revealed several items indicative of drug use and supply. In the kitchen a set of scales were present, covered with a dusting of white powder. On the table beside them were rolls of $20 bills, a mirror contaminated with a white powder-like substance, related drug paraphernalia, and a Ziploc bag containing white powder. A bag of green herbal material was found in the freezer. A pile of bedding and a liquor bottle were lying in a corner of the kitchen. Officers uncovered a number of rock-like items and what looked like a “crack-pipe” hidden among the covers. A partially flushed bag of white powder was recovered from the toilet. The bag was open and water had seeped into the bag, wetting the powder. Another bag of white powder, sealed and dry, was found taped to the inside of the cistern. From the narrative and the photographs presented, and using any information presented in module 2, list the possible samples that you would test in the chemistry lab and your rationale for doing so. Outline the preliminary tests that would be conducted on each sample and note any special handling or storage conditions. After exposure to further course modules discussing various preliminary tests used for drug identification, the initial laboratory results of the examination of these items are introduced to the students. Results of color tests, ultraviolet spectrophotometry, and thin layer chromatography are given. Some of these tests are good indications of what the compound is, and others are non-specific and inconclusive. Students are asked what inferences they can draw from the results of these preliminary tests, and what further tests they would perform to confirm their identifications. Toward the end of the course, after modules relating to gas chromatography-mass spectrometry, the results of confirmatory analyses as actual spectra are presented in the form of Adobe Acrobat (.pdf ) files. Students must interpret these mass spec-

tra, some of which have been derivatized, and produce a final report on their examinations. Variations on this case study can be made by introducing accusations of sexual assault following the use of a date rape drug and biological evidence. Students are encouraged to discuss their thoughts on the bulletin board, which often leads to some interesting discussions, considering the students participating in the program have different legal, law enforcement, and science backgrounds. To assist in the delivery of the courses and, in particular, to quickly reply to the large number of emails and bulletins, we employ teaching assistants. These teaching assistants generally work full-time in crime laboratories and have successfully completed the course with which they are assisting. This ensures that questions are dealt with not only from an academic perspective, but also from that of an operational forensic scientist. These former students can sincerely empathize with current students’ predicaments, trials, and tribulations, both in the field and in the classroom, which distinctly leads to the better administration of the courses offered.

Examinations and Assessment As stated earlier, each course is divided into topic modules and each module contains an assignment. Written assignments are essentially short research papers that require students to apply what they have learned or address and research a particular problem. An individual can therefore take and pass individual courses without coming to the university. This raises the question: How do we know the student submitting the assignments is the same person registered in the program? Because of the high volume of written interaction with the students, the faculty becomes familiar with the students’ individual writing styles. Software such as Turnitin is available to all faculty members and can be used to check for plagiarism. Additionally, to fulfill the academic requirements for the MS degree, students must attend the university in person to take a final cumulative examination covering all of the coursework. This extensive process, involving face-to-face instructor interaction, usually takes place over a 3-day period and includes both written and oral examinations.

Student Feedback on Distance Education In order to evaluate student impressions of distance education compared to traditional classroom education, we conducted a survey of the 310 students enrolled in our program. Students were asked a series of questions regarding their impressions of the courses and the instructors. The response rate for the survey was a remarkable 98% (N=305). Table 1 represents the students rating aspects of the courses that were offered in spring semester of 2006. Ratings were at least as positive as for traditional classroom delivery of this material where applicable. What was particularly encouraging was how students perceived the amount of interaction they had with the instructor and other students. Interaction opportunities with other students, stimulation of interest in the course, and timeliness in responding to students all scored highly in the survey. The use of email, bulletin boards, and real-time chat sessions gives students the opportunity to ask more questions than may be possible in a classroom setting. Students also seem more willing to ask questions and express their thoughts by posting electronically than to speak in front of their peers in a lecture theater. This observation has been made with other studies on asynchronous distance learning programming (Oren, Mioduser, & Nachmias, 2002). Also encouraging is that the model used to enhance the online community utilized by this program has been successful in empirical studies performed by other researchers using parallel methods (see Brown, 2001). In terms of forensic science education, distance education brings together forensic practitioners from many different fields, backgrounds, and jurisdictions resulting in a significant exchange of ideas. This seems to be reflected in the survey results presented above. Application of Distance Education in Support of Training In addition to providing a mechanism for working professionals to study toward a master’s degree, distance education can be used to support and supplement training. We have delivered theoretical material to students by distance and required them to pass a test on that material prior to atSummer 2007 THE FORENSIC EXAMINER 65

tending an intensive practical workshop. In this way the instructor can be sure that all students have a certain minimum knowledge of the subject matter at the start of the workshop. Tutorials can be developed to discuss the theoretical background of a new technique before its implementation in the laboratory. Distance courses can also be used to meet continuing education requirements for professional membership or laboratory accreditation purposes. The primary benefit to the crime laboratory is that distance learning gets forensic education to those already working in the laboratory without the need to leave their jobs or relocate, and it does so without having to take time away from their laboratory tasks. This may help laboratories in their efforts to train personnel, meet accreditation standards, and improve credibility of expert witnesses. Individual employees are able to improve their educational qualifications, thereby opening career and promotion opportunities.

International Efforts One of the most exciting developments to come out of our distance education efforts has been the formation of international partnerships, and the resulting exchange of information and ideas that has initiated an agreement between Edinburgh University and the University of Florida, allowing faculty in Scotland to teach American students forensic medicine via the Internet. These partnerships are expanding to incorporate academic institutions in Australia, Southeast Asia, and South America. The ultimate goal is to produce an electronic bookshelf of forensic educational materials available in multiple languages. This resource can then be used either in support of training and/ or for academic credit through the host academic institution. We have taken the approach of partnering with universities in foreign countries rather than attempting to simply teach our courses overseas for a number of reasons. Most obviously, the need for proficiency in English is circumvented if the material is taught in the student’s native language. The host institution, rather than a university in the United States, sets the cost of tuition, and this can have a marked impact on the affordability of the program. The foreign partner is also responsible for regionalizing the coursework by adding case 66 THE FORENSIC EXAMINER Summer 2007

examples and procedures that are more relevant to that particular target audience. This is particularly important when considering the application of science to the legal process in that country. Developing such partnerships between academic institutions has not been without its challenges. Differences in education systems, contractual arrangements, and intellectual property rights are some of the issues that have had to be addressed simply to get an agreement in place. However, such partnerships result in faculty and student exchange and collaboration, as well as the transfer of educational material around the globe.

Conclusions Distance education is a mechanism by which universities can provide theoretical educational material to working professionals in forensic laboratories in support of the laboratories’ training efforts. Students can study at their own pace with a cohort of individuals, from all parts of the globe, with similar training and goals. A major advantage of this approach is that the material can be delivered without the need for the scientist to take time away from casework while, at the same time, reducing the demand on the time of senior scientific staff to teach the material. Distance education can be used for continuing education purposes to underscore new techniques, to help prepare scientists for accreditation examinations, and to improve their academic qualifications. Partnerships between international organizations enable coursework to be delivered anywhere in the world and in any language, resulting in greater cooperation and understanding of problems facing law enforcement in other nations. Endnotes 1. Estimated by observing the schedule of programming available on URL http://www.courttv.com on 11/11/2003 for all weeks listed (about four weeks). A reassessment of the channel’s programming in January 2007 suggests that this estimate is currently valid. However, a deeper investigation would be necessary to ascertain if Court TV has consistently set aside this amount of time for this type of programming throughout the years. 2. Adapted from the prime-time ratings compiled by Nielsen Media Research. Ratings are based on the estimated 105.5 million TV homes in the nation. 3. View the growing list of American Academy of Forensic Sciences recognized programs at URL http://www. aafs.org/default.asp?section_id=resources&page_ id=colleges_and_universities.

