In This Issue:
Treating Juvenile Firesetters Tracking Stalkers Acid-bath Murderer
Analyzing Forensic Samples
ACFEI Member Dr. James Watterson: Lead author of Considerations for the Analysis of Forensic Samples
2006 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 A. Baer, PhD, FACFEI, DABPS, DABFE, DABFM, Chair, American Board Psychological Specialties Members of the Executive Board of Advisors: Nick Bacon, CHS-V, DABCHS, Past President of the Congressional Medal of Honor Society, Civilian Aide to the Secretary of the Army, Chair, American Board for Certification in Homeland Security Michael W. Homick, PhD, CHS-V, DABCHS, Chair, American Board of Law Enforcement Experts James L. Greenstone, EdD, JD, FACFEI, DABECI, DABLEE, DABPS, DABFE, CHS-V, CMI-I, Chair, American Board of Examiners in Crisis Intervention David Albert Hoeltzel, PhD, DABFET, DABFE, Chair, American Board of Forensic Engineering and Technology J. Bradley Sargent, CPA, CFS, Cr.FA, Chair, American Board of Forensic Accounting Russell R. Rooms, MSN, RN, CMI-III, CFN, Chair, American Board of Forensic Nursing Marilyn J. Nolan, MS, DABFC, Chair, American Board of Forensic Counselors Thomas J. Owen, BA, FACFEI, DABRE, DABFE, Chair, American Board of Recorded Evidence Michael Fitting Karagiozis, DO, MBA, CMI-V, Chair, American Board of Forensic Examiners Daniel S. Guerra, PhD, FACFEI, DABFSW, DABFE, Chair, American Board of Forensic Social Workers
Louay Al-Alousi, MB, ChB, PhD, FRCPath, FRCP(Glasg), FACFE, 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, FACFE 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 Hanbury, Jr., PhD, DABFE, DABPS 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, FACEI, SPHR, BS, MA Ronald G. Lanfranchi, DC, PhD, DABFE, DABFM, DABLEE, CMI-IV Richard Levenson, Jr., PsyD, DABFE, DABPS Monique Levermore, PhD, FACFEI, DABPS Jonathon Lipman, PhD, FACFEI, DABFE, DABPS, DABFM Judith Logue, PhD, FACFEI Jennie Martin-Gall, CMT, CMI-I Mike Meacham, PhD, LCSW, DCSW, DABFSW David Miller, DDS, FACFEI, DABFE, DABFM, DABFD Jacques Ama Okonji, PhD, FACFEI Norva Elaine Osborne, OD, FAAO, CMI-III Terrence O’Shaughnessy, DDS, FACFEI, DABFD George Palermo, MD, FACFEI, DABFE, DABFM Ronald J. Panunto, PE, CFEI, BSEE Larry H. Pastor, MD, FAPA, FACFEI, DABFE, DABFM Theodore G. Phelps, CPA, DABFA Marc Rabinoff, EdD, FACFEI, DABFE Harold F. Risk, PhD, DABPS Susan P. Robbins, PhD, LCSW, DCSW, BCD, LCDC, DFSW, DABFSW Jane R. Rosen-Grandon, PhD, DABFC Douglas Ruben, PhD, FACFEI, DABFE, DABFM, DABPS J. Bradley Sargent, CPA, CFS, Cr.FA, DABFA William Sawyer, PhD, FACFEI, DABFE, DABFM Victoria Schiffler, RN, DABFN John V. Scialli, MD, FAACAP, DFAPA, DABFE, DABFM Howard A. Shaw, MD, DABFM Henry A. Spiller, MS, DABFE, DABA Marylin Stagno, PsyD, RN, DABFE, DABFM, DABPS Richard I. Sternberg, PhD, DABFE, DABPS, FABVE, FFAPP James R. Stone, MD, MBA, CHS-III, DABFE, DABFM Johann F. Szautner, PE, PLS William A. Tobin, MA, DABFET, DABLEE Robert Tovar, BS, MA, DABFE, DABPS, CHS-III Brett C. Trowbirdge, PhD, JD, DABPS Jeff Victoroff, MA, MD, DABFE, DABFM Patricia Ann Wallace, PhD, FACFEI, DABFE, DABFM Raymond Webster, PhD, FACFEI, DABFE, DABFM Dean A. Wideman, MSc, MBA, CFC
Publisher: Robert L. O’Block, MDiv, PhD, PsyD, DMin (rloblock@aol.com) Editor in Chief: Leann Long, BS (editor@acfei.com) Editor: Heather Barbre Blades, MA Editor: Angela Burroughs Kelly, MA Editorial Assistant: Jeff Collins Art Director: Brandon Alms, BFA Photography: www.istockphoto.com
The Forensic Examiner® (ISSN 1084-5569) is published quarterly by The American College of Forensic Examiners International, Inc. (ACFEI). Annual membership for a year in the American College of Forensic Examiners International is $145. Abstracts of articles published in The Forensic Examiner® appear in National Criminal Justice Reference Service, Cambridge Scientific Abstracts, Criminal Justice Abstracts, Gale Group Publishing’s InfoTrac Database, e-psyche database, and psycINFO database. Periodicals Postage Paid at Springfield, Missouri, and additional mailing offices. ©Copyright 2006 by the American College of Forensic Examiners International. All rights reserved. No part of this work can be distributed or otherwise used without the express permission of the American College of Forensic Examiners International. The views expressed in The Forensic Examiner® are those of the authors and may not reflect the official policies of the American College of Forensic Examiners International.
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Winter 2006 THE FORENSIC EXAMINER
THE
FORENSIC
EXAMINER
The Official Peer-Reviewed Journal of The American College of Forensic Examiners
®
VOLUME 15 • NUMBER 4 • WINTER 2006
Your thoughts, feedback, and submissions are what made The Forensic Examiner® the world’s leading forensic publication, and now there are more opportunities than ever for you to contribute to the journal. Write about a fascinating forensic case. Case studies exploring forensic investigations on any topic, case, or crime—including fraud, theft, murder, historical cases, and any others—are welcome. These case studies could discuss serial killers, famous fraudsters, cold cases, or any other type of case. Case studies should focus on how forensic techniques, tools, and investigations were used to break the case or solve a mystery. These could be cases you’ve worked on or simply cases that fascinate you. Submit an article for peer review. The Forensic Examiner® is always looking for articles on research and new techniques and findings in the various fields of forensics. To submit an article for peer review, or for complete submission guidelines, please visit www.acfei.com or write to editor@acfei.com. Discuss a current issue in the field of forensics. Is there a “hot topic” that the readers of The Forensic Examiner® need to know about? This is your chance to share it! How to Submit Whether you wish to submit an article for peer review, a fascinating case or forensic case profile, or an article on a current issue in the field of forensics, send your writing electronically (either in the body of an email or as an attachment) to editor@acfei.com. Or, send in your writing on a disc or CD to Editor, Association Headquarters, 2750 E. Sunshine, Springfield, MO 65804.
Continuing Education Articles
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p. 19
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10 Understanding and Treating the Juvenile Firesetter: A Review By Tracy Gilman, BS, and Sara Haden, MA
19 Considerations for the Analysis of Forensic Samples Following Extended Exposure to the Environment By James Watterson, PhD, Valerie Blackmore, MSc, and Dalia Bagby, MSc
26 The Role of Diatoms in Medico-Legal Investigations Part II: A Case for the Development and Testing of New Modalities Applicable to the Diatom Test for Drowning
By Edward J. Rohn, MA, and Peter D. Frade, PhD
37 The Daubert Decision: Accident Reconstruction Considerations By Peter H. Rast, PhD, BS, MSFS, MBA, DABFE, DABLEE
42 Scientific Considerations in Observing How Children Interact with Parents By Daniel J. Hynan, PhD
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.
THE FORENSIC EXAMINER Winter 2006
Case Studies/Current Issues
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48
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Tracking Stalkers By Bruce Gross, PhD, JD, MBA, FACFEI, DABFE, DABPS, DABFM, DAPA
54
Historical Spy Profiles: The Deceptive Deeds of Famous Deceivers
58
John George Haigh: A Malingerer’s Legacy
By Megan Augustine
By Katherine Ramsland, PhD, CMI-V
Also in This Issue
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ACFEI and The Forensic Examiner® Logo Products CE Test Pages: 5 Continuing Education Credits in This Issue Publications by ACFEI Members Falsely Accused: Profiles of Individuals Wrongly Accused or Convicted of Crimes
Case studies wanted! The Forensic Examiner® is looking to publish fascinating forensic case studies! Share your story or write about a forensic case. For more information email editor@acfei.com.
Winter 2006 THE FORENSIC EXAMINER
Letter to the Editor
Dear Editor, When I received my Fall 2006 issue of The Forensic Examiner® I was delighted to see an article on independent examinations. However, the difficulty with this article was its inherent bias. Independent medical evaluations consist of less than 5% of my practice, though I have done them on a regular basis for over 5 years. I read the characterization of what an IME physician does, and I was very disheartened.
Diatom Tests for
Drowning
Plus… Hurricane Katrina Morgue Operations Qualifications and Paradigms for the Independent Examiners Killer Coworker
Dr. Peter D. Frade (left) and Edward J. Rohn (right) Discuss the Diatom Tests for Drowning
The work I do is 95% defense work. By the time a case makes it to my desk the insurance company has essentially flagged it as an outlier. This is a chart that exceeds the standards of the medical community and has a need for review— for appropriateness of treatment, missed diagnoses, and malingers. This means that the majority of the patients have been found valid, have been treated, and have resumed their normal life. Sometimes there are sequela of their accidents, and they do have deficits with which the insurance companies agree. I do not see these charts; instead, I see charts where physicians perform minimal exams, give diagnoses based solely on subjective
complaints, and misinterpret diagnostic testing to their patient’s advantage (i.e., an MRI with a bulging disk without neural compromise). It is frustrating to see an “exam” that states “same as before” for five visits in a row. The question also becomes whether the treating physician has a motive for continuing care. I believe that as an independent examiner I am sometimes in a better position to assess the patient. I have a fresh set of eyes, unlimited time to listen and examine, and no reason or motivation to see the patient such as in-office physical therapy or epidurals for subjective pain. As far as reports that contain things that are written, yet not examined—I believe that is called perjury. In addition, I have no problems with witnesses. I have had plaintiff attorneys, mothers, husbands, and children in the room. The only thing I will not allow is video or audio taping. Anyone with a good digital splicer can change anyone or anything. Instead, I view myself as the advocate for the patient. I help those who truly need treatment achieve it—I give them validity. Yet, when a 12-yearold patient says to his mother, “Mom, I forgot which knee was supposed to hurt,” I get upset and disillusioned. Remember, the cases seen by IMEs are only a fraction of the cases that reach an adjuster’s desk. The question I ask Drs. Haberströh and Mulhern is what percentage of IMEs do they perform that are plaintiff versus defense. I would guess more than 50% plaintiff based on the tone of their article. While I don’t have all the answers to worker’s compensation, auto accidents, and disability, attacking the credentials of those who perform IMEs is incorrect. Sincerely, Stanley J. Sczencienski, DO, FAOASM, FABFE
THE FORENSIC EXAMINER Winter 2006
Authors’ Response Dear Dr. Sczenscienski: Thank you for your response to our article in the recent issue of The Forensic Examiner®. We enjoyed reading your letter. Our forensic work constitutes about .01% of our practices, as we’re full-time practitioners. However, over the past 20 years we have attended numerous IE (IME) encounters. According to our observations, less than 10 of those encounters could be considered fair, properly performed exams, with vitals and dynamometer taken, the areas of complaint examined, and at least five or more orthopedic tests with the ranges of motion in the areas of complaint performed. If the patient was still under care, those exams found that more care was not necessary. All too often we have found that an entire IE exam takes less than 5 minutes, with a focus on the vehicular damage—not on the care and needed treatment of the patient. We do rebut the IE reports that come in on our own patients, and there are few plaintiff cases we are called to forensically examine; mostly we lecture. Consider the primary thrust of the article: we were seeking to establish viable rules and regulations for IEs. We see nothing biased, as has been suggested, with that goal. We inserted disclaimers in our articles that stated that not all IEs act in an unprofessional manner. You raised valid points about the occasional slip-shod nature of field doctors as well as their sloppy record keeping and specious arguments for “further care needed.” We recognize and understand this happens and have addressed this important issue as well. In our article that was published in the Winter 2005 issue of The Forensic Examiner®, we provided a detailed explanation of how field doctors can be more professional in their record keeping by providing a clean, organized, outcomeassessed timeline of all aspects of treatment parameters that would satisfy a number of issues: makes rebuttals to IE reports easier, is better for patient care, is better for reim-
bursement, and is better for coverage doctors when the primary doctor is away or the patient has transferred. We referred to the Winter 2005 article published in the Fall 2006 issue. We also spoke of not abolishing IEs, but rather setting the tone by establishing standards and statutory rules and regulations. We stand by that and still see nothing but advantages to establishing rules and regulations. We also stated we felt IEs are still a good concept but not in the current national format. As demonstrated, there are very few established parameters currently. You seem to be an enlightened and reasonable IE doctor, and it is our hope that all IEs could be more professional like you and that all practicing doctors adopt more stringent
and honest case/file management. If audio and videotapes get spliced, we believe forensic experts in recorded evidence would be able to reveal tampering. Finally, we ask you to revisit the article by Baum. Six State Supreme Courts have issued decisions against IEs by patients that have sued them for agenda-driven exams and their faux conclusions. We have done additional research and also recommend a book by Ray Bourhis, Insult to Injury: Insurance, Fraud, and the Big Business of Bad Faith. The issues we have raised are widespread, as current critical literature clearly points out. Sincerely, Drs. Haberströh and Mulhern
Correction In the “Multiple Mysterious Drownings: Accidents or Serial Murders?” article that appeared in the Fall 2006 issue of The Forensic Examiner ®, Craig Burrows and Michael Noll were incorrectly listed as being from Eau Claire, Minnesota. The two individuals were from Eau Claire, Wisconsin. In an update to the story, the body of another young male, Lucas Homan, was found in the Mississippi River in LaCrosse, Wisconsin. As with almost all of the other drowning victims, Homan had reportedly been drinking the morning he disappeared.
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Key Words: juvenile firesetting, etiology, treatment
Abstract Firesetting is a serious yet relatively unexplored issue among juveniles. This article reviews current scientific and social literature on the factors contributing to juvenile firesetting and their possible solutions. Though a diverse group, attempts have been made to find common characteristics for facilitating identification of these youngsters. Recurrent themes in etiology include traumatic home environments, difficulty expressing emotion, and impaired social functioning. Treatment is primarily designed for the individual, and it generally includes teaching proper social skills, enhancing anger management techniques and, when possible, improving the home situation. In sum, further research is imperative. Progress can be achieved through an accurate understanding of the juvenile and introduction of appropriate solutions to the primary causes of firesetting. By Tracy L. Gilman, BS, and Sarah C. Haden, MA ire is a fascinating and enchanting energy that all at once can hypnotize and frighten the observer. It can save lives and it can take lives, yet it always destroys its source. With today’s technology, a fire is easy to begin, and though humans may serve as its creator, too often they fail miserably in their attempts to stop it. Once the spark is ignited, people are hard pressed to put it out. With many young firesetters, their interest begins at an early age and quickly escalates to a seemingly uncontrollable obsession. It is unknown when the precise moment of intrigue occurs in children, but several similarities are seen between these otherwise varied individuals. It is through these common qualities that young firesetters may be recognized and segregated from the general delinquent
population. Understanding these shared traits also facilitates the development of effective treatments so that this burning desire within them may be quelled. The purpose of this article is to review existing literature on identifying and remedying this disorder, which affects not only the firesetting children (aged 17 years or younger—here on referred to as juveniles), but also the lives of property owners, firefighters and, in the worst cases, the families and friends of fire victims. To provide a general overview, the most recent statistics on the devastating consequences of this behavior will be reviewed, followed by an examination of variables believed to be significant and common contributors to the development of firesetting tendencies in juveniles. The prognosis for this group is overviewed, after which potential treatment strategies will be explained. Finally, the research pertaining to this area will be critically evaluated and future avenues of exploration will be suggested.