Works Consulted Almirall, J. R., & Furton, K. G. (1995). The evolution, practice and future of science in the administration of justice: The importance of standards in forensic science. Standardization News, 4, 42–49. Brown, R. E. (2001). The process of communitybuilding in distance learning classes. Journal of Asynchronous Learning Networks, 5(2), 18–35. Cole, M. D., & Caddy, B. (1993, August). A progressive system of short courses in forensic chemistry. Proceedings of the 13th meeting of the International Association of Forensic Sciences. Dusseldorf, Germany. Commission on Professionals in Science and Technology. (2006). STEM employment forecasts and distributions among employment sectors. Retrieved October 8, 2006, from http://www.cpst.org/STEM/STEM7_Report.pdf Furton, K. G., Hsu, Y. L., & Cole, M. D. (1999). The Journal of Forensic Science, 44, 128–132. Higgins, K. M., & Selavka, C. M. (1988). The Journal of Forensic Science, 33, 1015–1021. Oren, A., Mioduser, D., & Nachmias, R. (2002). The development of social climate in virtual learning discussion groups. International Review of Research in Open and Distance Learning, 3(1), 1–19. Siegel, J. A. (1988). The Journal of Forensic Science, 33, 1065–1068. Stoney, D. A. (1988). A medical model for criminalistics education. The Journal of Forensic Science, 33,1086– 1094.

About the Author Ian R. Tebbett, PhD, has a bachelor’s degree in Pharmacy and a Ph.D. degree in Forensic Toxicology. He has previously held faculty positions with the Forensic Science programs at the University of Strathclyde, Scotland and the University of Illinois at Chicago (1988-92). Dr. Tebbett is the director of the UF Forensic Science Program and a professor in the University of Florida colleges of Pharmacy and Veterinary Medicine. Dr. Tebbett previously served as director of Analytical Toxicology and director of the Racing Laboratory in the UF College of Veterinary Medicine. He has worked as a consultant for many international and national law enforcement agencies and has testified in Florida, Illinois, and Europe. His research interests include novel approaches to education and training in forensic science; the passage of drugs and metabolites across the blood/ brain barrier and the placental barrier and the subsequent distribution, metabolism, and elimination of these drugs; development of novel extraction and analytical techniques; FTIR, solid phase extraction, column switching techniques, and supercritical fluid extraction and chromatography for the examination of drugs; and investigation of the relationship between drug abuse and immune suppression.

Attention Forensic Educators The Commission on Forensic Education The Commission on Forensic Education promotes the growth and emphasizes the importance of forensic science programs in education. The Commission, which has no fees or dues to join, offers guidance on instruction, provides help to those who teach or study forensic science, and reviews professional certification programs. The Commission is an effective and essential network that helps educators and students stay informed of the latest innovations, breakthroughs, and important research in the field. Commissioner membership is open to college and university faculty: full time, part-time, and adjunct professors. Associate Commissioner membership is open to high school science teachers. The commission helps educators advance the field and inspire future forensic professionals by providing support services: • Helping educators network with fellow teaching professionals and top experts in the field. • Convincing potential students of the importance and the benefits of studying forensic science. • Giving members a highly visible forum to publish and distribute their research. • Helping members stay current in a constantly evolving field by providing quality continuing education. • Providing accreditation for programs that recognize achievement.

To join The Commission, apply online. Go to www.acfei.com/pcfe.php.

Who Killed Bonnie Huffman? By Kristin Crowe, Associate Editor n the night of July 2, 1954, a young, dark-haired schoolteacher known to be prim-and-proper left her friends and headed home shortly after midnight, but she never reached her destination. Searchers found her decomposing body in a road ditch 59 hours after she was reported missing. Her name was Bonnie Huffman, and her case is the oldest cold case in Missouri.

Bonnie left her Delta home on Friday, July 2, after telling her mother that she might spend the night with relatives in Cape Girardeau and not to worry if she did not come home. She lived with her mother and half-brother about 8 miles north of Delta, where she stopped at a gas station to buy a tire and call her friend, Mrs. Bess. The Besses met her at a movie in Cape Girardeau and afterward they all went to the Colonial Tavern to eat. Bonnie’s boyfriend, Doug Hiett, had broken up with her the day before, and Mrs. Bess said that she “had never seen Bonnie quite that upset before.” When Bonnie realized it was near midnight, she said she needed to go home. According to Sgt. Friedrich, the officer currently assigned to the case, the Besses tried to get Bonnie to stay with

68 THE FORENSIC EXAMINER Summer 2007

them in Cape Girardeau, but she insisted on going home. Shortly after midnight she got in her 1938 Ford and started making her way toward Delta. The Besses just assumed she made it home, and her mother and brother assumed that she spent the night in Cape Girardeau. The truth—she did neither. A person reported passing Bonnie’s empty car, which was sitting in the road with the lights on at 1:30 Saturday morning. However, no one reported her missing until mid-morning on Saturday. Bonnie’s half-brother Bobby Thiele found her car in the road about 8:30 a.m. Saturday on his way to Delta. He thought she must have had car trouble, left the car, and gone back to Delta, but the car started and he moved it out of the road. After checking

with Hiett and calling the Besses, Thiele went home to tell his mother what he had found. Together, they went to Delta and called the police department in Cape Girardeau to report her missing. After an extensive search, the body was found at 9:00 a.m. on Monday, July 5, 1954, by a couple that noticed the smell. Her killer has never been found. The Delta Community has not changed much in the last 50 years, according to Sgt. Friedrich. The tight-knit community still talks about the murder, and it is as if the case never went away. Wanda Ross, Bonnie Huffman’s niece, has kept the case alive and in the forefront of people’s minds. If she had lived, Huffman would be around 73 this year, and the family would like to find closure.

At the time, there was much speculation concerning who committed the murder and how Huffman was killed, neither of which were ever positively determined. Some thought that Huffman’s boyfriend Hiett, who is still alive, committed the murder, but three other people verified his account of the evening. Many thought that she had been killed intentionally and then left in the ditch. Some speculated that the killer felt guilty and left her body where he thought it would be easily found, while others speculated that the killer placed the body there shortly before searchers discovered it. One of the primary tools investigators used to determine whether a person knew anything about the murder was the newly created polygraph machine. A 1956 article reported, “between 65 and 75 persons had been requested or had volunteered to take the [polygraph] test” in relation to the case. The police conducted many interviews and tried to ascertain whether the killer was someone Huffman knew or a transit visiting the area. The communities in the Delta area began collecting money for a reward soon after Huffman’s body was found. By July 14, 1954, The Southeast Missourian reported that someone had given or pledged $1340.75 to the fund, which would have been given to the person who provided information that led to the arrest and conviction of Huffman’s killer. Authorities eventually returned the funds to donors. In 2004, an anonymous witness sent a letter to the Cape Girardeau County Sheriff ’s Department detailing what he or

she saw that night. Friedrich said the kind of information given in the letter could only have come from a witness. The person was coming home from a dance and came upon a car stopped in the road. There were two men in the ditch, and when the person stopped to see if they needed help, they tried to pull the person from his or her car. The letter writer managed to get away, but said that there was “someone in the Ditch hollering.” Friedrich said that the location the letter writer gave of the car is the same location Huffman’s body was found. The writer, however, has not come forward or given any other information. Friedrich (2007, March 12) said, “I don’t understand why they can’t come forward and give this family some closure. It’s the right thing to do.” However, he also admits that the writer may have passed away, as all suspects and people living at the time are either deceased or in their later years. There are many aspects to this case that are not common knowledge. In 1954, police actually arrested a suspect. The Scott County Sheriff arrested Roy Wilson Jr., but the charges were later dropped. Many believe that this was a political move on the part of that county’s department used to garner attention. A psychiatrist determined that Wilson did not have the capability to perform the act of homicide and that his confession had been forced. Wilson later recanted his statement. According to the original officer on the case, Sgt. Percy Little, myriad rumors of

how Huffman was murdered circulated in 1954, hampering the investigation from the start. Some of these rumors still persist today. The Southeast Missourian commented on these rumors: “Meanwhile, rumors all without foundation spread like wildfire over the weekend. How they started no one could tell.” Friedrich (2007, March 12) said that it “seems like that area was the wild west down there in the 50s,” with families and clans feuding against each other and trying to blame Huffman’s homicide on whomever they liked the least. There were rumors that she had been held in a cabin in the woods and that her body was carried in the trunk of a vehicle, but neither rumor had any substance. According to photographs, Huffman’s body was bloated around three times its normal size due to decomposition, and the ground beneath the body was reported to have been saturated with bodily fluids. Anything in which the killer(s) stored or transported the body would have contained physical evidence from the body, but investigators only found such evidence in the ditch. Recently, a man reported to the Cape Girardeau County Sheriff ’s Department that he thinks his father committed the murder. The St. Louis man’s parents were from the Allenville community. When he was 7, he overheard his father and another man speaking, and the other man said to his father, “I think we should’ve shoved her up in the culvert farther.” However, there is no physical evidence, and both suspects are deceased. The case proves frustrating to Sgt Friedrich for a variety of reasons, one of which

Summer 2007 THE FORENSIC EXAMINER 69

“

Myriad rumors of how Huffman was murdered circulated in 1954, hampering the investigation from the start. Some of these rumors still persist today.

”

is the case file, or lack of one. Only a single latent fingerprint taken off the rearview mirror has survived. No other physical evidence remains. The fingerprint did not lead anywhere when it was sent through AFIS, the Automatic Fingerprint Identification System. A “boatload of polygraphs” and seven or eight black-and-white photos still exist, but that is all (Friedrich, 2007, March 12). The Highway Patrol destroyed all other evidence in 1974, and the case information from which Friedrich is working is not the complete case file. Sergeant Little was called to the National Guard, leaving State Trooper Swingle to continue the case. 70 THE FORENSIC EXAMINER Summer 2007

Friedrich is working from Swingle’s paperwork. The case file tells who the officers talked to, but not why they chose to talk to each particular person. With so much information missing, Friedrich is unable to follow any sort of coherent thought pattern or evidence trail. What Friedrich does have, though, is enough to posit a possible scenario. The coroner’s report states that Huffman died of a broken neck—“a displacement of the third cervical vertebra upward and to the left.” Huffman was 5 feet, 10 inches tall, weighed 133 pounds, and was very pretty by all accounts. Her good reputation was

known throughout the area. Friedrich (2007, March 12) said that the 20-yearold, petite, attractive schoolteacher was known to be “a virgin—prim and proper.” The pathologist stated the following in the autopsy report: There is a single area of contusion and abrasion on the left side of the vaginal wall approximately 3 cm. within the vaginal canal. The speculum is introduced rather easily into the vagina. There is no evidence of a hymen and the introitus is intact with no evidence of blood or damage to the hymenal ring. (Lovinggood, 1954) While decomposition of the body prevents definitive proof the killers raped her, the contusion “suggests that rape was attempted” (Friedrich, 2007, March 12). When searchers discovered Huffman’s body, the only article of clothing that was missing was her underwear. Her glasses, watch, necklace, and purse were missing, but she was still dressed in her dress, brassiere, and shoes when found. The physical evidence of possible rape, coupled with the missing underwear, provides a semblance of motive. The post-mortem changes and insect larvae on the body indicated that time of death was between 48 and 72 hours before the autopsy. In the autopsy report, the pathologist noted a “superficial abrasion over the left knee” (made before death) and the “dislocation of the 3rd cervical vertebra and a dislocation at the left tempero-mandibular joint,” or a displaced jaw. There were no other wounds or broken bones. It appeared that Huffman’s killers forced her car over. People found her seat cushion and earrings scattered outside, indicating a possible struggle. Huffman left the car with the keys in the ignition, three-quarters of a tank of gas, and the running lights on. A toy gun was either in the car or in the road near the seat cushion and then placed in the car when Huffman’s half-brother moved the car off the road. Two different witnesses who saw Huffman driving home that night said she was alone. One passed her and saw her pass his house after he arrived home. He also saw “a two-tone green Chevrolet go northwest on the road at a very high rate of speed” shortly after. As the car reached the edge of town, the driver began blowing the horn steadily, which the witness said continued until the

car was out of hearing distance. Within 15 minutes, the car came back through Delta, again traveling at a high speed. The most plausible theory is that Huffman was driving home that night, and as she passed one of the taverns on her route, someone noticed that she was alone. It was likely a crime of convenience, not premeditation. She had no known enemies and seemed to get along with everyone. The man (or men) followed her in his car, but allowed her to get a distance ahead of him. He then began honking his horn and sped up, attempting to get her to stop. Huffman stopped and the man drug her out of the car, leaving the keys in the ignition and scattering the seat cushion and earrings in the scuffle. As he was trying to get her into his car, the letter-writing witness came upon the scene and was scared off. The man forced Huffman into his car and took off quickly enough to leave skid marks in the gravel. Huffman, trying to escape, opened her door and jumped out of the car, thus making the abrasions on her knees. The fracture of the third cervical vertebrae is result of “classical whiplash motion” from Huffman hitting the street. She was killed upon impact and the man sped off after realizing she was dead. At some point, he had attempted to sexually assault Huffman, possibly when the letterwriter came upon the scene. There is one piece of evidence that has not yet entered this discussion of the case. A VFW magazine, American Legion, was found in the ditch in close proximity to the body. The magazine was the July issue and had been recently mailed to the address on the magazine, which was 150 miles north, in Saint Louis, MO. When police talked to the subscription holder, he admitted to being in Hiram, near the Bollinger-Wayne county line, over the Fourth of July to visit relatives. He had no reasonable explanation concerning why his magazine was found in the ditch with Huffman’s body. The man drove to the area from Saint Louis with his nephew, who says that his uncle then turned around and left that very day—a fact that leaves Friedrich suspicious. The magazine was “something that could have fallen out of the car if there was a struggle” (Friedrich, 2007, March 12). It was later determined that the nephew had raped someone in Bollinger County and had been placed in jail, casting even more sus-