Statistics Every year $1.4 billion are lost as a result of arson, the second leading cause of firerelated death in the United States, with half of these fires started by juveniles (United States Fire Administration [USFA], 2001). Despite the economic and emotional consequences of this deliberate firesetting, not all fires begin with malicious intentions, thus necessitating evaluation of why they were set. Putnam and Kirkpatrick (2005) categorized firesetters by four main motivations: curiosity, pathology, expression, and delinquency. Curious firesetters perceive fire as alluring, as they are enthralled by the flames; pathological firesetters, on the other hand, typically have an uncontrollable compulsion to start fires. Setting fires as a means of obtaining much-desired attention is characteristic of expressive firesetters, while delinquent firesetters employ the fire as a form of rebellion or a means of harming someone or something.
Winter 2006 THE FORENSIC EXAMINER 11
Regardless of intention, all firesetters can cause extensive damage, necessitating immediate identification and treatment of these juveniles. Experimentation with fire is not in itself an abnormal behavior—in fact, 40%–60% of nondelinquent children aged 3–12 play with matches (Glancy, Spiers, Pitt, & Dvoskin, 2003). While it is common for older adolescents to be fascinated by fire as well, society expects them to be more responsible and sensible in their actions, thus requiring their abstinence from an activity they might otherwise prefer to engage in. Yet, in a national survey by Chen, Arria, and Anthony (2003), 6% of children aged 12–17 admitted having set a fire within a recent time frame, indicating that there are more juveniles who indulge in this dangerous activity than would otherwise be thought. But who are these juvenile firesetters, and moreover, how can their tendency to engage in this dangerous activity be reduced?
Etiology Common Qualities While a heterogeneous group, certain attributes have been found to be more common among most juvenile firesetters. Boys compose a substantial majority of the juvenile firesetting population (Chen et al., 2003), possibly as much as 80% (Glancy et al., 2003) to 90% (Zipper & Wilcox, 2005). These male firesetters are more likely to use drugs, be suicidal, and have been sexually abused, while female firesetters, who are relatively rare, typically exhibit difficulties in academics (Martin, Bergen, Richardson, Roeger, & Allison, 2004) and are sexually promiscuous (Saunders & Awad, 1991). The average ages of these juveniles range between 9 and 12 years (Zipper & Wilcox, 2005), and Caucasians are typically over-represented (Chen et al.). Though some studies have
indicated that lower socioeconomic status (SES) predisposes these youngsters (Chen et al.), others have not found this variable to be a significant risk factor for firesetting behavior (Glancy et al.; Martin et al.). Seeing or creating fires firsthand at an early age in life not only facilitates firesetting (Slavkin, 2002), but enhances recidivism rates as well (Martin et al.). On the Minnesota Multiphasic Personality Inventory–Adolescent (MMPI-A), male firesetters were found to be more pathological, having higher scores on clinical scales of mania, psychasthenia, and schizophrenia (Moore, Thompson-Pope, & Whited, 1996). High mania scores are indicative of the juvenile being behaviorally impulsive and challenging as well as hyperactive, while heightened psychasthenia suggests increased levels of anxiety and a tendency toward being compulsive and unsure of one’s self (Archer, 1997). Although the schizophrenia scale includes an evaluation of psychotic tendencies, it also measures difficulties socializing and controlling behaviors, academic problems, and “intense, acute situational distress,” which may be more relevant to characteristics of firesetters than the psychotic tendencies (Archer, p. 191). Furthermore, Moore et al. found that firesetters had noticeably greater scores on several content scales, including depression, alienation, bizarre mentation, anger, conduct problems, family problems, school problems, and negative treatment indicators, the last of which suggests wariness of the intentions of others and a sense of isolation and hopelessness (Archer). Other assessment instruments useful for evaluating young firesetters are reviewed in more detail by Sharp, Blaakman, Cole, and Cole (2006). Clearly, adolescent firesetters display a particular range of psychological difficulties as compared to non-firesetters. Child firesetters aged 5–13 have been found to be more impulsive and hostile (Martin et al., 2004), and juvenile firesetters as a whole tend to be more delinquent, hyperactive, and aggressive than non-firesetters (Glancy et al., 2003). Another similar quality among nearly all these individuals is a significant deficit in social skills and functioning (Chen et al., 2003; Kolko, Kazdin, & Meyer, 1985; Martin et al.). Research has indicated that the combination
12 THE FORENSIC EXAMINER Winter 2006
of a difficulty interacting with others and ingrained aggressive tendencies may lead to or predict blatant disregard for others’ rights (Chen et al.). Such disrespect for the lives and property of others is exemplified by firesetters through lying, stealing, vandalizing (Glancy et al.; Kolko et al., 1985), committing truancy and animal cruelty, fighting (Kolko et al., 1985), running away, and engaging in sexual misbehavior (Glancy et al.). Juvenile firesetters were found to exhibit little remorse for their acts, which occur in both covert (non-confrontational) and overt (externalizing) fashions (Kolko et al., 1985). These delinquent exploits result in early arrest rates and a more lengthy history of various criminal activities than non-firesetters (Martin et al.). Kolko et al. (1985, p. 378) best summed up this evolution as moving “from high frequencylow intensity acts to low frequency-high intensity acts.” Firesetting children often begin expressing these antisocial tendencies through disobedience, then progress to more detrimental behaviors as they get older, including stealing, verbal aggression (Pollinger, Samuels, & Stadolnik, 2005), vandalism (Slavkin, 2002), open hostility (Glancy et al.), animal cruelty (Kolko et al., 1985), substance abuse, and various other delinquent undertakings (Putnam & Kirkpatrick, 2005).
Juvenile Risks Underdeveloped social skills lead to the juvenile being impaired in most social situations, which can be a particularly significant contributor to firesetting. Trouble socializing has been associated with juveniles having low opinions of themselves, which they may attempt to conceal through risky and highly disruptive acts (Martin et al., 2004; Zipper & Wilcox, 2005). In fact, Chen et al. (2003) showed that the culmination of feeling shy, aggressive, and rejected by peers has an extremely high association with firesetting behaviors. By far the most substantial and pervasive problem for these juveniles appears to be difficulty processing emotions. Often they can feel overwhelmed by negative feelings such as inadequacy or loneliness, and they do not know how to properly deal with such experiences. Consequently, insecurity and perceived rejection progress into
frustration and anger (Kolko et al., 1985), yet the youngsters are still unable to face or adequately address these disturbing sensations. The failure to properly release or express such feelings is usually what drives them to set fires, through which they can ultimately achieve a sense of relief or domination or accomplish an indirect form of revenge, purging themselves of their persistent and handicapping emotions. Although bases for setting fires lie along a broad spectrum of emotions— from simple boredom to intense suicidal thoughts—some general tendencies typically align with the sex of the individual. Boys seem to set fires more for the purposes of destruction or rebellion, while girls typically obtain a sense of excitement from fire (Martin et al., 2004) or might use it as a means for self-injury (Swaffer & Hollin, 1995). Regardless of the sex or purpose of the firesetter, the act of setting the fire is often reinforced instantaneously (Kolko et al., 1985), thus increasing the likelihood of the behavior being repeated in the future.
Comorbidity By far, the most common diagnosis of juvenile firesetters is conduct disorder (CD) (Becker, Stuewig, Herrera, & McCloskey, 2004; Kolko et al., 1985). In a study of children diagnosed with CD, 5% were considered to be firesetters, while 74% of young firesetters had been diagnosed with CD (Chen et al., 2003). Therefore, while firesetting may not be a commonly exhibited behavior of all children with CD, there exist substantial similarities in general demeanor and mindset between firesetters and juveniles with CD. Other prevalent diagnoses and behavioral problems among juvenile firesetters include attention deficit hyperactivity disorder (ADHD) (Becker et al.; Zipper & Wilcox, 2005), animal cruelty (Becker et al.; Glancy et al., 2003), depression, and oppositional defiant disorder (ODD) (Becker et al.). It is important to adequately assess firesetters for such disorders in order to implement proper treatment techniques. Family Discord in the home serves as both a predictor of and a contributor to juvenile firesetting behavior. Multiple factors are
involved in creating this psychologically damaging chaos; poor discipline, supervision, and care by the parent(s) are often exacerbated by either the absence of a parent figure from the home or conflict (frequently violent) between the parents (Becker et al., 2004; Chen et al., 2003; Glancy et al., 2003; Martin et al., 2004; Pollinger et al., 2005; Slavkin, 2002). An increased prevalence of parental psychopathology, physical and sexual abuse (though the latter has been contested by Becker et al.), and drug and alcohol abuse by the parents are thought to further contribute to the youngster engaging in firesetting (Becker et al.; Chen et al.; Glancy et al.; Martin et al.; Slavkin; Zipper & Wilcox, 2005). In particular, findings show that known firesetters often grow up in the absence of their biological mother (Kolko et al., 1985) and observe alcoholism in and/ or abuse of animals by their father figures (Becker et al.). The preponderance of inappropriate response behaviors exhibited by the parents or parental figures of young firesetters emphasizes the tremendously negative influence of the home environment on the juveniles’ abilities to manage their emotions and behaviors. An intriguing and much less intricate correlation to firesetting behavior is improper fire education, such as inadequate explanations of firesetting consequences or even overzealous fire preparedness by the parents (Glancy et al., 2003). This same review also mentioned that an expectation of punishment as a consequence of playing with fire greatly decreases the child’s tendency to engage in fire play. Overall, it seems when a highly dysfunctional family defaults in the discipline of its child and demonstrates numerous improper coping strategies, the juvenile becomes severely predisposed to pursuing deviant behaviors and finding dangerously inadequate ways to deal with the problems he or she encounters in life, priming the child for destructive tendencies.
Functions of Firesetting Although recurrent themes are observed throughout the home environment of juvenile firesetters, their specific rationales for starting fires are much more varied in nature. Primarily, they are believed to re-
sort to this particular behavior because it allows the release of anger without confrontation (Kolko et al., 1985), and permits the individual to, at least temporarily, control his or her environment (Glancy et al., 2003). As mentioned earlier, these children experience intense difficulties in both addressing and expressing their feelings. The nature of these triggering emotions tends to vary among juvenile firesetters. Juveniles reported a range of reasons to researchers concerning why they began a fire: sometimes it served as a venue for releasing anxiety, relieved boredom, or was a product of pure impulsivity (Zipper & Wilcox, 2005); other times firesetting was used as a covert means of retaliation for parental rejection (Slavkin, 2002). Still, other causes included feelings of anger, sadness, depression, neglect (Chen et al., 2003), or alienation or scattered thoughts (Martin et al., 2004). The occurrence of either significant or life-changing events or suicidal tendencies can also trigger the desire to set a fire (Glancy et al., 2003).
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“
Juvenile firesetting behavior alone is a frighteningly reliable predictor of adult criminality.
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Alcohol use is common during firesetting activities (Chen et al.; Glancy et al.), as is abuse of other dangerous or illicit drugs (Martin et al.), likely because of their disinhibiting influences. Sometimes the location where a fire is started or the material or object that is burned may lend insight into the underlying reason the juvenile set the fire (Sharp et al., 2006). In sum, prior to setting the fire the juvenile typically has negative emotions that are swiftly replaced by a thrill or euphoria once the fire has begun (Glancy et al.; Martin et al.), affording the child not only an emotional release, but momentary power over an unpredictable force (Glancy et al.). Identifying such unique and specific triggers for individual firesetters is critical to preventing future destructive behavior.
Prognosis In a 2-year longitudinal study, juvenile firesetters had relatively high recidivism rates (50%–59%) through both self- and parental reports (Kolko, Day, Bridge & Kazdin, 2001). Recidivism rates were influenced by the age at which the first fire was set as well as how many fires the individual generated in the past, such that a younger age at the time of the first fire and a greater number of past firesetting episodes were each associated with higher recidivism (Martin et al., 2004). Sadly, firesetting has become an accurate predictor of future tendencies toward juvenile delinquency, with chances of later criminal acts increasing up to 10 times when a history of firesetting is present (Becker et al., 2004). Furthermore, juvenile firesetters were observed to be three times as likely to commit a violent offense in their futures, regardless of whether they were diagnosed with CD (Becker et al.).
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A study examining juvenile offenders as a whole found that individuals considered to be firesetters expressed aggressive and antisocial acts to a greater degree and level of severity than their non-firesetting counterparts (Stickle & Blechman, 2002). Clearly, firesetting by juveniles is not only a persevering behavior, but can also serve as a gateway to future delinquent and violent acts, indicating a poor prognosis for these troubled youth. Juvenile firesetting behavior alone is a frighteningly reliable predictor of adult criminality. Since so many similar characteristics of juvenile firesetters have been identified, treatment is a feasible option for improving the prognosis of these young offenders. A full understanding of a juvenile’s specific risk factors for firesetting and associated triggers permits those involved in the treatment process to accurately identify threats to the youngster’s progress, as well as to better recognize adaptive changes in the juvenile’s behavior (such as expressing emotions verbally or resisting a temptation to set a fire). Many treatment programs are multifaceted and unique to the individual and, as such, success rates are usually rather difficult to ascertain.
Treatment Formation While no cure-all treatment strategies for juvenile firesetters exist, the adoption of a “zero tolerance” attitude toward firesetting behaviors by the treating professional is viewed to be critical, with the remainder of the regimen being tailored to best address the specific needs and deficiencies of the youth (Stadolnik, 2000, p. 56). Ceasing the firesetting behavior itself should be merely one of a range of primary goals set to help the individual; other critical considerations include recognizing and repairing environmental contributors, increasing the individual’s social and coping skills, addressing emotional disturbances and other mental disorders (such as depression, social anxiety, or CD), and improving knowledge of fire and fire safety. It is crucial that the firesetting behavior be identified and its triggers thoroughly understood for any treatment program to succeed in reducing this destructive behavior. Research with respect to treatment efficacy is still evolving,
therefore, current treatment recommendations must be viewed with caution. A useful recent resource for parents, fire officials, and mental health professionals alike is Gaynor’s (2002) Juvenile Firesetter Intervention Handbook, available through the United States Fire Administration website. This handbook contains a wealth of useful information pertaining to interactions with firesetters and potential resources for early intervention methods. The diverse nature of firesetting behavior is currently being addressed primarily through the use of intervention programs that tailor their methodology to the juvenile being considered. Most effective treatment formats are typically communitybased and involve the combined efforts of mental health professionals such as psychiatrists and psychologists and public service persons such as police officers, firefighters, and teachers within the juvenile’s school system. These personalized approaches to treatment are unique for each region, including the SMART program in Massachusetts and the Cycles Model of Firesetting in Oregon (Stadolnik, 2000). The majority of programs target similar aspects of the juvenile’s life and emotions. The Cycles Model is quite comprehensive, addressing multiple contributors, including emotions, thoughts, and behaviors as well as the youngster’s family and social environment (Stadolnik, 2000). Another treatment approach by Bumpass, Fagelman, and Brix (1983) involves a mental health professional asking the juvenile, and sometimes the family as well, to relate the series of events and emotions preceding the urge to set, or an incidence of setting, a fire. The clinician then creates a line graph to visually represent the situation and the factors surrounding it. This allows the individual to use the graph as an external representation of himself or herself and the environment during the time of the firesetting incident, permitting him or her to more objectively evaluate and analyze the contributing variables. The process is also therapeutic in that it helps the juvenile identify his or her own escalating emotions that culminate in setting the fire(s). In combination with support and encouragement from the treating professional, this approach to treatment tends to
substantially reduce future desires to start fires. Programs such as this require a continuous allied effort between mental health professionals and public service individuals following the identification of firesetting youth.