picion on the uncle and nephew. However, the uncle was investigated and given a polygraph test, which he passed. Friedrich believes “they [police investigators] should have pounded on that and pounded on that.” The man is now deceased, leaving us wondering—was he the speeding man on the road behind Huffman that night? Was the uncle, or uncle-nephew team, responsible for Huffman’s death? Although the man passed a polygraph, Friedrich thought that the situation should have been more thoroughly investigated. While he readily agrees that the investigators at the time were “quickly overwhelmed” by the amount of information to be processed, Friedrich (2007, March 12) said that, as a new tool at the time, investigators “shouldn’t have used the polygraph as the sole tool to eliminate suspects; it is only as good as the operator.” Today, a well-done polygraph takes between three and four hours to complete, but some of the polygraphs given to suspects in the case took less than 40 minutes. As a new tool, it was somewhat unpredictable and the basic standards used to garner more accurate results had not yet been established. Another mistake investigators made at the time, Friedrich said, was to dismiss the case as just a disgruntled girlfriend who had run away. Huffman’s car was not processed for several days, before which her family was allowed to drive it home and let it sit for days in a dusty barn. Friedrich (2007, March 12) mentioned that, because the running lights were left on and the driver was missing, the investigators “should have taken greater care and processed the car.” A lack of manpower contributed to these and other such mistakes. If the Huffman case had happened today instead of in 1954, Friedrich (2007, March 12) “would like to think we would have solved it.” Southeast Missouri has created a Major Case Squad that can be called in on special cases, contributing a vast amount of manpower and expertise to the specific case. Medical examiners now have better resources, and forensic knowledge has increased tremendously in the last 50 years. Additionally, all evidence is now run through the centralized database of the Highway Patrol, enabling crosschecking and cross-referencing between cases. The lack of preserved evidence and lack of a case file, however, continue to plague the

Huffman case. Unless the missing glasses, necklace, watch, or purse are found, it seems unlikely that our improved methods will crack this case. While he has gotten to know the family and would like to provide closure for them and the entire community, Friedrich (2007, March 12) said that the “chance he’s [the killer] still alive is slim to none.” Huffman’s killer was unlikely to be much younger than Huffman herself, meaning at the youngest he would be in his seventies. At this point, Friedrich’s hope is that the killer, if alive, will come forward, or that someone with information on the case, such as the letter-writing witness, will offer more information that could lead to answering who killed Bonnie Huffman?

References Clues fade as hunt goes on for slayer of school teacher. [sic] (1954, July 10). The Southeast Missourian, pp. 1, 8. Lovinggood, T. A. (1954). Autopsy report: Miss Bonnie Huffman. Huffman Official Case File. Missing teacher found. (1954, July 6). The Southeast Missourian, pp. 1, 14. More cleared in slaying case. (1956, April 2). The Southeast Missourian, p. 1. No new clues at inquest into mystery killing. [sic] (1954, July 13). The Southeast Missourian, pp. 1, 4. Press hunt for killer in death of teacher. (1954, July 7). The Southeast Missourian, pp. 1, 12. Redeffer, L. (2004, July 6). Letter may be from witness to 1954 murder. The Southeast Missourian. Retrieved February 20, 2007, from http://www.semissourian.com/story/141049.html Remsberg, C. (1964, Summer). Schoolteacher murdered after the movies. Unsolved Murders, 30–37. Reward fund in slaying probe mounts to $275. (1954, July 9). The Southeast Missourian, p. 1. Reward grows in hunt for slayer. (1954, July 12). The Southeast Missourian, p. 1. Spur search for mystery killer. (1954, July 8). The Southeast Missourian, p. 1, 12. Why was body of slain teacher left by killer on public road? (1954, July 7). The Southeast Missourian, p. 1. $1340 reported in reward fund. (1954, July 14). The Southeast Missourian, p. 1.

Summer 2007 THE FORENSIC EXAMINER 71

Behavioral Profiling: A Panel of Experts

An Introduction to Our Expert Panelists

John DeFrancesco, PhD, DABFE, is an associate professor of psychology and criminal justice and the director of the master’s programs in forensic and clinical psychology at American International College in Springfield, MA. He is a licensed and certified psychologist and practices part-time for the Connecticut Children’s Place. He believes that his practice enhances his teaching.

Lawrence Dugan, DABPS, has completed psychological evaluations of more than 250 people facing felony child abuse charges. He has conducted more than 30 inquiries and evaluations regarding other criminal behavior. He has been certified as an expert witness in seven venues/courts. He has testified on forensic issues including, but not limited to, memory for child abuse, therapist implanted memories (TIMs), false rape allegations, police interrogation and acquiescence tendencies, credibility analysis, psychological impact of rejection, and predicting workplace violence. He has consulted with local law enforcement agencies on selecting police officers specifically to rule out psychopathy and other character traits that render a person unable to be an effective police officer. James Kimberling, PhD, earned his Doctorate in Professional Psychology in 1982 and has since been in private practice in Los Angeles and San Diego Counties providing outpatient and inpatient services to adults and adolescents suffering severe psychological disorders. He specializes in violent crime, post-traumatic stress disorders (PTSD), alcohol and other drug abuse, psychotic behaviors, and character/personality disorders. His work includes a consulting firm: Kimberling Behavioral Science Consultants, located in San Diego, California. He has consulted with the Department of Defense in disaster relief, PTSD, and family violence. He has extensive experience in interviewing, evaluating, and assisting in the treatment and evaluation of the State of California Mentally Disordered Offender and Sexually Violent Predator laws and has provided his clinical services to such high profile cases and offenders as Charles Manson, Richard Ramirez, Rodney King, The Hillside Strangler, Prison Gang “Shot Callers,” “Captains,” “Torpedoes,” and high-risk offenders incarcerated in special housing units and administrative segregation units throughout California’s 33 state prisons. Jan Mills Spaeth, PhD, has extensive experience with trial consulting and settlement negotiation including cases involving medical malpractice, product liability, contract disputes, wrongful death, and criminal matters. She has written on a wide variety of legal issues, particularly in the areas of jury selection, trial simulations, witness preparation, and case strategy and has been a seminar presenter, instructor, and guest speaker for various legal organizations. Her government clients include the U.S. Attorney’s Office, the Office of the Arizona Attorney General, the Pima County Attorney’s Office, Indigent Defense Services, and numerous public defender offices. Dr. Spaeth has been an educator for the University of Arizona, Pima Community College, and Cochise Community College. She is a member of Arizona Attorneys for Criminal Justice, the ASTC, APA, and ACFEI.

72 THE FORENSIC EXAMINER Summer 2007

Please describe your current position. DeFrancesco: I am an associate professor of psychology and criminal justice and director of the Forensic and Clinical Psychology Graduate Programs at American International College in Springfield, MA. I am also a licensed psychologist conducting psychological assessments and related services. Being able to bring the practice of forensic psychology to the classroom and being able to “preach what I practice” is invaluable to students. Dugan: I am a general psychologist in a community that is—in many regards—20 years behind the rest of the country. I am called upon when courts, law enforcement, or social service agencies do not know what to do, find themselves in disagreement or conflict with another agency, or are concerned that a case will cause political fallout. My more interesting cases involve profiling individuals who do not expect to be profiled such as parents of children who make abuse allegations. I also specialize in profiling police officers before they are hired and if they face charges. Kimberling: I am in private practice in North San Diego County, where I work with adults and adolescents with alcohol- and/or other drug-related problems and chronic patients with psychotic disorders, and I conduct mentally disordered offender (MDO) and sexual offender evaluations. I am presently designing a preadolescent/adolescent treatment program (ACT-Active Community Treatment) to reach high-risk youth before they enter the criminal justice system. Much of this work is pro bono to reach those in financially disadvantaged communities. Spaeth: I work as a litigation consultant in criminal and civil matters, locally and nationally. My work involves case strategy, trial simulations, witness preparation, and jury selection. Jury selection includes helping the trial team eliminate risky jurors, and I help develop a juror profile, voir dire questions, and jury questionnaires.

Some may question whether jury consultants are psychological profilers, but consultants need the ability. It is critical to determine the personality and character attributes of plaintiffs and defendants, to recognize how they will likely react during direct and cross-examinations, and to determine how various jurors will respond to these witnesses. During witness preparation, one purpose is to strengthen witness qualities that will appeal to a jury and to soften any that could have an adverse effect. Consultants must develop profiles to determine which jurors will have the widest—and slightest—latitudes of acceptance for our clients, witnesses, and arguments. It is critical to identify demographic factors, attitudes, and life experiences that will likely correlate with verdicts in each case. Consultants must recognize which jurors will influence other jurors, based on factors such as demographics, education, occupations, and dominance qualities. Trial simulations, research, past experience, jury questionnaires, and voir dire questions are the primary resources for this identification. How did you end up in the psychological profiling field? DeFrancesco: I am trained in personality theory and personality assessment, so developing a psychological profile is a natural extension. In practice, especially forensic practice, psychologists conduct detailed personality analyses and profiles to help courts determine appropriate judicial actions. Dugan: By accident. A colleague had been engaged in profiling and decided to discontinue his involvement. He offered me the opportunity, which I initially rejected. After a brief trial, I enrolled in courses and decided I liked the unique aspects of forensic work. Kimberling: A grad school mentor noticed that I read about serial violent predators and had an academic focus on psychotic and Axis II disorders rather than on psychotherapy with the general population. She said I had a morbid fascination with the

dangerous and “sickest of the sick and reprehensible population.” Later, as the program director for a free-standing psychiatric hospital and frequent lecturer for such organizations as the National Alliance for the Mentally Ill (NAMI), a married couple referred their son to me, who was accused of raping, sodomizing, and attempting to murder his mother by way of arson. He was facing life in prison, but his family and legal counsel saw him as severely mentally ill and belonging in a hospital rather than prison. I accepted the case and from there I continued assessing, studying, and testifying in violent criminal cases. Spaeth: I began profiling individuals as a social worker with government welfare agencies in Minnesota and Ontario, Canada. My assigned areas were the Native American reservations, and my workload consisted primarily of child abuse and neglect cases along with dysfunctional families and alcoholism. Although I would not have termed it profiling then, the skill was necessary when determining how to meet various individual needs and assessing the extent to which resources would benefit individuals. These needs included counseling and services for domestic violence, substance abuse, employment, education, and emotional issues. I also served several years as human resource director for a company with over 100 employees. The position required an astute understanding and recognition of human behavior, needs, desires, potential, stability, and ability. Identifying human behaviors to determine job suitability, hiring and firing issues, promotions, motivating employees, and educational options falls under the auspices of profiling. This background led me to become a trial consultant in the early 1980s when an attorney asked if the same skills used in interviews and assessments for both social work and human resources could be applied to jury selection. Work in this field led to obtaining my masters degree and doctorate degree in psychology, focusing on individual assessment and small group interactions.

Please describe a typical individual on whom you perform a psychological analysis. DeFrancesco: I am not a profiler in the popular sense of the word. I do not examine a crime scene and related evidence to develop a profile of someone who may have perpetrated the crime. I do, however, develop individual psychological and personality profiles of adults and juveniles by using multiple analyses methods. These methods may include psychological and personality testing and clinical interviews, but they will also involve obtaining data such as developmental, academic, employment, medical, family, and social histories—including police records and other legal documents. The more information the psychologist can gather, the more reliable the profile will be. A psychologist can then use the information to help answer the court’s questions. For example, a forensic psychologist may need to help determine if a person is at risk for re-offending, to determine a person’s propensity for violent behavior, to determine if a person can be released into the community or to a less restrictive setting, or simply to determine a person’s overall mental status. Dugan: A man accused of a felony—typically between the ages of 19 and 40. His history will include at least one sexual misconduct or aggressive behavior charge. Other charges will include drug possession, domestic abuse, and/or larceny. Most often an attorney will ask me to find evidence that a client did not commit a particular crime—independent of other variables. I have a clear policy to conduct absolutely objective and impartial investigations, and I warn people that my findings may completely contradict what they hope to find. Kimberling: The typical patient is an 8- to 19-year-old caucasian male; is from a single-parent family; has a family with a history of violence and alcohol or other drug abuse; has no positive male role models; has sporadic to frequent legal problems, of which 90% are due to drug-related isSummer 2007 THE FORENSIC EXAMINER 73

sues; suffers from depression; displays violent acting-out behaviors (fire starting, assault, property damage, abuse of siblings, sexual inappropriateness); and has poor school attendance and performance. Spaeth: Typically, these individuals include three categories: plaintiffs and/or defendants, witnesses, and jurors. Consultants must assess the parties and witnesses involved in the case to determine how a jury panel is likely to respond to them. We consider the following: ■ Will jurors view witnesses as competent or ineffective, as straightforward or evasive, and as truthful or deceitful? ■ Will factors such as the witnesses’ mannerisms, gestures, speaking patterns, tone, or pitch alienate them with a jury? ■ How can we prepare witnesses so they present well to a jury? ■ Which witnesses should testify, and what should their testimonies involve? ■ In what order should witnesses testify? ■ Evaluating jurors to identify those who will best relate to our case themes, arguments, clients, and witnesses is the third area of psychological analysis. At trial, the jury consultant observes and categorizes the jurors to determine the following: ■ Which jurors are reacting positively to which parties? ■ Which jurors are sitting on this panel with motives or agendas? What are these motives and agendas? ■ Which jurors are likely to be leaders on the panel? Could there be a hung jury with several strong, opposing leaders? ■ Which jurors are hedging their answers and/or withholding information? ■ Which jurors are reacting negatively to case issues? Which issues? What type of continuous learning do you pursue to stay current and advance your skills? DeFrancesco: My work requires regular and continuing education and training. One must learn new developments and techniques by attending workshops, seminars, and conferences and by reading forensic and related journals and other publications. Dugan: I read The Forensic Examiner cover to cover (most times twice) each issue. I also scour the Internet weekly for relevant legal and psychological reports/cases/histories. I 74 THE FORENSIC EXAMINER Summer 2007