Individual Factors in Treatment One of the most immediate and useful strategies taught to the juvenile is recognition of triggers that ultimately lead to setting fires, followed by the structured development of alternative steps to follow in such stressful and emotional situations. Although this strategy aims to terminate the immediate desire and compulsion to set a fire (Stadolnik, 2000), the root problems are not always necessarily addressed. Based on a cognitive-behavioral perspective, immediate triggers often originate from a juvenile misinterpreting another’s attitude and emotions during certain scenarios. For example, these juveniles may incorrectly assume that another individual is being hostile or demeaning towards them and, in turn, respond with frustration or aggression. To counter this rapid cascade, treatments can focus on analyzing step-bystep interactions with others via role-playing or visualization (Stadolnik, 2000). For instance, the juvenile may be gently confronted by the therapist in a fabricated scenario, initiating feelings of anxiety and aggravation. It is during this time that he or she is taught suitable coping strategies and other aids such as appropriate social skills, anger management, and cognitive adaptation. By and large, these incorporate using effective communication skills, properly recognizing social cues, and identifying and controlling angry and/or aggressive impulses, which, as mentioned before, usually result from faulty thinking processes. So, instead of misinterpreting interactions with others, becoming frustrated, and responding by setting a fire, the juvenile learns how to appropriately evaluate interactions and respond in a more adaptive way, thereby reducing negative emotional arousal. Successful completion of these strategies not only prevents the individual from feeling compelled to light a fire, but also results in greater acceptance among peers, further reducing the likelihood of emotionally triggering occurrences such as inadequacy
or rejection. Such positive outcomes can certainly help prevent future firesetting behavior. Unfortunately, studies on the efficacy of such cognitive-behavioral treatment methods pertaining to juvenile firesetters are anecdotal at best, so the decision to continue treatment must be determined based on individual progress. Future research in this area of treatment is certainly needed.
Environmental Factors in Treatment Of all the common characteristics among juvenile firesetters, the family and general home environment seem to be both the most influential and disturbed external component of all contributing factors, making them elusive yet prime targets for preventive maintenance and correction. Parent-parent violence or absence of a parent figure, alcohol and substance abuse, parent psychopathology, inconsistent parenting, severe (or lack of ) punishments, and physical and/or sexual abuse have all been found to be common factors in contributing to firesetting behavior among young people (Becker et al., 2004; Chen et al., 2003; Glancy et al., 2003; Martin et al., 2004; Slavkin, 2002; Zipper & Wilcox, 2005).
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Interventions designed to instill a sense of predictability or stability in the home can be effective but, unfortunately, rely on the parental cooperation, which can sometimes be more difficult to obtain than the child’s (Stadolnik, 2000). When possible, family therapy is used to teach the parent(s) proper parenting skills, including discipline and reinforcement measures, problem-solving and communication skills, and the importance of supporting the child emotionally. Teaching parents better management techniques is believed to be highly effective for firesetters who tend to externalize their frustrations (Becker et al., 2004). Other assistive measures include after-school programs, homebased support, and mentoring programs. This is perhaps the most difficult aspect of treatment for juvenile firesetters because it requires more changes to the youngster’s home environment, at least initially, and can be severely limited by both parental interference and apathy. Legal limitations imposed on mental health professionals, including the extent to which they are able to influence family and school environments and ensure consistent responses to the juvenile’s behaviors, are additional roadblocks to effective treatment outcomes. Yet, addressing the child’s immediate environment, which is a major contributor to juvenile firesetting, is frequently the most important aspect of treatment, as so much of the child’s time is spent either at home or trying to avoid problems that persist in the home.
Collaboration Contrary to numerous other behavioral and psychological issues, firefighters are viewed as the most influential and relevant resource for assistance in dealing with young firesetters (Stadolnik, 2000). Firefighters are an invaluable asset in these cas-
es, as their status and knowledge grant them the best positions to not only teach fire safety, but also to relay the dangers in toying with such a lethal force. In addition, some firefighters hold specific legal positions that give them authority to require resistant parents or youngsters to seek treatment, as well as the power to enforce compliance if such requirements are not met. A unique approach combining fire education and mentoring is the Firehawk’s program, a joint effort between the United States Federal Emergency Management Agency (FEMA) and the fire department of San Francisco, California, in which juvenile firesetters are identified and paired with a trained firefighter as a mentor (Stadolnik, 2000). The Dallas Fire Department implemented a similar type of collaborative approach to treatment by incorporating Bumpass et al.’s (1983) treatment method of mapping out individual emotional and event triggers of firesetting into their existing treatment protocol. This particular fire prevention program proved to be an effective means of treating young firesetters (Bumpass, Brix, & Preston, 1985). Mental health professionals teaming up with fire departments to treat juvenile firesetters is becoming an increasingly popular occurrence. An additional concerted treatment approach called the Juvenile Firesetters Intervention Program (JFIP) was established in New York City. This program was developed as a cooperative effort between fire marshals and mental health professionals to both prevent and remedy firesetting behaviors (Webb, Sakheim, Towns-Miranda, & Wagner, 1990). Fire education is provided to children and adolescents on a monthly basis in school, and at-risk youth are identified through a screening process and, if deemed necessary, referred to mental health professionals or outpatient treatment facilities for individualized treatment (Webb et al.). An especially promising multidisciplinary treatment program involving fire education is the Trauma Burn Outreach Prevention Program (TBOPP; Franklin et al., 2002). In this approach, firesetters are accompanied by their parents for a full
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day of activities, including educational seminars about fire’s destructive impact on finances and society and opportunities to meet with burn victims and the medical professionals who care for them. Juveniles included in the study were referred to the program from a variety of sources, ranging from county court systems to parents. Although TBOPP lasts only 1 day, outcomes of this comprehensive multidisciplinary approach to treatment are promising (Franklin et al.). These programs are just a few examples of a multitude of attempts to establish a concerted effort between fire safety officials and mental health service providers, effectively involving the community in the lives of these at-risk youths. Treatment programs that incorporate a collaborative and comprehensive approach to the treatment of juvenile firesetting are gaining popularity, and the outcomes of these programs show impressive potential to decrease the prevalence of juvenile firesetting behavior.
Treatment Efficacy Though many treatment strategies are in place across the nation, very few have been evaluated through research, making determinations of their efficacy in reducing firesetting behavior quite difficult. However, three of the methods mentioned earlier were analyzed and success rates determined. Bumpass et al.’s (1983) treatment involving graphing individual emotional and environmental triggers of firesetting demonstrated a high degree of success. Although the small sample of 29 patients limits the implications of this finding, only two individuals (7%) continued to set fires after a followup period extending between 6 months and 8 years. JFIP, the collaborative prevention strategy used in New York City, showed drastic improvements in reducing firesetting recidivism rates, from 32% down to 2%, after incorporation of Bumpass et al.’s (1983) treatment approach (Bumpass et al., 1985). Perhaps the most impressive and efficient program implemented is TBOPP, in which juveniles and parents spend a full day being educated about and exposed to the dangers and damaging effects of setting fires. This method was found to have a 99% rate of effectiveness after a follow-up period of between 8 months and 2.5 years in
comparison to a 36% recidivism rate for the control group, which received no treatment (Franklin et al., 2002). These beneficial programs are unfortunately only available in exclusive geographic locations, creating a void in both treatment resources and knowledge of the efficacy of similar treatment methods in other regions of the country. However, the results are noteworthy and should encourage other fire departments and mental health professionals to incorporate such collaborative approaches to juvenile firesetting treatment programs into their own regions.
Limitations Current research frequently uses only previously identified firesetters, while it is likely that there exists a vast population of juveniles who have not been apprehended or recognized (Putnam & Kirkpatrick, 2005). Therefore, most research and treatment outcome studies are based on “unsuccessful” or caught firesetters and not “successful” firesetters who avoid apprehension. It is possible that differences exist between the two groups, which could have implications for etiology, epidemiology, and treatment issues. Retrospective studies involving apprehended criminals with a history of firesetting, such as that of Stickle and Blechman (2002), are also lacking in the literature. Such studies would help provide insight into firesetters’ pasts, permitting recognition of key contributing variables as well as the impact of any intervention strategies individuals may have encountered as juveniles. Other shortcomings include the difficulty in accurately determining the sequence of events surrounding negative emotions and firesetting behaviors as well as establishing clear distinctions between fire play and firesetting (Chen et al., 2003). Given that recognizing one’s emotional and event triggers is central in treatment planning (Bumpass et al., 1983), it is critical that these antecedents are properly assessed by the firesetter. Reliance on individual case studies is another prevalent weakness, preventing generalization of the effectiveness of treatments employed in these regimens. Furthermore, while in treatment, juveniles may show improvement, but few studies have investigated such methods for more than a few years to discover if stable,
long-term effects are possible. Moreover, it is unclear whether these early treatments reduce the later adult criminality typically associated with juvenile firesetting behavior. Although treatments such as TBOPP show promise in both efficacy and feasibility, both the creation of novel treatments as well as further evaluation of current treatment methods are certainly most desirable.
Future Research Discovering the true occurrence of fire play and firesetting behavior, creating a more reliable and consistent system of categorizing firesetters, and developing and evaluating effective treatment programs are recognized by Putnam and Kirkpatrick (2005) as three important steps necessary for a better understanding of, and solution to, the firesetting behaviors of juveniles. Other recommended avenues by Chen et al. (2003) include execution of longitudinal studies to better determine and more effectively treat early contributing factors of and predispositions toward firesetting and then tracking later firesetting tendencies. They also promote more extensive investigation into the influences of the home environment on juvenile firesetting, including associated recidivism rates. In addition to these suggestions, some argue that researchers should examine the impact of early firesetting treatment on later criminality. To the authors’ knowledge, this type of exhaustive but crucial research has not been performed on a large or long enough scale, making it unclear whether early treatment actually deters juvenile firesetters from engaging in later adult antisocial behavior. Other important areas of exploration are treatment options and successes when implemented at different ages and levels of firesetting. Such findings could help determine when certain treatments are more effective in reducing the firesetting behavior. Most importantly, future research on juvenile firesetting should be conducted by professionals involved with both juvenile firesetters and their families. Last summer, the National Association of State Fire Marshals began a promising effort to evaluate both the progress and deficiencies of current firesetting research
and related treatment (Sharp, Blaakman, Cole, & Cole, 2006). This effort included country-wide collaborative workshops, initiating a much-needed cohesive overview of this disjointed and challenging issue. Soon this effort may come to fruition in the form of a more coherent knowledge base and a united attempt to conquer this destructive behavior. Currently, however, there is an imperative need for empirical studies conducted by psychologists, sociologists, and criminologists to advance knowledge of this phenomenon and its proper treatment.
Conclusions By discovering the common characteristics, emotions, intentions, and environmental factors of juvenile firesetters through quality research, a more informed perspective can be obtained into their lives. It is from this enhanced comprehension that effective treatment strategies can be implemented to remedy culprit contributors, improve juveniles’ interactions with others and ultimately eliminate firesetting tendencies. Via thorough and systematic assessment and treatment, these youth will develop into better adjusted and more responsible adults. Much progress has taken place concerning recognition of and assistance for juvenile firesetters, but there is also a great deal of work ahead. The goal of the present review is to highlight the most recent topics concerning the literature on juvenile firesetting and urge professionals to appreciate the prevalence and related costs of this destructive behavior. Furthermore, the authors urge that these professionals consider characteristics of typical firesetters when working with juveniles to correctly identify possible firesetting behaviors. Lastly, and most importantly, the present review should encourage the implementation of more treatment programs aimed to reduce juvenile firesetting behavior in conjunction with treatment evaluation studies. In the meantime, every effort should be made to prevent firesetting behavior from occurring, as it presents an enormous burden to the youngster and his or her family as well as a serious threat to the general population. Care must be taken not to stigmatize these individuals, as they often
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are dealing with intense feelings of insecurity and anger that stem from predisposing characteristics such as poor emotional regulation and a turbulent upbringing. However, these unfortunate circumstances and attributes elicit a dangerous fascination, altogether requiring a cautious balance between supportive and strict treatment in working with these juveniles.
References Archer, R. P. (1997). MMPI-A: Assessing adolescent psychopathology. (2nd ed.). Mahwah, NJ: Lawrence Erlbaum Associates, Publishers. Becker, K. D., Stuewig, J., Herrera, V. M., & McCloskey, L. A. (2004). A study of firesetting and animal cruelty in children: Family influences and adolescent outcomes. Journal of the American Academy of Child and Adolescent Psychiatry, 43(7), 905–912. Bumpass, E. R., Brix, R. J., & Preston, D. (1985). A community-based program for juvenile firesetters. Hospital and Community Psychiatry, 36(5), 529–533. Bumpass, E. R., Fagelman, F. D., & Brix, R. J. (1983). Intervention with children who set fires. American Journal of Psychotherapy, 37(3), 328–345. Chen, Y., Arria, A. M., & Anthony, J. C. (2003). Firesetting in adolescence and being aggressive, shy, and rejected by peers: New epidemiologic evidence from a national sample survey. Journal of the American Academy of Psychiatry and the Law, 31, 44–52. Franklin, G. A., Pucci, P. S., Arbabi, S., Brandt, M., Wahl, W. L., & Taheri, P. A. (2002). Decreased juvenile arson and firesetting recidivism after implementation of a multidisciplinary prevention program. The Journal of Trauma Æ: Injury, Infection, and Critical Care, 53, 260–266. Gaynor, J. (Ed.). (2002). Juvenile firesetter intervention handbook. (USFA Publication FA210, Item no. 9-0367). Emittsburg, MD: United States Fire Administration. Retrieved April 10, 2006, from http://www.usfa.fema.gov/downloads/pdf/publications/fa-210.pdf Glancy, G. D., Spiers, E. M., Pitt, S. E., & Dvoskin, J. A. (2003). Commentary: Models and correlates of firesetting behavior. Journal of the American Academy of Psychiatry and the Law, 31, 53–57.