read other profilers’ texts and watch shows (Dayle Hinman) to keep my brain sharp because the Midwest is well behind major metropolitan areas with regard to profiling and, in many cases, seeks profilers with a distinct orientation. Kimberling: I attend workshops, symposiums, and conferences where I collaborate with colleagues in the field. Working with law enforcement keeps me abreast of current criminal trends, law enforcement needs, criminal justice system needs, and fine-tuning of my ever-changing profession. I take courses in the most current assessment methodologies of the violent predator and, in turn, teach these assessment tools and interpretation of up-to-date data, and I learn most from my subjects. Spaeth: I maintain membership with various organizations—ACFEI, APA, and the American Society of Trial Consultants— and attend their seminars and review their publications. I regularly write articles on case strategy, trial simulations, jury selection, and witness preparation, focusing on recent research studies. This ensures that I remain current in my knowledge base. What do you consider to be the best aspect of your job? DeFrancesco: I enjoy the challenge and rewards of developing a comprehensive profile that can help others make pro-active decisions. As a professor, I enjoy teaching what I practice. I believe students prefer being exposed to real clinical experiences rather than only textbook exercises and examples. Dugan: Championing the truth. Attorneys, judges, and jury members have told me that I present the data in a manner that is digestible, understandable, and freed from prejudice—to the extent humanly possible. To me there is the art of profiling and the science of profiling. The scientific analysis of human behavior and its consistencies must make sense on some level, but that level can include inconsistencies. The art of profiling involves asking questions that have the individual reveal more than he or she intends and reading the meaning of a certain piece of behavior. Kimberling: One of the most rewarding aspects of my job is working with youth in an

early intervention mode where prevention is still possible, and reaching out to those in poor communities is probably the most gratifying aspect of my career to date. Spaeth: Variety is a great aspect of being a litigation consultant. One week I will work on a murder trial involving the death penalty and the next week I will work on a product liability case. Every week there is a different kind of case. Having independence, challenges, and the opportunity for resourcefulness are also good aspects of being a trial consultant. Most rewarding, however, is the opportunity to work with talented, committed trial teams and to assist in the positive outcomes of cases.

ACFEI Members: Would you like to be interviewed as an expert for The Forensic Examiner? The Forensic Examiner plans to feature interviews like this one on hot topics in upcoming issues, and we need expert panelists to share their thoughts. Our next “Ask the Experts” column will be on criminal profiling and behavior analysis. If you have experience in this area and would like to participate as a panelist, please email the editor at editor@acfei.com. You may be selected to be interviewed in an upcoming issue!

Who does the media contact when looking for Forensic Experts? They could be contacting YOU! Your experience and expertise in forensic sciences could qualify you to be the next leading expert for the media. Take the next step by joining the Forensic Speakers’ Bureau, which is free for ACFEI members! This organization exists to provide the media with leading experts to give opinions, state facts, and comment on current forensic news. In other words, You can be the

expert who completes the story. If you would like to be listed on this bureau, email experts@forensicspeakers.com today.

Qualifications: • Member in good standing of ACFEI • ACFEI Certified, Diplomate, Life Member, or Fellow Status • Provide a list of categories you would be willing to address • Send a current resume or curriculum vitae • The willingness to allow ACFEI to post your name and categories of expertise online The Forensic Speakers’ Bureau website, www.forensicspeakers.com, will list members by area of expertise so members of media organizations can easily find experts. If someone from the media requests a phone number for a member of the bureau because of the urgency of the story, ACFEI will supply a phone number unless specifically requested to refrain.

The Journal of Forensic Accounting: Auditing, Fraud, and Risk (JFA) is positioned at the leading edge of scholarly research in economic transactions and reporting events.

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(585) 734-4020 and Sarasota, FL

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Topics include the following: • Evidence and judgement • Reliability testing • Transaction and reporting event reconstruction, ownership, and accountability • Risk and allegation-based engagements • All source methods of corroboration • Scientific valuation and risk measurement in complex environments • Procedural responses to fraud risk assessments

Phone: 225.578.6231 Fax: 225.578.6201 Email: dcrumbl@lsu.edu Summer 2007 THE FORENSIC EXAMINER 75

CE TEST PAGE: FOUR TOTAL CREDITS AVAILABLE (WITH THE COMPLETION OF ALL 4 CE TESTS) To receive CE credit, please do the following: 1.) Read the CE 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 $15 for each CE exam taken. A certificate of completion for one CE credit will be sent for each exam passed with a grade of 70% or above. Those who do not pass the exam are notified and will have a second opportunity to complete the exam. Direct any questions, grievances, or comments to the ACFEI CE Department (phone 800-423-9737; fax 417-881-4702; email cedept@acfei.com

Learning Objectives for “Quicklime and Caustic Soda Water Effects on a Fresh Cadaver.” After studying this article, participants should be better able to do the following: 1.) Identify various multidisciplinary approaches to identifying human remains in varying conditions. 2.) Identify the most useful methods of identifying human skeletal remains when no medical or dental records are available. 3.) Discuss how and to what extent the chemical agents quicklime and caustic soda affect human body tissues.

Learning Objectives for “Sarbanes Oxley Act Section 404: Effective Internal Controls or Overriding Internal Controls?” After studying this article, participants should be better able to do the following: 1.) Identify the principle objectives of the Sarbanes Oxley Act (SOX). 2.) Identify four areas of focus of SOX. 3.) Discuss the misinterpretation of SOX - Section 404. 4.) Explain what a financial statement fraud audit is. 5.) Discuss the elements of occupational fraud.

Article 1: CE Test for “Quicklime and Caustic Soda Water Effects on a Fresh Cadaver” (See page 10 for article.)

Article 2: CE Test for “Learning Objectives for “Sarbanes Oxley Act Section 404 . . .” (See page 19 for article.)

1.) Which body region was affected by the caustic soda water? A. Teeth B. Soft tissues C. Bone tissues D. All of the above

1.) The principle objectives of the Sarbanes Oxley Act are to minimize the possibility of A. Financial statement fraud occurring in publicly traded corporations. B. External auditors endorsing falsified financial statements. C. A & B. D. None of the above.

2.) Which part of the body was more affected by the quicklime? A. Facial tissues B. Soft body tissues C. Bone tissues and tooth D. Bone and soft tissues 3.) The most effective way to identify human skeletal remains when no medical or dental records are available is to A. Analyze and compare bone samples from the remains and suspected family members for a DNA match. B. Analyze and compare hair samples from the remains and suspected family remembers for a DNA match. C. Both A and B are correct. 4.) In order to confirm the remains belonged to a human, all but which of the following were done? A. Sectioned cuts were made to the thoracic and lumbar regions for appraisal. B. The bones were cleaned with chlorinated water. C. Bone fragments were examined. D. Dental pieces were examined. E. All of the above steps were completed to identify the remains as human.