Kolko, D. J., Day, B. T., Bridge, J. A., & Kazdin, A. E. (2001). Two-year prediction of children’s firesetting in clinically referred and nonreferred samples. Journal of Child Psychology and Psychiatry, 42(3), 371–380. Kolko, D. J., Kazdin, A. E., & Meyer, E. C. (1985). Aggression and psychopathology in childhood firesetters: Parent and child reports. Journal of Consulting and Clinical Psychology, 53(3), 377–385. Martin, G., Bergen, H. A., Richardson, A. S., Roeger, L., & Allison, S. (2004). Correlates of firesetting in a community sample of young adolescents. Australian and New Zealand Journal of Psychiatry, 38, 148–154. Moore, J. M., Jr., Thompson-Pope, S. K., & Whited, R. M. (1996). MMPI-A profiles of adolescent boys with a history of firesetting. Journal of Personality Assessment, 67(1), 116–126. Pollinger, J., Samuels, L., & Stadolnik, R. (2005). A comparative study of the behavioral, personality, and fire history characteristics of residential and outpatient adolescents (ages 12–17) with firesetting behaviors. Adolescence, 40(158), 345–353. Putnam, C. T., & Kirkpatrick, J. T. (2005). Juvenile firesetting: A research overview. Juvenile Justice Bulletin. Retrieved July 30, 2005, from http://www.ncjrs.org/pdffiles1/ojjdp/207606. pdf Saunders, E. B., & Awad, G. A. (1991). Adolescent female firesetters. Canadian Journal of Psychiatry, 36, 401–404. Sharp, D. L., Blaakman, S. W., Cole, E. C., & Cole, R. E. (2006). Evidence-based multidisciplinary strategies for working with children who set fires. Journal of the American Psychiatric Nurses Association, 11(6), 329–337. Slavkin, M. L. (2002). What every clinician needs to know about juvenile firesetters. Child and Adolescent Psychiatry, 53(10), 1237–1238. Stadolnik, R. F. (2000). Drawn to the flame: Assessment and treatment of juvenile firesetting behavior. Sarasota, FL: Professional Resource Press. Stickle, T. R., & Blechman, E. A. (2002). Aggression and fire: Antisocial behavior in firesetting and nonfiresetting juvenile offenders. Journal of Psychopathology and Behavioral Assessment, 24(3), 177–193. Swaffer, T., & Hollin, C. R. (1995). Adolescent firesetting: Why do they say they do it? Journal of Adolescence, 18, 619–623. United States Fire Administration. (2001). Arson in the United States. Topical Fire Research Series, 1(8). Retrieved July 30, 2005, from http://www.usfa.fema.gov/downloads/pdf/tfrs/ v1i8.pdf
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Webb, N. B., Sakheim, G. A., Towns-Miranda, L., & Wagner, C. R. (1990). Collaborative treatment of juvenile firesetters: Assessment and outreach. American Journal of Orthopsychiatry, 60(2), 305–310. Zipper, P., & Wilcox, D. K. (2005). Juvenile arson: The importance of early intervention. FBI Law Enforcement Bulletin, 74(4). Retrieved July 30, 2005, from http://www.fbi.gov/ publications/leb/2005/apr2005/april2005leb. htm
About the Authors Tracy L. Gilman, BS, graduated from Virginia Polytechnic Institute and Sae University and is currently a Postbaccalaureate IRTA Fellow at the National Institues of Health. Upon completion of her fellowship she plans to attend graduate school to obtain a PhD in neuroscience. Sara Chiara Haden, MA, is currently a doctoral degree candidate in clinical psychology at Virginia Polytechnic Institute and State University. She received her BA degree in psychology and Italian from the University of Virginia and an MA degree in general psychology from the University of Massachusetts, Dartmouth. She is currently working on several projects that include the neurochemical bases of aggression, injury’s role in the distress of sexual assault survivors, risk/protective factors associated with the development of PTSD in trauma survivors, and community violence exposure victims. She is interested in treating violent criminals in the future in order to reduce the recidivism rate of this population.
Earn CE Credit To earn CE credit, complete the exam for this article on page 64 or complete the exam online at www.acfei.com (select “Online CE”).
Considerations for the Analysis of Forensic Samples Following Extended Exposure to the Environment
By James Watterson, PhD, Valerie Blackmore, MSc, and Dalia Bagby, MSc
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. (CMI) The American College of Forensic Examiners International approves this continuing education program for Certified Medical Investigators.
Key Words: DNA, toxicology, fire, forensic, analysis
Abstract Forensic science is concerned with the application of principles and practices from various scientific disciplines (e.g., biology, chemistry, toxicology, physics) to matters pertaining to law. A problem pervasive throughout various disciplines of forensic sciences is the potentially deleterious effects of extended periods of environmental exposure of some forensic samples. This article addresses some of the factors that should be considered in the analysis of forensic samples, as well as in the interpretation of results of those analyses and the definition of the limitations of those interpretations. Discussion is based on a critical review of the literature and is restricted to aspects of biomolecule (e.g., enzyme and DNA) analysis, postmortem forensic toxicology, and trace analysis in the investigation of fire-related evidence.
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Forensic Biology Considerations The nature of crime often results in potential evidence being subjected to less than pristine conditions or being exposed to the environment for extended periods before being collected from a crime scene. This will often limit the quality and quantity of biological material such that a single attempt at analysis may be all that is possible. Biological evidence can be stable and amenable to analysis for decades provided that it has been stored in a dry, air conditioned environment away from ultraviolet light and protected from bacterial and fungal growth. Environmental insults such as sunlight, moisture, and growth of microorganisms might result in the inability to detect a protein or enzyme of interest, a reduced amount or degradation of DNA template, or inhibition of the DNA amplification reaction. Generally, as time elapses before evidence is collected, the opportunity for loss or contamination of the evidence increases. In order to interpret and determine the significance of the results of analyses, it is important for the forensic biologist to understand and consider the biological material, its substrate, possible deleterious effects of environmental exposure, as well as the potential for biological (human and non-human) or chemical contamination. In order to ensure that tests are robust and reliable and to assist with interpretation, environmental studies are included as part of the validation of testing methods
whereby known samples are environmentally stressed to reflect situations typical of forensic casework.1 A very significant consideration for any forensic DNA analysis is that of contamination. The ability to amplify a minute amount of DNA requires strict measures to avoid the inadvertent deposition of DNA by those collecting evidence or performing the analysis. Additionally, as time passes before collection of evidence from a scene, there are greater opportunities for both animals and people to deposit DNA at the crime scene, which can result in the possibility of traces of DNA with no forensic significance on the body of a victim or on items collected from a scene. The persistence of biological materials varies depending on the material and the conditions to which they are exposed. While laundered bloodstains may still be detectable, contact with water may interfere with the detection of water-soluble enzymes exploited in presumptive tests for semen (i.e., acid phosphatase) and saliva (i.e., amylase). Bathing, rain exposure, or submersion could result in acid phosphatase (AP) or amylase (and, consequently, semen or saliva) not being detected. While certain conditions may make it difficult to localize the semen, it has been demonstrated that spermatozoa can persist on clothing2 and DNA profiles from semen can be generated3 after laundering. Results from casework scenarios suggest that decomposition of a cadaver or its immersion in water
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may not actually destroy the cellular component of semen as quickly as might be expected. Spermatozoa have been identified on bodies immersed in water for up to 2 weeks4 and within the vagina of a mummified corpse after a postmortem period of 5 to 6 weeks,5 compared with persistence of 7 days in the vagina of a living individual.6 On the other hand, one must be aware that AP levels are known to increase in the absence of seminal constituents in postmortem cavities due to the release of cellular and bacterial AP.7 The forensic biologist must consider the results of enzymatic or chemical testing within the context of the case history, investigative information, and hypothesis being tested. Exposure to soil can also negatively affect the integrity of DNA.8 Bacterial nucleases, which are ubiquitous in nature, as well as ultraviolet radiation (e.g., sunlight) degrade DNA. Successful polymerase chain reaction (PCR) amplification requires an intact DNA strand, including forward and reverse primer binding sites as well as template between the primer sites for full extension. There is an inverse relationship between the size of a locus and the likelihood of a successful PCR amplification from degraded DNA samples. Larger alleles are more frequently degraded than smaller alleles, which can result in failure to amplify the larger alleles in a multiplex reaction.9,10 Even when sufficient template is present in forensic samples, amplification can fail due to the presence of
inhibitors of the Taq polymerase enzyme that catalyses the PCR reaction. Inhibitors include fabric dyes and haemoglobin that prevent amplification of the larger molecular weight alleles.11 In cases where the presence of inhibitors is suspected, the effects of inhibition may be reduced by a few different strategies: (1) dilution of the DNA template, thereby reducing the concentration of the inhibitor; (2) addition of more Taq polymerase to the amplification reaction in order to compensate for the effects of enzyme inhibition; (3) addition of bovine serum albumin (BSA) to bind the inhibitor and effectively remove it from the reaction; (4) microfiltration to remove the inhibitor;12 or (5) sodium hydroxide treatments of extracted DNA to disrupt the action of the inhibitor.13 Another strategy to remove inhibitors in DNA extracts from stains on clothing or putrefied bone is the use of thiopropyl sepharose 6B bead extraction.14,15 However, this procedure may result in the loss of DNA during purification.15 Degraded DNA template or inhibited amplification resulting in the loss of larger molecular weight alleles will result in an incomplete DNA profile. This loss of information may impair the ability of a forensic biologist to determine whether the DNA profiles in question may or may not have come from one individual or from different individuals. Low amounts of DNA template may result in fluctuations of detectable amplification product, such as amplification imbalance between
heterozygous alleles, allelic dropout, or a greater potential for contamination to be detected.16 When severe degradation or putrefaction of skeletal remains is obvious, prudent sample selection for DNA analysis is imperative. When there is little decomposition, blood is usually the preferred sample for testing. Molars, deep muscle, or samples from long bones in putrefied bodies17 are alternatives to blood samples. Brain tissue is relatively resistant to putrefaction in damp environments and appears to exhibit a degree of protection against DNA degradation when the skull is intact.18 Because it can be efficiently amplified from limited or severely degraded biological material, the use of mitochondrial DNA (mtDNA) analysis should be considered with severely degraded or putrefied samples.19 The interpretation of biological and DNA analysis must be reflective of the case history and the hypothesis being tested and must consider the limitations of the testing based on validation studies and specific controls. Lack of biological evidence is not proof in itself that an event did not occur. Therefore, the forensic biologist must be cognizant of how biological material may be lost over time and how it may be altered after exposure to different environmental conditions.
Forensic Toxicology Considerations Forensic toxicological analyses examine biological and non-biological samples for
the presence of drugs, alcohol, poisons, and their metabolites in an effort to assist in the determination of a cause of death, whether a particular subject was impaired by, in possession of, or exposed to a particular drug or poison, or to establish whether a subject was compliant with a prescribed medication. As with DNA analyses, toxicological analyses can be complicated significantly when the source of the samples (e.g., the body from which they were obtained) has been exposed to the elements for an extended period of time. The ability to perform relevant analyses and interpret the analytical findings requires careful consideration of the types of samples collected and case history. Processes such as postmortem redistribution, autolysis, and putrefaction and chemical conversion of compounds within the body must be taken into consideration in the interpretation of results as they can be influential, especially in cases where the interval between death and examination (and analysis) is lengthy. The types of samples that are typically encountered in forensic toxicology include blood, urine, liver, heart, brain, vitreous humour, stomach contents, cerebrospinal fluid, and other matrices such as hair or bone marrow. Interpretation of a measured drug concentration involves referral to the substantial body of literature reporting on the effects and distribution of various drugs in blood, liver, and other tissues in both antemortem and postmortem analyses, with consideration given to the nature
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of the tissue in which the drug concentration was measured. Generally, blood is the sample of choice for analysis because the effects of a drug can be most accurately correlated with its blood concentration. Urine is useful as a sample matrix for the screening of a wide range of drugs to establish exposure to the drug(s), but the utility of quantitative measurements is limited in the assessment of toxicity because urine formally exists outside of circulation and is a pooled sample formed by the continuous filtration of the blood. Liver is perhaps the most frequently sampled “solid” tissue in postmortem toxicology, but caution should be exercised since the distribution of a given drug within the liver tissue may not be homogeneous,20 and consideration should be given to the state of decomposition of the liver under examination in relation to that being referred to in the literature. Tissues such as heart or brain may be useful for the screening of drugs with a particular affinity for these tissues (e.g., cocaine in the brain21), but the interpretation of the toxicological significance of the results may be complicated by a paucity of literature on the subject. Interpretation of postmortem blood or visceral tissue drug concentrations is inherently complicated by a number of effects in addition to those brought about by environmental exposure. For example, inter-individual variations in physiological response to a given distribution of drugs within the body, through mechanisms such as drug tolerance (e.g., acquired tolerance to the euphoric and depressant effects of opiates through repeated use) and preexisting disease states (e.g., sensitization to the cardio-toxic effects of cocaine in a subject that has pre-existing cardiovascular disease) contribute to the wide ranges of drug concentrations observed in postmortem toxicological examination, which, in turn, often overlap with those concentration ranges associated with therapeutic or recreational use. Processes that begin to occur relatively early within the postmortem period may also confound interpretation by altering the blood drug concentration relative to what it was in the immediate perimortem period. The site of sample collection is an important consideration given the potential for site-dependent concentra-
tion differences, with blood samples typically collected from a central site (e.g., the heart) and/or from a peripheral site (e.g., femoral vein). This concern is due to the potential for postmortem redistribution, in which drugs diffuse along a concentration gradient from one site to another, such as from within a particular tissue to blood nearby. One common manifestation of this effect is an elevation in the concentration of certain drugs in blood obtained from a central location relative to that observed in peripheral blood, which initially tends to become more pronounced as the interval between death and sampling increases until equilibration is achieved. This phenomenon has been well established22,23 and reviewed.24,25 The extent to which it occurs is dependent on the characteristics of the drugs in question, where drugs that are more extensively sequestered into tissues (i.e., have a high volume of distribution) are frequently associated with high centralto-peripheral (c/p) blood concentration ratios. Examples of such drugs include meperidine, imipramine, amitriptyline, diphenhydramine22 and digoxin.26 However, having a high volume of distribution does not guarantee that a given drug will be associated with this type of postmortem redistribution to a significant extent, as is exemplified by tetrahydrocannabinol (THC). Drugs that are not clearly associated with extensive postmortem redistribution include morphine27 and ethanol,28 although examination of postmortem tissue distributions of drugs is an ongoing field of research. Other examples of postmortem redistribution include the diffusion of drugs from organs such as the stomach into blood situated within other organs such as the lungs, heart, or liver.24 Another important consideration that may affect the site distribution of drugs in postmortem blood is the potential for the incomplete distribution of drugs within blood and tissues prior to death. This may be observed in cases where death occurs very quickly following overdose where the drug is not homogeneously mixed within the circulating blood.29 Overall assessment of the extent of postmortem redistribution and the toxicological interpretation of measured drug concentrations requires an awareness of the characteristics of the drugs in question, the means by which they may be administered,
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and their susceptibility to undergo postmortem redistribution along with appropriate sample collection, including samples taken from multiple sites. Importantly though, it may happen to an unpredictable extent and, therefore, might not necessarily be easily accounted for in the interpretation of a measured drug concentration. The effects of environmental exposure on measured drug concentrations are superimposed on these inherent confounds. Decomposition and putrefaction lead to degradation of the various tissue components to form a very complex matrix from which drugs must be isolated and analyzed. In the extreme case, there is liquefaction of tissues resulting in the combination of fluids with blood from previously intact vessels, with an accompanying alteration in the total fluid drug concentration through mixture with a more or less concentrated “solution” of a drug. The result in such a case is often a very complicated analytical output (e.g., gas chromatography/mass spectrometry) where the potential drug candidates could not be adequately resolved from the various other breakdown products, interfering with both substance identification and quantitative measurement. Clearly, as the postmortem interval increases, circulating blood and the extent to which collected bodily fluids can represent antemortem diminishes as tissues liquefy, cells undergo lysis, and fluids become mixed. The rate at which this process proceeds varies depending on environmental and case history factors. Important factors include the ambient temperature (decomposition tends to occur more quickly in hot, damp environments) and the presence of any trauma since injuries may facilitate entry of microbes into the vasculature and various visceral organs from the gut and from the external environment. Analysis of alternative fluids such as vitreous humour (i.e., the clear fluid from within the eye) or cerebrospinal fluid has been shown to be effective for certain compounds such as ethanol or heroin metabolites,30, 31 especially in cases where significant decomposition or putrefaction has taken place that may result in alterations in observed drug concentrations. These fluids may be more protected from alteration due to microbial action in decomposition and from contamination with other substances
due to trauma. In cases of extreme putrefaction,32 it may be necessary to examine pleural fluids (blood-laden fluids collected from the pleural cavity rather than directly from an intact vessel) for the presence of drugs or poisons. It has been suggested that such fluids may be useful in the interpretation of postmortem drug concentrations in cases of extreme putrefaction, but, again, caution should be exercised whenever attempting to interpret drug concentrations in fluid samples where blood may have been mixed with other non-circulating fluids. Research on the analysis of human bone and bone marrow samples in cases where remains have skeletonised is scarce, although work using animal models has suggested that the use of bone marrow in toxicological investigation may have some value.33,34,35 McIntyre et al. have reported that bone marrow may be a suitable substrate for analysis in forensic toxicology since it may be recovered from a skeletonized body and possesses a high degree of both vascularity and lipid content such that it may serve as a site for drug delivery and deposition.36 In that study a number of psychotropic drugs were successfully detected in bone and bone marrow, including temazepam, moclobemide, and chlorpromazine, yet there was imperfect correlation between drug findings in blood and those found in corresponding skeletal tissues. Noguchi et al. reported the analysis of bone marrow for the measurement of amitriptyline in cases where significantly decomposed bodies from which blood samples could not be recovered are uncovered.37 It is important to note that correlations between drug concentration in bone marrow and pharmacological effect may not be clear, so the interpretation of results from such analyses may be of limited value. Also important to the interpretation of drug concentrations in a forensic context is the breakdown or synthesis of compounds of interest in vitro as well as in vivo. A number of forensically relevant drugs are subject to degradation in blood, within the body during the postmortem interval or during storage. These drugs include cocaine,38 bupropion,39 olanzapine,40 amiodarone,41 and the nitrobenzodiazepines (nitrazepam, clonazepam, and flunitrazepam).42 The mechanisms responsible for this degradation include chemical hydrolysis, enzy-
matic hydrolysis, or bacterial metabolism so that this degradation may occur in cases even where putrefaction is not extensive. In these cases, it is important to note that the concentration of the drug may have been significantly greater at the time of sampling than at the time of analysis. Certain drugs have been observed to undergo increases in concentration as a result of the process of chemical reactions in putrefying tissue. The process of putrefaction produces a variety of volatile compounds, including ethanol and n-propanol, as the bacterial conversion of substrates such as glucose proceeds within a particular tissue. This process arises as a result of the actions of a number of different organisms, including Candida albicans and E. coli, such that the distribution of volatile products produced and their concentration depends on the tissue involved, as different tissues have different substrate (i.e., glucose, lactate, etc.) concentrations; the types of microbes present; and circumstantial variables such as temperature and the postmortem interval.43 Judicious choice of compounds for use as internal standards for chromatographic ethanol analysis is required since the use of a compound that is produced as a putrefaction product may affect the quantitative measurement. The use of t-butanol rather than n-propanol has been suggested for this purpose.44 Additionally, Moriya and Hashimoto45 have reported on the instability of morphine glucoronide metabolites in liver tissues, where they noted a decrease in the total morphine concentration (comprised of both free morphine and conjugated morphine metabolites) with a concomitant increase in free morphine concentration. This was attributed to hydrolysis of the morphine glucoronide conjugates in liver tissue, which was not observed to a significant extent in blood samples. Thus, consideration must be given to the possibility that drug concentrations may be elevated or depressed relative to their antemortem values, depending on the drugs in question and the samples being analyzed. Overall, the process of decomposition may complicate the interpretation of measured drug or poison concentrations within a particular tissue, or in some cases, may render analysis of a given tissue type nearly impossible. Research into the analy-
sis of different types of body tissues for the presence or absence of drugs or poisons as well as the behavior of drugs and poisons within various tissues under a variety of conditions is ongoing.
Forensic Chemistry Considerations The deleterious effects of environmental exposure may also complicate analysis of samples for traces of substances. While paint chips and fragments of glass may weather if left prone to the elements for a long period of time, they can potentially persist indefinitely at a protected and undisturbed scene and subsequently be analyzed. Volatile ignitable liquids, however, are materials that are inherently vulnerable to loss due to evaporation. In certain instances, they may also be subject to alteration through bacterial decomposition. Volatile ignitable liquids are often used to initiate and/or propagate incendiary fires and are colloquially referred to as accelerants. The term volatile ignitable liquid (VIL) is the preferred term used when referring to the group of ignitable liquids of most common interest to fire investigators. Petroleum based VILs such as gasoline, diesel fuel, barbecue starter fluid, as well as others can be identified in fire debris, as can solvents such as acetone or ethanol.46,47 Due to their volatility, prompt collection and proper preservation of fire debris samples that may contain a VIL is imperative. The quantity of any VIL remaining in a debris sample will depend on many factors, including the original amount used, the duration and intensity of the fire, the degree to which the VIL was protected from the fire, and the nature of the debris itself. Once fire suppression, if any, is complete and the area of origin has been determined, the fire investigator collects debris samples at selected points of interest. Appropriate comparison samples are also collected. Each debris sample is individually placed into a suitable airtight container. Glass Mason jars (often used in making home preserves), lined metal paint cans, and specialty nylon bags have been found to be the most effective containers for this purpose.48 Identification of VILs in samples of fire debris is done in the laboratory through pattern recognition gas chromatography,49 either alone or in conjunction with mass spectrometry. Gas
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chromatograms of the vapour samples collected from the fire debris are compared to those of standards in order to determine whether VILs can be identified. Petroleumbased distillates often contain hundreds of different hydrocarbons, which yield complex chromatograms with numerous features available for comparison. Those VILs with too few components to allow pattern recognition require the additional use of mass spectrometry for proper identification. An identifiable VIL chromatogram can vary from a trace level, just recognizable above the baseline of the instrument, to an intense signal a thousandfold greater in magnitude. The analyst can use the intensity of the chromatogram as a tool to distinguish trace levels of VIL from those concentrated enough to be recovered by distillation. Frequently, in VIL accelerated fires, the VIL persists in the debris in sufficient amounts to be detected. If the fire scene is then left exposed to the elements, the likelihood of accurate identification of a VIL, even in a trace quantity, diminishes as time elapses between the fire incident and sample collection. In some cases no VIL will remain in the debris, and subsequently, no VIL is identified despite the fact that one was used. This may depend on the nature of the VIL or on the intensity and duration of the fire. Improvements in sensitivity may facilitate identification of VILs at low levels, but may also raise the issue of the significance of the identification due to factors such as the ubiquitous use of petroleum distillates and products for legitimate household and industrial purposes. As a result, when any VIL is identified in a trace quantity it must be recognized that it may or may not be related to the cause and spread of the fire. Background interferences pose yet another problem at trace levels, particularly when there are no appropriate comparison samples available. The potential for interference with identifying VILs in trace amounts
exists when inappropriate methods of container storage are used.50 A wide variety of substrate materials can release vapours that arise from either liquid petroleum products inherent in the materials themselves or from volatile pyrolysis products formed from combustion of those substrates.51 Common materials that were incidentally present
might contribute to the chromatographic patterns obtained from debris samples, occasionally at levels considerably higher than trace quantities. This can lead to positive identifications of a VIL that is present for a legitimate reason that has not necessarily been added as an accelerant. In addition to evaporation, bacterial degradation is another factor that may shorten the persistence of VILs. Gasoline in unrefrigerated samples of soil can be consumed by microbial agents,52 much in the same manner as crude oil spilled into the environment. The degradation results in the loss of characteristic regions of the chromatographic pattern. Since refrigeration
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slows the degradation process, samples of soil suspected of containing VILs are kept cool to preserve the sample. Low ambient temperatures allow residues from VIL accelerated fires to persist longer.53 Other scenarios that can affect the persistence of VILs in samples of debris subjected to prolonged environmental exposure include accelerated evaporation due to blustery conditions, limited access to debris because of extremes in temperature (e.g., freezing of water at a scene such that access to debris is obstructed) and dilution of a VIL or loss of water-soluble VILs by the action of rain. Unquestionably, environmental effects can further complicate the challenges presented in fire debris analysis and fire investigations. This requires the analyst to be aware of the impact of environmental effects and to form an opinion with them in mind. Gasoline that has evaporated to 0.5% of its original volume through the effects of wind, heat, and time is compositionally different from fresh gasoline but may still be identifiable to the fire debris analyst.54 Interpreting the significance of such a finding in a sample, however, must be done in the context of the entire scene and requires the expertise of the fire investigator.
Concluding Remarks Exposure of forensic evidence to the environment adds complexity to both the choice of analytical methodologies used and to the interpretation of analytical results. This complexity may be enhanced in some cases by the challenges encountered in establishing proper controls in the development of analytical methods and the net effect may be a limitation in the conclusions that can be drawn in the interpretation of such results. This remains a significant theme in research into the development of new methods of forensic analysis and interpretation.
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25. F. Moriya and Y. Hashimoto, Journal of Forensic Science, (1999) 44, 10. 26. T. E. Vorpahl and J. I. Coe, Journal of Forensic Science, (1978) 23, 329. 27. J. Gerostamoulos and O. Drummer, Journal of Forensic Science, (2000) 45, 843. 28. R. W. Prouty and W. H. Anderson, Journal of Analytical Toxicology, (1987) 11, 191. 29. J. M. Mayer, J. Kofoed, and D. W. Robinson, International Association of Forensic Toxicology, (1987) 40. 30. Y. H. Caplan and B. Levine, Journal of Analytical Toxicology, (1990) 14, 305. 31. J. Wyman and S. Bultman, Journal of Analytical Toxicology, (2004) 28, 260. 32. D. N. Sims, R. J. Lokan, R. A. James, P. D. Felgate, H. E. Felgate, J. Gardiner and D. C. Vozzo, American Journal of Forensic Medicine and Pathology, (1999) 20, 343. 33. C. L. Winek, S. E. Westwood and W. W. Wahba, Forensic Science International, (1990) 48, 49. 34. C. L. Winek, M. Pluskota and W. W. Wahba, Forensic Science International, (1982) 19, 155. 35. L. Y. Gorczynski and F. J. Melbye, Journal of Forensic Science International, (2001) 46, 916. 36. I. McIntyre, C. V. King, M. Boratto and O. Drummer, Therapy Drug Monitor, (2000) 22, 79. 37. T. T. Noguchi, G. R. Nakamura and E. C. Griesemer, Journal of Forensic Science, (1978) 23, 490. 38. D. S. Isenschmid, B. Levine, and Y. H. Caplan, Journal of Analytical Toxicology, (1989) 13, 250. 39. S. C. Laizure and C. L. DeVane, Therapy Drug Monitor, (1985) 7, 447. 40. M. Berna, B. Ackermann, K. Ruterbories, S. Glass, J. Chromtogr. (2002) 767, 163. 41. A. Vuagnat, L. Goedel-Meinen, E. Gries, M. Hofmann, A. Presch, and H. Blömer, Arzneim.Forsch./Drug Res., (1993) 43, 327. 42. M. D. Robertson and O. H. Drummer, Journal of Forensic Science, (1995) 40, 382. 43. C. L. O’Neal and A. Poklis, American Journal of Forensic Medicine and Pathology, (1996) 17, 8. 44. J. G. Wigmore and B. L. C. Chow, Canadian Society of Forensic Science Journal, (2000) 33, 145. 45. F. Moriya and Y. Hashimoto, Journal of Forensic Science, (1997) 42, 736. 46. Q. L. Ren and W. Bertsch Journal of Forensic Science, (1999) 44, 504-515. 47. J. L. Phelps, C. E. Chasteen and M. M Render, Journal of Forensic Science, (1994) 39, 194. 48. D. Mann, Fire and Arson Investigation, (2000), 50, 21. 49. W. Bertsch, Forensic Science Review, (1997) 9, 2. 50. T. Lang, Canadian Society of Forensic Science Journal, (1999) 32, 75. 51. J. J. Lentini, J. A. Dolan, C. Cherry, Journal of Forensic Science, (2000) 45, 968. 52. D. C. Mann, W. R. Gresham, Journal of Forensic Science, (1990) 35, 913. 53. T. E. Folkman, A. M. Kuehl, R. J. Groves, and A. D. Beveridge, Canadian Society of Forensic Science Journal, (1990) 23, 49. 54. C. A. Guinther, R. D. Moss and R. N. Thaman, Arson Analysis Newsletter (1983) 7, 1. Earn CE Credit To earn CE credit, complete the exam for this article on page 64 or complete the exam online at www.acfei.com (select “Online CE”).
About the Authors James Watterson, PhD, joined the newly formed Department of Forensic Science at Laurentian University as an assistant professor in January 2006 where he teaches various aspects of forensic science, including forensic toxicology and forensic chemistry. From 2003 to 2006 he served as a scientist in the toxicology section at the Centre of Forensic Sciences in Toronto, Ontario, Canada. Dr. Watterson is a new member of ACFEI. Valerie Blackmore, MSc, joined the biology section of the Centre of Forensic Sciences where she worked in a number of positions, including case screening technologist, DNA technologist, and senior DNA technologist. In 2001 she became a reporting scientist. In 2005 she accepted the position of scientific specialist within the Genetic Identification Division at Maxxam Analytics Inc., where she currently performs criminal forensic work for the Royal Canadian Mounted Police as well as for other police agencies and corporate clients. Dalia Bagby, MSc, joined the chemistry section of the Centre of Forensic Sciences as a scientist in 2000, where her work primarily focuses on forensic chemical analysis of fire scene evidence and provision of expert witness testimony in court.
Winter 2006 THE FORENSIC EXAMINER 25
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. (CMI) The American College of Forensic Examiners International approves this continuing education program for Certified Medical Investigators.
Key Words: diatoms, drowning, medicolegal investigation, legal admissibility
A Case for the Development and Testing of New Modalities Applicable to the Diatom Test for Drowning
By Edward J. Rohn, MA, and Peter D. Frade, PhD
Abstract Deaths by drowning are difficult to determine and are often diagnosed by eliminating all other potential causes of death. The diatom test stands as the only direct screening test for drowning. However, the field of forensic limnology has stagnated in the literature, at least in terms of the emergence of new and more accurate collection, testing, and confirmation modalities. In this article, continuing from the authors’ review article on the topic (which appeared in the Fall 2006 issue of The Forensic Examiner®), new approaches are put forth in an attempt to renew interest and spark research into the development of a series of proposed modalities. It concludes by addressing the legal challenges to introducing new approaches to the diatom test for drowning.
With the multitude of effects incorporated into the diatom reflective of its environmental exposure, these minute unicellular entities may provide valuable information as to the location of a victim.
The presence of aquatic diatoms in a cadaver has long been held by some to be a clear indicator of death by drowning. Deaths of this type are by their very nature difficult to diagnose accurately; typically they are diagnosed by eliminating all other potential causes of death. Research into the presence of diatoms in bone marrow, lung, liver, spleen, kidney, and brain tissue has led to the development of the diatom test, a direct screening test for drowning, whereby the presence of diatoms can be verified and analyzed both quantitatively and qualitatively. This can lead not only to a more direct determination of the cause of death, but it may also help pinpoint the site of a suspected drowning. Considering the lengthy history of this method, it is no surprise that extensive literature exists on the topic. However, the methodology has remained largely unchanged since its refinement in the early 1960s (Timperman, 1962; Timperman, 1969). While the diatom test remains highly specific in its application, the difficulty of a drowning diagnosis alone warrants the test’s continued evolution. It is the authors’ contention that the field of forensic limnology (the use of fresh water ecology to aid medicolegal investigations) has stagnated in the literature, at least in terms of the emergence of new and more accurate collection, testing, and confirmation modalities.
In the companion piece to this article (Rohn & Frade, 2006), the authors reviewed the current literature around the diatom test, detailing the biology and ecology of diatoms, the physiology and pathology of drowning, and the forensic value of the diatom test. This article proposes new developments in technology for detecting and identifying diatoms, the development of regional diatom databases, and the legal admissibility issues surrounding new approaches. The hope is that by putting forth a set of well-conceived and logical suggestions for new modalities the established methodology can be augmented and improved, increasing, above all, the sensitivity of the current test and, by extension, its value as an investigation tool.
Relevant Applications of New Advancements in Technology It should be made clear that the diatom test is not capable of displacing the critical value of a well-conducted police investigation, nor should the test be taken as a matter of fact without being coupled with a thorough forensic autopsy. Every avenue must be investigated in the course of a medicolegal investigation in order to understand the dependent facts that lead to death. The contemporary analytical modalities proposed here are not exceptions to this important rule.