Evaluation for Article 1: (1-3 rating section)

2.) The focus of SOX included all of the following except A. Corporate governance. B. Format of financial statements produced. C. Regulating external auditing. D. Internal control over financial reporting. 3.) SOX Section 404 seeks to regulate internal control over financial reporting. External auditors have interpreted this to mean A. Government production of corporate financial reports. B. Auditor produced corporate financial statements. C. Government approval of corporate financial statements prior to their publication. D. Auditing all internal controls. 4.) The elements of occupational fraud include all except A. Pressure. B. Opportunity. C. Strong internal controls. D. Perception of impunity. 5.) A financial statement fraud audit would require A. Reconciliation of the checking account. B. Analysis of detailed company financial records using trend analysis. C. Compliance with GAAP. D. Working with standard financial statements supplied by the audited company. Evaluation for Article 2: (1-3 rating section)

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CE TEST PAGE: FOUR TOTAL CREDITS AVAILABLE (WITH THE COMPLETION OF ALL 4 CE TESTS) Learning Objectives for “Responding to Bioterrorism: Basics for Physicians and Allied Health-Care Providers.” After studying this article, participants should be better able to do the following: 1.) Distinguish between the signs, symptoms, and classifications of the diseases commonly associated with bioterrorism. 2.) Understand treatment and vaccinations and how to limit risk of exposure to biological agents. 3.) Explain how to prepare for and respond to all potential bioterrorism diseases.

Learning Objectives for “Psychological Approach to Accident Investigation” After studying this article, participants should be better able to do the following: 1.) Explain how alternative levels of data analysis are used to build a theory of how the human behavior operated in the environmental setting. 2.) Understand the benefits of approaching analysis in a carefully sequenced series of steps of increasing complexity. 3.) Discuss the assumptions under which data are being analyzed to evaluate their role in building a credible solution to an investigation.

Article 3: CE Test for “Responding to Bioterrorism: Basics for Physicians . . .” (See page 22 for article.)

Article 4: “Psychological Approach to Accident Investigation” (See page 32 for article.)

1.) Which of the following are Category A Agents? A. Smallpox B. Anthrax C. Tularemia D. Plague E. All of the above

1.) Concerning intuition, which of the following does the article suggests? A. Intuition describes the process of immediate comprehension of a fact or the immediate realization of the relationship between a fact and a result. B. Intuition furnishes the elements of all scientific and philosophical speculation. C. A comprehensive study of intuitive and impressionistic methods of gathering information gives a fuller understanding of the field of prediction. D. All of the above.

2.) True or false. The skin rash distribution for Smallpox is centrifugal. A. True B. False

2.) Which of the following does the article suggests? A. The Actuarial approach uses a multiple sample database of related information and typically a statistical model. B. The lack of comprehensive theoretical work has been the weakest part of psychological investigation and theorizing in modern times. C. Typically, an aircraft man-machine system will present with sets of potential problem behaviors including the regular and predictable pilot mental attitude and performance related physical issues as well as the irregular and unpredictable issues that appear as the person runs into trouble. D. All of the above.

3.) True or False. Smallpox vaccination is accomplished using the Vaccinia Virus. A. True B. False 4.) Levels of protective clothing are classified Level A-D. Which offers the highest level of protection? A. Level A B. Level B C. Level C D. Level D

3.) Concerning investigations, which of the following does the article suggests? A. Rationalization, compensation, and denial are well known conceptions in a psychological investigation of human motives and behavior. B. One of the important goals of investigation is to detect what increases restrictions on both the pilot’s perceptions and his responses. C. You have to be generous in inventing possible scenarios and then investigate the variable’s performance under those separate environmental conditions before making the prediction. D. All of the above.

5.) The recommended minimum amount of water to store per person per day is A. ½ gallon. B. 1 gallon. C. 2 gallons. D. 4 gallons.

4.) Concerning predictions, which of the following does the article suggests? A. The simplest level of theorizing makes no assumptions about the underlying distribution of the data. B. One of the few solid axioms of prediction research is that variables are systematically and complexly linked in their relationships in a multiple contingency system with redundancy and feedback. C. The impatience and other character issues of the investigator can threaten prediction quality. D. All of the above. Evaluation for Article 4: (1-3 rating section)

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The mission of the American Board of Professional Counselors (ABPC) is to be the nation's leading advocate for counselors. We will work with you to protect your right to practice, increase parity for your profession, and provide you with the recognition, validation, and fairness that you so richly deserve. ABPC will champion counselors’ right to practice. ABPC will provide you with resources, low or no cost continuing education opportunities, and a forum to network with your fellow professional counselors.

Minimum qualifications during grandfathering period: • Master’s or doctorate degree in counseling, psychology, social work, marriage and family therapy, psychiatry, medicine, law, or related area from an accredited institution. • Minimum of 3 years experience as a counselor. • A current license, if required by the jurisdiction in which you practice. • Score at least 100 points on our scale of education, training, experience, knowledge and skill. • Write one test question (multiple choice or true/false) for future National Examination for Board Certified in Professional Counseling and include the correct answer and at least one paragraph with an explanation and rationale for the answer.

Publications by ACFEI Members Coroner’s Journal: Stalking Death in Louisiana By Louis Cataldie, MD Louis Cataldie writes with a human touch. He is a scientist, but he cares about the individuals that cross his path. The audiences of CSI, Cold Case, and other forensic television shows find the human value, those actors that have heart, to be a necessary part of their viewing pleasure. In Coroner’s Journal: Stalking Death in Louisiana, Cataldie offers readers that human value in his uniquely authentic and personal look at his long career. Serving as a coroner or medical examiner for almost 15 years, he has plenty of stories to tell. In his conversational tone, Cataldie takes readers into Louisiana, allowing them to experience his life with all their senses. He recounts some of the most intriguing and moving cases of his long career. While a coroner’s foremost duty is to identify the time, cause, and manner of death, Cataldie goes much further than that. He works crime scenes, preserves evidence, attends autopsies, trains law enforcement personnel, informs family members and the media, commits psychiatric patients, performs exams and consults in rape cases, and even acts as a detective. Above all, Cataldie sets out to explain how the lives—and untimely deaths—of the people he investigated crossed his path and how he tried to bring order and integrity to the aftermath. His honesty, deep concern for the dead and their families, and down-home manner have made him a beloved figure in his native Louisiana. Currently the state’s medical examiner, he was charged with the difficult task of identifying and determining cause of death for more than 1,000 victims of Hurricane Katrina and Hurricane Rita in Louisiana. His nonstop work at an improvised morgue in the New Orleans

suburb of St. Gabriel contributed many stories to his book, and many of his cases have gained national attention. Cataldie was involved in the investigation of the notorious Beltway Snipers’ first victims and the hunt for the Baton Rouge Serial Killer. However, most of the victims in his book are ordinary people whose cases never became famous. Dr. Cataldie’s fierce determination to bring justice to each of them—even the unloved and unknown— shines through on every page. His cases are of surprising and extraordinary variety. While every case is personal enough to tug at readers’ heartstrings, the cases involving children are especially heart wrenching. Coroner’s Journal: Stalking Death in Louisiana is one of the most revealing, emotionally candid, and compassionate glimpses into the world of forensic science ever published, from a man who has devoted his life to achieving dignity and justice for the dead. Louis Cataldie, MD, was the coroner of East Baton Rouge Parish in Louisiana from 1993 to 2003 and currently serves as the medical examiner of Louisiana. He has worked as a general practitioner in the tiny north Louisiana town of Colfax and as an emergency room doctor in Baton Rouge, where he lives with his wife and youngest son. Cataldie is a Diplomate of The American College of Forensic Examiners. Tales From the Morgue: Forensic Answers to Nine Famous Cases By Cyril Wecht, MD, JD, and Mark Curriden, with Angela Powell Cyril Wecht, the Pittsburgh pathologist who has lent his expertise on many publicized cases, including the JonBenet Ramsey and O.J. Simpson cases, has done it again. Tales from the Morgue: Forensic Answers to Nine Famous