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However, the authors feel that, in the case at hand, the diatom test would benefit from the implementation of novel approaches, repaving the reliable road. Contemporary challenges involve not only traditional identification of diatoms in their purest form, but also identification and comprehensive analysis where diatoms serve as indicators of exogenous exposures to organic and inorganic environmental pollutants. In essence, the forensic information provided by diatoms regarding a drowning victim and the crime scene may be augmented by improved technologies. The sensitivity of the diatom test has been one of its chief criticisms to date. “The medicolegal utility of the diatom test for drowning could be significantly enhanced by increasing the sensitivity of the test” (Pollanen, 1998, p. 34). For example, Pollanen put forth a “new approach to detecting diatoms in tissues.” He suggests the use of polymerase chain reaction (PCR) “to amplify the minute quantities of diatom genome deposited in the bone marrow” (p. 34). While the sensitivity of the overall test would increase, the molecular approach will not allow for the comparison of diatom species and genera; our understanding of the diatom genome is limited and taxonomic identification is currently dependent on frustule morphology. Despite this setback, it could prove to be a useful initial screening technique, which could then be coupled with other methods using separate samples of bone marrow or other tissue. Important information relevant to the facts surrounding a suspected drowning case is contained in the qualitative and quantitative description of extracted diatoms. Dia-
toms are distinguishable biological species that possess useful physicochemical and morphological properties useful in forensic cases. Their silica structures contain minute orifices that allow them to chemically communicate with their aqueous environments. This allows for the physical exchange of nutrients and, most importantly from a forensic standpoint, chemical toxicants and containments. Silica has adsorptive properties allowing for the selective surface interactions or entrapment of metals and certain organic or inorganic chemicals. With current ongoing studies to assess the impact of physical and chemical forms of pollution on marine life, diatoms can potentially serve indirectly as “forensic markers” of their environment. It has been noted that diatoms can undergo teratological changes reflective of toxic elements, especially metals, found in their environment (Badawczych, 2001; Dickman, 1998; Dokulil et al., 1997). With the multitude of effects incorporated into the diatom reflective of its environmental exposure, these minute unicellular entities may provide valuable information as to the location of a victim. Through analysis of diatoms by highly selective instrumentation, the forensic specialist is able not only to ascertain the structural and chemical makeup of the diatom, but also gain insight as to the environmental conditions where the victim was found. This important enhancement would in turn contribute information supportive to the sequence of events leading to the demise of the individual. Ultimately, the time-tested evaluation of potential new technologies must be developed into a “gold standard” in testing technology.
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In addition to the identification of diatoms, the specific structure and composition dependent on origin would be a composite of valuable information for the forensic expert. It is encouraging to note that a review of contemporary scientific literature dedicated to diatom analysis indicated the increased application of standalone and networked instrumentation, including hyphenated techniques (those that link two or more standalone instrumental modalities such that the combination as a whole functions as one instrument). These methods are gaining a presence in the documentation of diatoms in terms of physical and chemical characteristics in environmental, marine, and anthropological arenas. Among these are high-performance liquid chromatography and nuclear magnetic resonance microscopy, especially atomic force microscopy, gas chromatography/mass spectrometry, and higher-order hyphenated techniques. What follows are suggestions for applying some of these modalities to the diatom test. Nuclear Magnetic Resonance and Inductively Coupled Plasma Hyphenated Technologies Nuclear magnetic resonance (NMR) is a highly technical and precise method of measuring spatial molecular orientations in organic, organometallic, or biochemicals as found in nature. As such, it has proven to be effective in the analysis of small, medium, and large molecular weight organic and biomolecules as well as those found in the solid state. A dramatic example of the specificity associated with NMR was demonstrated
in the exact elucidation of the chemical structure of Robustoxin, a potent neurotoxin extracted from the Australian funnel web spider Atrax robustus (Temple et al., 1999). NMR is a technology in chemistry that has undergone considerable advancement in terms of applicability to sample types. Currently, 2-D and 3-D NMR instrumental techniques applicable to diverse samples types have proven effective in a diversity of matrices and sample types. Since NMR has traditionally been used to elucidate the structure of chemicals in terms of the spatial positioning of hydrogen atoms in relationship to other nuclei, the demonstration of differences between the hydrogen atoms found in normal water versus those found in tissue containing diatoms could be used in a manner similar to the clinical application of magnetic imaging to aid in identifying and classifying unknown diatom species and genera. Clinically, this magnetic imaging technique has been useful in distinguishing differences in the water distribution and content tissue (Cutillo et al., 1984). Certainly, the relevance of NMR in evaluating diatoms in environmental analysis is well documented (Pachar et al., 1992) as well as NMR and stereospecific chiral HPLC (Morohashi et al., 2000). The advantages of hyphenated techniques are multifold, especially when one considers the analytical benefits associated with sequential screening and confirmation of chemical entities in hyphenated arrangements. With continuing advances in hyphenated technology, NMR repre-
sents a traditional analytical tool that currently serves as an effective component in strategic hyphenated instrumental arrays. As noted in the area of marine natural product analysis, an analytical configuration linking liquid chromatography with nuclear magnetic resonance with mass spectrometry (LC/NMR/MS) has been successfully implemented to determine the structure of Ruberosides analyzed as steroidal saponins extracted from the Asterias rubens, the Baltic seastar (Faulkner, 2002). As noted in this particular application, which incorporates three standalone analytical techniques as a single level-3 hyphenated technique, not only does one have the ability to separate and screen chemical components by liquid chromatography (LC), but also the ability to visualize structural orientations of nuclei (NMR) as well as sequentially confirm the molecular fingerprinting of the parent compound by mass spectrometry (MS). In essence, this is but another example of a cost effective multidimensional instrumentation finding its way into the arsenal of analytical techniques that demonstrate utility in forensic analysis as noted by the established and accepted hyphenated techniques of GC/MS, LC/MS, and LC/ MS/MS. The use of a unique hyphenated arrangement consisting of high-performance liquid chromatography, coupled to inductively coupled mass spectrometry (HPLC-ICP-MS), has been extremely promising as a gold-standard hyphenated technique in quantitatively assessing the presence of arsenic in marine based sediments
(Ellwood & Maher, 2003). This powerful hyphenated analytical technique not only separates analyte species into their components, but also, with the incorporation of inductively coupled plasma, allows for the detection and speciation of metals present. By using selective pre-analytical workup of matrices, hyphenated techniques could be employed to analyze fractions of diatoms not only as to their classification, but also as to their chemical content reflective of the aqueous environment where they were found originally. This underscores the importance of trapped environmental toxicants unique to a particular location; these are usable matrices for examination in forensic cases involving apparent drowning due to their potential entrapment. In these instances, NMR may be positioned by effectively imaging differences between normal bone marrow as distinguished from the presence of diatomaceous particles. Atomic Force Microscopy Atomic force microscopy (AFM) is a powerful technique derived from the earlier scanning tunneling microscopy (STM) techniques; however, with it, individual atoms and other microscopic samples can be resolved on or in insulated surfaces such as water (Chen, 1993). The advantage of this approach over other directmeasuring techniques is that it allows for minute solid samples to be measured and displayed within water or another liquid medium. AFM can detect the features of specific and individualized atoms and can scan an object as large as 8Ë? long and 0.5Ë? in diameter, well within the size range of even the largest diatom. This is an advan-
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Marine diatoms as seen through a microscope
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tage over NMR in that it increases the applicability of AFM to any sample taken independent of source where the presence of diatoms is suspected. AFM is effectively implemented by placing the tip of a flexible force-sensing cantilever stylus and allowing it to scan across the surface of a sample. Imperfections and variations in surface topography are measured as feedback signals and processed by a computer that displays the information in real time. The cantilever traces out the imperfections, even those relating to the details of a diatom (>30 μm), thus detailing the highly resolved demography of diatom species. This resolution is at the atomic level (Chen, 1993). The non-destructive modes and diversity of types, including contact, non-contact, and tapping mode, are extremely effective and may prove useful in forensic applications. AFM images are obtained without expensive sample preparation and yield far more complete information than the 2-D profiles available from cross-sectioned samples since no cross sectioning is necessary. Because of its ability to scan into an object, as well as its ability to scan its vertical and horizontal axis, AFM allows for three-dimensional imaging, further increasing its accuracy (Chen). Minimal sample preparation, extremely high sensitivity, and outstanding flexibility to diverse sample matrix types (live cells and membranes to bone and cartilage), places this advanced technology in the highly desirable category as a potential forensic analytical approach (Chen, 1993). Advanced and highly focused applications of ATF in the examination of “living diatoms” present in marine environments suggests the further investigation of this highly evolved molecular technique to forensic cases (Gebeshuber et al., 2003; Higgins et al., 2003). The increased accuracy of this and other scanning microscopy methods over conventional optical light microscopy or dark-field, including phase-contrast microscopy, is evident. It is highly desirable to incorporate a computer interface that produces highly accurate and precise imaging with precise definitions that can then be filtered, reverted to dark field, or reduced to simple line draw-
ings for court presentation. AFM is a viable analytical option allowing for direct measurements of samples in situ supportive of more direct investigations of diatoms. This technique can be implemented in conjunction with other established methods of analysis. Unfortunately, as is the case with NMR or NMR-hyphenated technologies, AFM instrumentation is not readily available for immediate use by regional forensic and medical examiners’ offices.
of the concentra“ Surveys tion of common genera in
local waterways may not only help confirm diatoms found are acquatic and originate from local waterways, but may also allow an estimate as to the time of year a drowning occurred in a decomposed victim.
”
Alternative Considerations The study of forensic evidence is the study of defects that detract from the norm. In any analytical methodology incorporating and supported by technology, the forensic scientist wants the final report to be a comprehensive description of the specimen and sample undergoing analysis. Important components include identification and confirmation, with quantification of results by accepted validated protocols. In the case of diatoms, in medicolegal documentation it is extremely important to demonstrate the presence of specific rheology and genesis as well as defects in the diatom structure resulting from environmental marker-type entrapments or subsequent pathological states. The ability to chemically and selectively enhance the presence of trace materials associated with, but not necessarily part of, the original diatom would be desirable.
It can be theorized that implementing alternative instruments that use luminescent properties may better locate and isolate diatoms in a sample of bone marrow or other tissue by incorporating specific fluorescent tags. These would serve as specific illuminators to differentiate normal chemical composition from interferents associated with environmental substances indicative of the original crime scene. A recent application of fluorimetry has shown importance in differentiating groups of algae. This application demonstrates the importance of natural fluorescence in distinguishing members of given groups (Beutler, 2002). Here, the fluorescent and spectral nature of the chlorophyll was used to categorize groups of microalgae supporting a “fingerprinting” analytical methodology. Ultimately, implementing gold-standard technology in this important forensic arena would support the establishment of a definitive database of reference standards for forensic comparison of exemplars taken from specific crime scenes and reflective of specific case presentations. This database could then be incorporated as part of an interactive “logic tree” strategy in the analysis of crimes where the victim is either found as part of an apparent drowning landscape or translocated from another site. The basic chemical nature of diatoms renders them important markers to the nature of the environment surrounding the original crime scene. Automated Identification Founded in 1998, Project ADIAC (Automatic Diatom Identification and Classification) is a pilot study funded by the European Commission of Marine Science and Technology, based out of the Vision Laboratory of the University of Algarve, under the direction of Hans du Buf (2001). It is concerned with applying image processing and pattern recognition tools toward the identification of diatoms by computer. The purpose of this project is “to develop appropriate image databases and analytical methods for the automated identification of diatoms” for use in any field applicable to diatom research, including forensics. The objec-
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tives of the project are as follows: (1) develop diatom image databases with different levels of discrimination complexity; (2) develop methods for scanning slides automatically, including the detection of diatoms while ignoring extraneous debris (this is a crucial feature in light of the environments from which those diatoms to be used in forensic cases are collected, [i.e., the drowning medium and sample organic tissues]); (3) develop methods for a complete graphical and rheological diatom image description of both valve shape and ornamentation with a limited number of parameters that allows for a reliable identification; (4) develop a diatom identification system that takes all morphological information into account, producing a sorted list with all the best matches; and finally, (5) test the methods developed using the databases in order to access the overall performance and to optimize it by including expert knowledge. Independent of the use of the nitric acid reduction method of collection, or direct sampling, the ADIAC system will be able to more quickly pinpoint a greater number of diatoms in a given sample. The algorithms used by the system would control for the considerable human error in accurately recognizing the rheology of a small number of diatoms from a species pool of over 10,000. This approach would increase the efficiency of the test because computers can be incorporated to perform much of the initial identification and the system provides a sorted list of “best fits” for each species in question. Contemporary technology that can be used for multiple purposes (e.g., mass spectrometry) will glean more funds from a cost-effective research facility than systems similar to the one proposed by Project ADIAC, which are specialized and dedicated to performing one function. While the cost may be acceptable to a facility specializing in water ecology, forensic science must be diverse while mastering every method and technique applied to a legal investigation. Project ADIAC may not be available for use in a county medical examiner’s office, but with refinement and through cross-disciplinary partnerships, a resourceful pathologist should
be able to take advantage of this technology. Depending on the complexity of the computer network adapted, use of extra programs and scanning protocols already available on pre-existing systems may be realized (du Buf, 2001). At this time, ADIAC has completed its initial goals with remarkable success. The computerized methods used in identifying diatoms nearly always matched or exceeded the same ability in human experts (~82%). Furthermore, all features of the computerized system were used together and tested, yielding successful identifications 96.9% of the time. Project ADIAC’s final report, Automatic Diatom Identification, by Hans du Buf and Micha M. Bayer (Eds), is now available through World Scientific Press. It is the hope of the researchers of Project ADIAC as well as the authors of this paper that, “like fingerprint processing became very ‘popular’ after test images became publicly available” (du Buf, 2002, personal communication), diatom rheology processing will gain popular and scientific support, in turn lending validity to this method among scientists and leading to greater admissibility in criminal trials. Hans du Buf and his team are adamant about the public nature of their project, and a great deal of information is available, including image databases, texts, reference lists, and eventual software at www.ualg.pt/adiac/. Diatom Databases A major criticism of the diatom test is that diatoms are often found in bodies of those who have not died by drowning. It has been asserted repeatedly in the literature (Pollanen et al., 1997a; Ludes et al., 1996) that a water-monitoring program based on waters where drowning victims are typically found would create a predictive diatom database for comparison. Where no direct sample of the putative drowning medium is available, a profile of dominant taxa may aid in the diagnosis (Ludes et al.). Furthermore, Siver and his colleagues (1994) contend that most forensic pathologists are themselves not knowledgeable about diatoms and their taxonomy. Forming and nurturing a professional relationship with local biology
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and limnology labs, including diatom experts, is crucial in properly identifying and analyzing diatoms. The concept of a diatom population regional database is best described by considering, for example, the diatoms of the Great Lakes region and surrounding lakes, rivers, and streams of key importance. Surveys of the concentrations of common genera in local waterways may not only help confirm diatoms found are aquatic and originate from local waterways, but may allow an estimate as to the time of year the drowning occurred in decomposed victims (Pollanen et al., 1997b). The crux of the position here is that the information may already be available and easily obtained through traditional investigative work. A sample of the putative drowning medium should be collected whenever possible, ideally in a new medically sterile and sealable glass container. This sample can be tested for diatoms in a similar manner to cadaver tissue, and the results can be compared to said tissue, thus verifying the source of the test diatoms and confirming drowning as the manner of death. However, there are cases where this is impossible. Occasionally, a body is found washed ashore far from the initial point of drowning, or the body is removed from the water either by an animal, natural actions, or the perpetrator. In these cases, the test for drowning is not without value if a suitable test sample can be supplemented. Many organizations, such as the Great Lakes National Program Office (GLNPO), have conducted research on local diatom populations within the Great Lakes. The GLNPO’s Diatoms ‘98 project (2001) is an exhaustive study of the genera and species of diatoms within the Great Lakes, taking into consideration seasons, months of the year, and water depth. Other areas and other research organizations, including the EPA, regional water quality offices, university departments, and geological survey stations conduct studies of and publish information on the diatoms present in local waterways. A thorough investigation in the course of a medicolegal investigation includes networking to all possible organizations and experts.