Cases is a captivating and in-depth look at some of the nation’s most widely known cases and a few that are amazingly less well known. He applies his scientific expertise to several high-profile cases, providing fascinating reading based on the proof, or absence of it, in each case. Wecht sifts and sorts the evidence in the scandalous Scott Peterson and Chandra Levy cases and determines that it is lacking. He shares his expert views on the JFK assassination and the Marilyn Monroe autopsies, offering some interpretations of the evidence that are contrary to popular belief. He also makes an articulate argument in defense of basketball star Jayson Williams, who was accused of manslaughter in the 2002 shooting death of a limousine driver. The fascinating and disturbing lesserknown cases include several older cases. The 1995 death of Jonny Gammage—a black man who died at the hands of police during a traffic stop—and the alleged 1989 suicide of Marine Corps captain Jeffrey Digman are prime examples. In one case, Wecht concludes that sabatoge caused a 1985 plane crash that killed 248 American soliders and that officials covered it up. Wecht’s arguments are persuasive because he lets scientific facts—or at least his expert interpretation of them—do the talking. The author is one of the world’s leading pathologists, is the author of Mortal Evidence, Who Killed JonBenet Ramsey?, Grave Secrets, and hundreds of professional publications. He is a Life Fellow of the American College of Forensic Examiners International. He has served as president of the American College of Legal Medicine and the American Academy of Forensic Sciences and has appeared on numerous national television programs including Dateline, Larry King Live, 20/20, and Burden of Proof. Members can have their books reviewed in The Forensic Examiner® by sending a review copy to Editor, 2750 E. Sunshine, Springfield MO, 65804. Summer 2007 THE FORENSIC EXAMINER 79

C. Certified in Homeland Security Polo (available only to CHS members) (Black, Sizes: M to XXL)—$48

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G. ACFEI Polo (Black or Navy, Sizes: M to XXL)—$48

*Visit www.acfei.com for a full catalog of logo merchandise and to order online! K. Luggage Tag—$5

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Falsely Accused Prosecutors Drop Case Against Three Duke University Lacrosse Players After a full year of intense media coverage, the North Carolina district attorney exonerated three Duke University lacrosse players—Reade Seligmann, David Evans, and Collin Finnerty—who had been facing kidnapping, sexual offense, and rape charges. The young men stressed their innocence throughout the year, and Evans claimed the experience took them to “hell and back” (CNN, 2007). The ordeal began March 13, 2006, when Duke University lacrosse players hired two dancers as entertainment for a team party. After police responded to a 911 call, one dancer told them that three players forced her into the bathroom; locked the door behind them; and beat, raped, and sodomized her. After the alleged victim identified her supposed attackers in a photo lineup that only included team members—a violation of federal, state, and local procedures— Seligmann, Evans, and Finnerty faced prosecution in the courtroom as well as in the media (Associated Press [AP], 2007). The case involved many areas of social tension: the alleged victim was a young, impoverished, African American mother and part-time student at North Carolina Central University (NCCU), while the alleged assailants were young, wealthy, white men with athletic scholarships to acclaimed Duke University. Public outcry and racial tension among Durham residents height82 THE FORENSIC EXAMINER Summer 2007

ened when evidence released into court revealed another Duke player who was never charged sent an email 2 hours after the alleged attack that suggested reliving the night: “. . . however there will be no nudity. I plan on killing . . . as soon as the[y] walk in and proceeding to cut their skin off ” (as cited in CBS/AP, 2006). The email spurred speculation about the players’ intentions and did nothing to quell accusations that the players were racially motivated. The case against Seligmann, Evans, and Finnerty seemed overwhelming when the investigation began. The other dancer, who consistently acknowledged that she never witnessed an attack, said she placed the 911 call because the lacrosse players were hurling racial slurs. She also said that the accuser was apparently sober when she arrived, but when they left an hour later “she couldn’t really walk on her own. She couldn’t get her thoughts together enough to answer any questions” (as cited in Blythe, Chambers, & Niolet, 2006). Durham County District Attorney Michael Nifong publicly discussed all this information—building his case in the media more skillfully than in court. He boasted that a medical examination found that the accuser had injuries consistent with sexual assault, and he said he would use this evidence to ensure justice (Blythe et al., 2006). He also claimed that DNA testing would provide further evidence against the accused men. However, over the next few months Nifong scrambled to overcome setback after setback. DNA testing produced no evidence that any player had assaulted the accuser, and in later reports of the attack, the alleged victim “told authorities several different versions” of what happened (AP, 2007). Nifong continued to relentlessly pursue the case but was beginning to lose public support. Many argue that his pursuit had as much to do with getting reelected as it had to do with seeking justice. Lack of solid evidence and concerns about Nifong’s motivations led legal experts to publicly denounce the validity of the case. On December 22, 2006, Nifong officially dropped the rape charges because the accuser could no longer be certain she was penetrated vaginally (AP, 2007). After she changed her story, prosecutors could only pursue kidnapping and sexual offense convictions.

The case weakened again when the North Carolina State Bar filed ethics charges against Nifong amid allegations of mishandling evidence and the resulting cover-ups. The director of the private DNA lab Nifong hired—when the state lab found no evidence—testified “that, as part of an agreement with Nifong, he omitted from a May report that no genetic material from any of the lacrosse team was among that of several males found in the accuser’s underwear and body” (AP, 2007). The Bar charged that Nifong made “misleading and inflammatory comments to the media about the athletes under suspicion” and that he withheld “evidence from the defense and lied to both the court and bar investigators” (AP). After Nifong released himself from the case on January 12, 2007—citing that the pending ethics charges could influence the trial—State Attorney General Roy Cooper accepted the role. He said that “agreeing to accept the prosecution of these cases doesn’t guarantee a trial, nor does it guarantee a dismissal” (AP, 2007). However, within less than 2 months Cooper dismissed all charges. On April 12, 2007, after spending more than a year enduring hatred aimed at supposed rapists, Seligmann, Evans, and Finnerty were exonerated.

References Associated Press. (2007, April 10). Timeline of Duke lacrosse investigation. In MSNBC.com. Retrieved April 12, 2007, from http://www.msnbc. msn.com/id/18041327/ Blythe, A., Chambers, S. B. Jr., & Niolet, B. (2006, April 18). Two arrests made in Duke lacrosse case. In newsobserver.com. Retrieved April 12, 2006, from http://www.newsobserver. com/1185/story/ 429871.html CNN. (2007, April 12). Duke lacrosse players: Case closed. In CNN.com. Retrieved April 12, 2007, from http://www.cnn.com/2007/ LAW/04/11/duke.lacrosse/index.html CBS/Associated Press. (2006, April 6) E-Mail shocker in duke lacrosse case: Now-suspended player allegedly wrote of wanting to kill strippers. In CBS News.com. Retrieved April 12, 2007, from http://www.cbsnews.com/stories/ 2006/04/05/ national/main1476021.shtml

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.

American College of Forensic Examiners International 2750 E. Sunshine Springfield, MO 65804

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