Often the information already available may not be specific enough to cover all potential waterways in a given area. The process of rounding out a database once local preexisting data has been obtained would be time-consuming. The collection methods must be regulated and controlled, as they are designed to fill in the database with the necessary information. By networking with local organizations and experts, it may be found that much of the work of compiling a viable predictive diatom database is already complete. Many universities may be enthusiastic about aiding in the compilation of such a database. Further, networking outside the forensic community has many advantages, including a better public image and understanding of the forensic and medicolegal process, increased public relations between the medical examiner or coroner’s office and local universities and governmental services, and further potential for networking into specialized fields like limnology, whose experts can be later contacted for later investigations. Legal Admissibility of New Technologies and Approaches The diatom test for drowning is only admissible in a few courts in the United States but is more widely accepted in Europe and Canada. The test itself, including any new approaches like the ones suggested here, must pass whatever test for validity the regional courts have accepted for the admission of forensic evidence. Generally, the diatoms test would be presented in court by an expert witness, especially in cases where either a dispute exists as to whether drowning is the actual cause of death or as to where a drowning has taken place. The validity of the diatom test, including any new methodology, would be subject to the following: it must be shown that (1) each component of the procedure is valid and has been proven scientifically; (2) the diatoms can be identified, classified, and quantified reliably and predictably; (3) the putative drowning medium is distinct and geographically identifiable; (4) the bone marrow or other tissue can and has absorbed diatoms in a known and understood manner and rate;
and (5) the technique used to identify and quantify the diatoms in the marrow was controlled and valid. Considering the rich scientific history of the diatom test, to prove its validity in court it would only be necessary to assert the validity of any new methods being suggested (E. David Ladd, 2001, personal communication). Two tests have been developed at the state and federal level to help courts determine whether a forensic method is reliable and valid enough to be admissible: the Daubert and Davis/Frye tests. The Davis/Frye test is a more critical screen and is applicable at the state level in many states. Under the Daubert test (Daubert v. Merrell Dow Pharmaceuticals, 1993), Rule 702 of the Federal Rules of Evidence is expounded and applied on the federal level. From this important case arose the following test. First, general acceptance within the relevant field is not a prerequisite for admissibility. This is the first case where this idea became federal fact. The trial judge must only ensure that all scientific testimony is relevant and reliable. As stated in Rule 702 of the Federal Rules of Evidence, “if scientific, technical, or other specialized knowledge will assist the trier of fact to understand the evidence or to determine a fact in issue an expert may testify thereto” (Daubert v. Merrell Dow, p. 481). Acceptability of “scientific knowledge” in a federal case is based directly on scientific validity and reliability. That is, though not necessarily known to an absolute certainty, repeated controlled testing supports the method (Daubert v. Merrell Dow). Relevance is based on the Federal Rules of Evidence standard of “helpfulness,” which requires a “valid scientific connection to the pertinent inquiry as a precondition to admissibility” (Daubert v. Merrell Dow, p. 482). If the scientific knowledge is not directly related to any issue in the case, it is not relevant and therefore not admissible. “Pertinent evidence based on scientifically validated principles will satisfy” these demands (Daubert v. Merrell Dow, p. 485). Expert witnesses, unlike ordinary witnesses, are permitted wide latitude to offer opinions, including those not based on firsthand
knowledge or observation. The FRE Rule 702 has replaced the Davis/Frye test for cases at the federal level. Basic admissibility in Michigan, as well as many other states, is based on the ability of the prosecution to show that generally accepted laboratory procedures were used (People v. Chandler, 1995). Known as the Davis/Frye test, this is a more critical prerequisite than with Daubert. The crux of the Davis/Frye test for admissibility is stated in Michigan Law as the following: Testimony by an expert witness in criminal cases regarding a novel form of scientific evidence which will aid in identifying a defendant may be admitted so long as it is established that the evidence has achieved general scientific acceptance among impartial and disinterested experts in the field. This is in addition to the requirements of the Daubert test, where reliability and relevance must be proven. According to Justice Kavanagh of the Michigan Supreme Court, the Davis/ Frye test can and should be applied to all novel scientific methods offered as evidence, beyond just lie-detectors and serum tests, because “the purpose of this rule is to prevent the jury from relying on unproven and ultimately unsound scientific methods” of any kind (People v. Young, 1984). In applying the Davis/Frye test, it must be determined whether both the technique and the underlying theory have been generally accepted by those within the field. In forensic cases, the theory becomes validated only through empirical evidence. Repeated successful applications of the technique in question thus prove the validity of the underlying theory or principle. A Daubert or Davis/Frye hearing would have to take place before any evidence gleaned from one of these new methods of collecting and/or identifying diatoms could be admitted into evidence. In such a trial, “impartial and disinterested experts in the field” of forensic limnology cannot be in a position to gain directly from the legal confirmation of the new method in question (People v. Young, 1984, p. 3). Those who testify to the va-
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lidity of an expert witness testimony must not benefit economically or professionally by either furthering their own research or the research of a colleague or unjustly condemning the technique because of a professional rivalry. In the case of the suggested new modalities, the preceding considerations must be satisfied should an expert in this field be called to testify. Historically, the diatom test has suffered from controversy where experts in the field differ as to its reliability. However, other more recent researchers have adequately answered the criticisms of the first generation of diatom naysayers (Ludes et al., 1996; Pollanen et al., 1997b; Pollanen, 1998). In the cases of NMR, AFM, fluorescence, and the new technologies suggested by Project ADIAC, it should be noted that the crux of these new methods hangs on new applications of old and accepted technologies and methodologies. The challenge, therefore, will not be to assert the validity of these methods individually, but rather how they apply in hyphenation and application to the problems inherent in the diatom test as it currently stands. In the case of forming original databases or using pre-existing databases of diatom populations, the issue of admissibility would be an easy one, provided the collection and recording methods are consistent, thorough, and accurate, controlling for such variables as season and water depth. Then the application of a database where a water sample is perhaps unavailable, missing, or out of season (in cases where a body is found months after the initial drowning) should be considered admissible based on the validity of these methods, though borrowed as they are from other disciplines. Some may argue that the Davis/Frye test should be abolished because it hinders early courtroom use of technological advances in the rapidly developing discipline of forensic science. This may lead too easily into pseudo-science, the control and limitation of which is the entire crux of the rationale of this test in the first place. In each drowning case, someone has died and someone else may be responsible for it. The diatom test and these new sugges-
tions may help locate and incarcerate the perpetrator in these crimes. However, justice will only be done if pains are taken to assure that the correct suspect is placed behind bars. Our role in guaranteeing this justice, as forensic scientists and experts, is to see to the absolute validity and accuracy of our methods. To rush a new method to court because it can help prosecute a criminal may in fact end with the incarceration of an innocent man or woman. With great power comes great responsibility, and as experts our power is great and, therefore, so is our responsibility to the facts of each case. Conclusion Within the field of forensic science, investigators cannot afford to lag behind the developments in science and technology. The diatom test, while extremely specific, is of immense value considering the limited objective tests available for drowning diagnoses. However, the test has remained relatively unchanged in the 40 years since it was developed. In examining the modality, however, it is clear that some of the current criticisms and unspoken shortcomings could be addressed with original thinking and new methodologies. A fresh outlook is necessary to rekindle interest in this important application to the medicolegal investigation. What we have offered here is an outline for future research in this important area. What remains is for the scientists engaged in forensic research and application to test and develop what may well prove to be invaluable new additions to the diatom test for drowning. Acknowledgments The authors wish to acknowledge the initial work of Mark Kachar, Kim LloydWatts, Sara McDonald, Patrice Plungis, and Lisa Spencer who engaged the authors in classroom discussion of this important area. The authors also wish to thank E. David Ladd who served as an in-house reviewer of the manuscript.
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References Beutler, M., Wiltshire, K. H., Meyer, B., Moldaenke, C., Luring, C., Meyrhofer, M., et al. (2002). A fluorometric method for the differentiation of algal populations in vivo and in situ. Photosynthesis Research, 72, 39–53. Badawczych, S. M. P. (n.d.). Pathogenic effects of pollution on life forms in coastal and estuarine systems. Retrieved from www. ocean.univ.gda.pl/baltder/polsiec/projwolowicz.htm Chen, J. C. (1993). Introduction to scanning tunneling microscopy. Oxford: Oxford University Press. Cutillo, A. G., Morris, A. H., Blatter, D. D., Case, T. A., Ailion, D. C., Durney, C. H., Johnson, S. A. (1984). Determination of lung water content and distribution by nuclear magnetic resonance. Journal of Applied Physiology, 57(2), 583–588. Daubert v. Merrell Dow Pharmaceuticals. (1993). 125 L Ed2 469. United States Supreme Court. Dickman, D. M. (1998). Benthic marine diatom deformities associated with contaminated sediments in Hong Kong. Environment International, 24(7), 749–759. Dokulil, M. T., Schmidt, R., Kofler, S. (1997). Benthic diatom assemblages as indicators of water quality in an urban floodwater impoundment. Neue Donau, Vienna, Austria, Nova Hedwigia, 65(1–4), 273–284. du Buf, H. (2001). Project: ADIAC: Automatic diatom identification and classification. Retrieved December 27, 2001, and February 6, 2006, from http://www.ualg.pt/adiac/ Ellwood, M. J., and Maher, W. A. (2003). Measurement of arsenic species in marinesediments by high-performance liquid chromatography-inductively coupled plasma mass spectrometry. Analytica Chimica Acta, 477(2), 279–291. Faulkner, J. D. (2002). Marine natural products. Natural Products Report, 19(1), 1–48. Gebeshuber, I. C., Kindt, J. H., Thompson, J. B., DelAmo, Y., Stachelberger, H., Brzezinski, M. A., et al. (2003). Atomic forces microscopy study of living diatoms in ambient conditions. Journal of Microscopy, 212(3), 292–299. GLNPO. (2001). Diatoms ‘98—GLNPO indicators. Retrieved April 21, 2001, from http://www.epa.gov/grtlakes/monitoring/ indicators/diatom98 Higgins, M. J., Sader, J. E., Mulvaney, P., & Wetherbee, R. (2003). Probing the surface of living diatoms with atomic force microscopy: The nonostructure and nonomechani-
cal properties of the mucilage layer. Journal of Physiology, 39, 722–734. Ludes, B., Coste, M., Tracqui, A., & Mangin, P. (1996). Continuous river monitoring of the diatoms in the diagnosis of drowning. Journal of Forensic Sciences, 41(3), 425–428. Morohashi, A., Satake, M., Nagai, H., Oshima, Y., & Yasumoto, T. (2000). The absolute configuration of gambieric acids A-D, potent antifungal polyethers isolated from the marine dinoflagellate. Gambierdiscus toxicus. Tetrahedron, 45, 8995. Pachar, J. V., & Cameron, J. M. (1992). Scanning electron microscopy: Application in the identification of diatoms in cases of drowning. Journal of Forensic Sciences, 37(3), 860–866. People v. Chandler. (1995). 211 MichAp 604. Michigan Court of Appeals. People v. Young. (1983). 418 Mich 1. Michigan Supreme Court. Pollanen, M. S. (1998). Diatoms and homicide. Forensic Science International, 91, 29–34. Pollanen, M. S., Cheung, C., & Chaisson, D. A. (1997a). The diagnostic value of the diatom test for drowning I, utility: A retrospective analysis of 771 cases of drowning in Ontario, Canada. Journal of Forensic Sciences, 42(2), 281–285. Pollanen, M. S., Cheung, C., & Chaisson, D. A. (1997b). The diagnostic value of the diatom test for drowning II, validity: Analysis of diatoms in bone marrow and drowning medium. Journal of Forensic Sciences, 42(2), 286–290. Rohn, E. & Frade, P. (2006). The role of diatoms in medico-legal investigations I: The history and contemporary science and application of the diatom test for drowning. The Forensic Examiner, 15(3), 10–15. Siver, P. A., Lord, W. D., & McCarthy, D. J. (1994). Forensic limnology: The use of fresh water community ecology to link suspects to an aquatic crime scene in Southern New England. Journal of Forensic Sciences, 39(3), 847–853. Temple, M. D., Hinds, M. G., Shuemack, D. D., Howden, M. E. H., & Norton, R. S. (1999). 1H NMR study of robustoxin, the lethal neurotoxin from the funnel web spider, Atrax Robustus. Toxicon, 37, 485–506. Timperman, J. (1962). The detection of diatoms in the marrow of the sternum. Journal of Forensic Medicine, 9(4), 134–136. Timperman, J. (1969). Medico-legal problems in death by drowning. Journal of Forensic Medicine, 16(2), 45–76.
About the Authors Edward J. Rohn, MA, is a PhD student with a dual concentration in medical and business and organizational anthropology. He is a research interviewer on the HAART Project, an NIH-funded anthropological study designed to explore adherence to antiretroviral medications among HIV-positive African Americans living in Detroit. He has recently begun work as the editorial assistant for Medical Anthropology Quarterly. He holds an MA in interdisciplinary studies and a post-bachelor’s certification in forensic investigation from Wayne State University and a BA in anthropology and sociology from Albion College in Albion, Michigan. His current research interests include organizational culture, stress-related illness, health-seeking behavior, and the anthropology of work among law enforcement officers as well as the development of a police identity as balanced against quality of life issues. Most recently he completed research into the culturally appropriate means of bonding and friendship formation between young men in American society, including the role of shared experience, ritual participation, and constructions of masculinity. His predominate interest is in community and the replication of social order in American society. Rohn is currently involved with a number of other writing projects, notably a “best practices” paper on the role of qualitative researchers in rapport-building and retention of medical research volunteers. Peter Frade, PhD, currently serves as associate professor and chair of the Department of Fundamental and Applied Sciences where he is a member of the full-time faculty and serves as program director of both the Anatomic Pathologists’ Assistants and Mortuary Science programs. His department is part of the Eugene Applebaum College of Pharmacy and Health Sciences at Wayne State University in Detroit and consists of the mortuary science, anatomic pathologist’s assistants, and post-bachelor forensic investigation, clinical laboratory sciences, and occupational and environmental health sciences programs. Prior to his fulltime academic appointment in 1996, he was employed as a senior toxicologist in the department of pathology at Detroit’s Henry Ford Hospital for 28 years. His areas of specialization focus on hyphenated instrumental techniques as applied to clinical and forensic protocols. He has authored and co-authored over 25 papers and serves as a peer reviewer for numerous scientific journals, including the Forensic Medicine Editorial Board of the Annals of Pharmacotherapy. He is a member of the American Chemical Society, the American Institute of Chemists (Fellow), the Royal Society of Chemistry (United Kingdom), the New York Academy of Sciences, the National Academy of Clinical Biochemistry (Fellow), the Association of Clinical Scientists (Fellow), the American College of Toxicology, and the American College of Forensic Examiners.
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The
Daubert Decision:
Accident Reconstruction Considerations
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. (CMI) The American College of Forensic Examiners International approves this continuing education program for Certified Medical Investigators.
By Peter H. Rast, BS, MSFS, MBA, DABFE, DABLEE, DABFET
Abstract The Daubert decision confirmed that the Federal Rules of Evidence are the standard for the admission of scientific evidence and expert opinion in federal courts. Criteria enumerated in Daubert are flexible and within the discretion of the trial judge, who may assign weight as he or she sees fit and may apply additional criteria. Evidence not meeting Daubert standards and criteria may not be admitted in federal courts. Several states have adopted Daubert criteria, while others have not. In addition, hundreds of decisions at all court levels have since modified, expanded, and explained Daubert. It is important for forensic engineers and others offering scientific evidence to understand Daubert and what have become known as Daubert criteria.
Key Words: Daubert, Kumho Tire, testability, error rate, peer review, general acceptance, weight vs. admissibility
Winter 2006 THE FORENSIC EXAMINER 37
Prior to the adoption of the Federal Rules of Evidence in 1975 and the Daubert decision in 1993, expert testimony was admitted in federal courts when the scientific principle on which the testimony was based was sufficiently established to have gained general acceptance in the particular field in which it belonged (Waltz & Clark, 2005). This “general acceptance” standard became the applicable federal standard after the Supreme Court decided Frye v. United States in 1923. Daubert v. Merrell Dow Pharmaceuticals (1993) was first filed in the Southern District Court of California in 1989. The trial judge in the Daubert case ruled that the Frye standard was the proper standard for admissibility of scientific evidence and expert testimony. Defendant Merrell Dow Pharmaceuticals appealed the trial judge’s ruling to the 9th Circuit Court of Appeals, arguing that the Federal Rules of Evidence were now the correct standard. The 9th Circuit agreed with the trial judge and affirmed the trial judge’s ruling. The United States Supreme Court granted certiorari in 1991. In 1993 the Supreme Court handed down its ruling, vacating the 9th Circuit’s decision and establishing what have become known as the Daubert criteria. The case was remanded for reconsideration consistent with the Supreme Court’s ruling and the Daubert criteria. In other words, the Supreme Court said Merrell Dow was correct. What Daubert Decided The issue facing the Supreme Court in the Daubert appeal was whether Frye’s general acceptance criteria or the Federal Rules of Evidence were the proper standard for the admission of scientific evidence and expert testimony in federal courts. The Court ruled in Daubert that the Federal Rules of Evidence were the correct standard to apply. Rule 702 of the Federal Rules of Evidence (Legal Information Institute, 2004) governs expert testimony pertaining to scientific knowledge, suggests the proper tests to be applied to expert testimony and points to what is necessary for a judge to fulfill his gatekeeper role in screening scientific evidence. The Court stated that “scientific” as used in Rule 702 means a grounding in the scientific method and “knowledge” means a set of facts or ideas accepted as true on good grounds.
The Court said that the admissibility of expert testimony and scientific evidence in Federal trials, based on Rule 702, may be tested by applying several criteria including, but not limited to, the following: • Whether the theory or technique has been tested (falsifiability). • Whether the theory or technique has been subjected to peer review and published. • Whether the theory or technique has an established error rate. • Whether the technique or theory has attained general acceptance within the relevant scientific community. These are the criteria known as the Daubert criteria. Daubert inquiry is flexible and is to be applied to methods and principles by the court as a matter of law, not to opinions and conclusions that are properly evaluated by the trier of fact. The court, in applying Daubert criteria, determines if scientific evidence and opinion may be lawfully presented to the jury but may not comment on the opinion once admitted; the jury decides what weight to give an expert opinion. Once expert testimony and scientific evidence have been properly admitted by the trial judge, the appropriate means for the opposing side to test such evidence and opinion is by admission of its own expert opinion and scientific evidence. Opposing evidence and testimony must also meet Daubert criteria. Experts from both sides, and their opinions, are then subject to cross examination in open court and, in the end, carefully crafted jury instructions are issued by the trial judge.
Amplifying Cases
Following the Daubert decision, many cases clarified and expanded how and when Daubert criteria are to be applied. General Electric v. Joiner (1997) Joiner claimed his workplace exposure to PCBs and its derivatives caused his small cell lung cancer. Experts for Joiner stated PCB and its derivatives could cause cancer. The trial court ruled such expert testimony was no better than speculation, disallowed the experts’ testimony, and granted summary judgment (a judicial ruling that no genuine issue of material fact is before the court) to the defendant, General Electric.
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On appeal Joiner asserted the trial court had abused its discretion; the 11th Circuit Court of Appeals reversed the trial court judge and remanded. On certiorari, the U.S. Supreme Court reversed the 11th Circuit, upholding the trial judge. The Supreme Court stated that Joiner’s experts cited animal studies, which were dissimilar to the case at hand and were not useful in deciding the question presented in the suit. The trial court had not abused its discretion by granting the defendant’s motion for summary judgment because Joiner’s evidence was too far afield. The criterion for review of a trial court’s admission or exclusion of expert opinion is solely one of whether the court abused its discretion. The trial judge has sole discretion to decide the issue of scientific evidence admissibility and will only be reversed if he or she abuses his or her discretion by, for example, deciding matters of fact rather than law. Whether the evidence presented is admissible is not an issue of fact, but a matter of law, specifically whether the evidence meets Daubert criteria, which, in this case, it did not. Kumho Tire Co. v. Carmichael (1999) Carmichael’s tire blew out resulting in one death and several injuries. Plaintiff Carmichael asserted at trial that the failed tire was defective. Carmichael’s expert asserted that if two of four symptoms of tire abuse are not present in a failed tire, the failed tire can be assumed to have failed due to a defect and not from abuse. The court granted defendant Kumho Tire’s motion for summary judgment on the basis that Daubert requires expert testimony to be relevant and reliable and Carmichael’s expert’s testimony was neither. The 11th Circuit reversed the trial judge on the grounds that Daubert criteria applied only to scientific testimony and that Carmichael’s expert testified not on the basis of science, but from experience and skill; Daubert criteria did not apply in this case. The Supreme Court reversed the 11th Circuit holding that Daubert analysis applies equally to engineers and other nonscientist experts. The Supreme Court stated that Rule 702 applied to all expert testimony, not just scientific testimony. The Daubert decision referred specifically to scientific knowledge
because that was the type of knowledge under consideration in that case. The Court also noted that Rule 702 was flexible so that a trial judge could apply any or all of the Daubert criteria and might consider other criteria as well. The Court affirmed its Joiner decision by saying the standard for evaluating a trial court’s decision to exclude expert testimony is an abuse of discretion standard. In stating the trial court did not abuse its discretion in granting a motion for summary judgment, the Court noted that Carmichael’s expert’s methods were not reliable, the expert’s testimony had contradicted his own criteria and methodology, and the expert was alone in the scientific community in applying his methodology. The expert could not say what caused Carmichael’s tire to fail. Cases Addressing Daubert Criteria A Daubert hearing is often held to challenge expert testimony prior to trial (Babitsky et al., 2000). Challenges can be based on the failure to meet one or more criteria enumerated in Daubert. A Daubert challenge in the 9th Circuit can also include a prior existence test (Lust v. Merrell Dow Pharmaceuticals). What is apparent from case law is that multiple grounds for challenging expert testimony often exist in a case. It is arguable that this is because Daubert criteria are related. Testability Perhaps the most important part of the Daubert criteria, a theory or technique
must not only have been subjected to scientific testing, it should have been tested prior to being introduced at trial. This is often referred to as falsifiability (Foster & Huber, 1999). This requirement should prevent untested, novel, or phony theories from being introduced at trial and being considered by the trier of fact. An example of an engineering hypothesis being excluded from trial is the case of Stanczyk v. Black and Decker (1993). Stanczyk asserted that the design of the power saw that caused his injury was defective. A mechanical engineer testifying for Stanczyk stated that an alternate design would have been safer. However, because the engineer offered no design that might have been safer, his testimony was excluded because his assertion could not be tested. In Wheat v. Pfizer (1994), expert testimony that a combination of two drugs caused the plaintiff ’s death was disallowed because the expert admitted that no study had been done to support his opinion. The court said the expert’s hypothesis “lacked an empirical foundation.” Peer Review Peer review allows independent scrutiny and detection of scientific and methodological flaws, thereby increasing the likelihood that a theory or method is valid, reliable, and acceptable to the scientific community. Although enumerated as a separate criteria, peer review and testability would seem to be first cousins.
In Wheat v. Pfizer, expert testimony was also disallowed because the expert admitted no peer review had ever been conducted on his theory. The same is true of Stanczyk v. Black and Decker. The court stated in Stanczyk that there had been no peer review of the engineer’s design concept and excluded his testimony on peer review as well as testability grounds. An interesting case is Navarro v. Fuji Heavy Industries (1996). Navarro’s engineering expert opined that the design of Navarro’s vehicle was defective. The court disallowed the engineer’s testimony, saying that not only was there no published study of his methods, but he had not enumerated his methods. Therefore, his methods were untested and had not been peer reviewed. Error Rate Error rate, determined by statistical testing, involves a determination of how often a test or method produces random variations (Spatz, 1997). Challenges to expert evidence often assert a technique or theory is vague, untested, or subjective. The court is therefore unable to determine an error rate and an analysis of error rate cannot be attempted. Additionally, in cases where an error rate is evaluated, testimony can be excluded if the error rate is found to be too high. In re: TMI Litigation Cases Consolidated II (1996), the testimony of two experts from different fields was disallowed because error rates of their methodologies were determined to be too high to be useful. In the case of a chemistry expert, his sampling rate
Winter 2006 THE FORENSIC EXAMINER 39
was determined to be inadequate. In the case of a meteorologist, his methodology was found to be inapplicable to the matter at hand. The Wade-Gereaux v. Whitehall Lab (1994) court excluded expert testimony on the grounds that animal model test results could not be extrapolated to humans without supportive tests on human subjects. Without human tests, error rates would be too high if they could be determined at all. General Acceptance This is the Frye test expanded from a specific field of study to the broader scientific community. A scientific principle or technique that is widely accepted can be said to have passed Daubert’s falsifiability and peer-review tests. A technique or theory with only limited acceptance can rightly be viewed with skepticism. In Wade-Gereaux v. Whitehall Lab, the court found that not only were potential error rates too high, but the plaintiff ’s experts used a technique not recognized by the scientific community and not subject to verification. In Stalnaker v. General Motors (1996), an expert witness’ testimony was disallowed because the theory on which the testimony was based was so far out of the mainstream that testimony based on the theory could not, under current standards, be admitted. This was in spite of the court’s recognition that the theory was based on recognized principles of physics and mechanics. Prior Existence of the Expert’s Theory The 9th Circuit added this criterion to the other Daubert criteria. It has since been accepted by, among others, the 7th Circuit and several state courts. It views with considerable suspicion a unique test developed for a specific case in anticipation of litigation. The primary objection to a unique test or method is one of bias; however, a unique test or method would also seem to fail on other Daubert grounds. Lust v. Merrell Dow Pharmaceuticals (1996) makes clear why the 9th Circuit created this test. In Lust, the expert in question was identified as a “professional” witness whose opinion might have been driven more by financial incentives than scientific truth.
Issues Specific to Accident Reconstruction Forensic engineering and accident reconstruction are susceptible to Kelly-Frye and Daubert hearings, depending on the jurisdiction. Although accident reconstruction is based on accepted physics and engineering principles, several areas of the discipline are subject to challenge (Nordberg, 2006). Often the question is adequacy of methodology. Another area of interest is the socalled “battle of the experts.” J. B. Hunt Transportation v. General Motors (2001) calls into question analysis methodology, which relies on photographic evidence. An accident reconstruction consultant offered the opinion that, in the accident in question, a sequence of impacts occurred in a specific order. He formed his opinion by analyzing photographs of the involved vehicles. The district court excluded the expert’s testimony because uncontradicted eyewitness testimony refuted the expert’s conclusions. The trial court further stated the analytical method employed by the expert lacked scientific support and thus was inadmissible under Daubert. The 8th Circuit Court affirmed the trial court’s decision. In Perret v. Nelson (1998) expert testimony concluded collision impact severity was minimal, resulting in a jury award less than sought by the plaintiff. The expert’s opinion concerning impact severity was based partly on the use of accelerometers. His opinion was admitted because use of accelerometers was determined to be accepted industry practice not only in accident reconstruction, but also in manufacturing and insurance industry crash survivability tests. Admissibility was affirmed on appeal. Shoaf v. American Way Transports (2002) discusses competing expert testimony. Disagreement between experts goes to the weight of the evidence as determined by the jury and not the admissibility of the evidence, providing that the criteria for admissibility are met. How much credence a jury might give expert testimony is for the jury to decide after the expert is qualified and his testimony is tested by cross-examination. An interesting example of rehabilitating expert testimony that was initially disallowed can be found in Smith v. BMW
40 THE FORENSIC EXAMINER Winter 2006
North America (2002). Smith’s accident-reconstruction expert’s opinion was excluded at trial because of an error in his analysis. BMW’s expert corrected the error. The 8th Circuit Court reversed Smith’s expert’s exclusion and remanded ruling that correction of his error by BMW’s expert created an issue of material fact to be resolved by the trier of fact, the jury. The disagreement between experts, once the error was corrected, went to the weight of the evidence and not its admissibility, regardless of who corrected the error. The 8th Circuit Court also stated that the trial court erred in ruling that Smith’s expert’s opinion was “logically flawed” by reminding the trial court that under Daubert the court should review methodology, not opinions or conclusions. Once properly admitted, opinions and conclusions are for the jury to evaluate. Common Misconceptions It is often said that scientific evidence and expert testimony must meet all of the Daubert criteria before they can be admitted into evidence. This misreads the Daubert decision (Nordberg, 2006). The Supreme Court stated clearly that the criteria enumerated in Daubert did not constitute a checklist. The factors can be applied as deemed appropriate by the trial judge; not all criteria need be applied, and those that are applied can be given unequal weights. For example, the Daubert opinion notes that testability is a “key” factor and that peer review and publication may not be applicable in certain circumstances. The Frye general acceptance criterion was not discarded by the Court, but general acceptance “may yet have a role to play,” indicating a role, although perhaps a lesser one. A Daubert hearing may result if one or more Daubert criteria are unfulfilled, but it will not necessarily preclude the questioned expert opinion. Admissibility is at the discretion of the trial judge who is free to apply Daubert as he or she deems appropriate. It is easy to be misled into concluding Daubert criteria should be applied to the truth of opinions advanced by experts at trial. However, the Court emphasized that Daubert criteria apply specifically to methods and theories, not opinions and conclusions. The admissibility of methods and theories are for the judge to determine in his or her role as gatekeeper. The truth of
expert opinions is for the trier of fact to determine. The difference is between admissibility of the evidence and the weight to be given to the evidence. Applying Daubert to Accident Reconstruction Reconstruction experts need to have a practical understanding of Daubert and what it requires. For example, Daubert requires that reconstruction opinions be based on known and accepted scientific and engineering principles and that methods used to form expert opinions must also be grounded in accepted principles. If a method that is used by an expert to formulate forensic opinions is not supported by scientific and engineering principles, the expert can expect to have his or her opinions challenged prior to trial, if not disallowed. Consider Hunt v. GM. The expert in Hunt used a technique that involved the analysis of photographs. His expert testimony was disallowed because his methods lacked scientific support. Reconstruction experts frequently examine photographs for evidence in forming opinions. But, if one does so, the analytical methods employed must be scientifically grounded. What this means is that there should be scientific studies that demonstrate the method to be reliable. Consider also a method frequently used by accident reconstruction experts. Some experts will visually inspect photographs of vehicle damage and, based only on such examination, will offer an opinion as to impact severity in terms of ∆v and g-forces. Opinions based on such an analysis are expected to be disallowed because there are no studies that conclude ∆v and g-forces can be determined in this manner. Such opinions can be excluded on the basis of testability, peer review, error rate, and general acceptance criteria. A somewhat different result may be obtained if a reconstruction consultant forms an opinion of impact speeds from examination of photographs, especially if he or she has a background in crash testing. If one were to apply photogrammetry to a photograph of vehicle damage, establish a damage profile, and then estimate ∆v and g-forces, such an analysis would be expected to survive a Daubert challenge. There is substantial literature on the application of conservation of energy and work/energy
methodology applied in this manner. The scientific principles and methods underlying this type of analysis have undergone extensive peer review and error rates have been discussed. The method enjoys wide acceptance in the forensic engineering community. Conclusion The purpose of this article is to illustrate how Daubert criteria apply to scientific evidence and opinion generally and to accident reconstruction specifically in federal courts and in many state courts. It is the responsibility of the expert consultant to employ proper methodology, understand his or her methods, and be prepared to support those methods before his or her testimony is admitted at trial. Of the many Daubert-related cases decided at all judicial levels since 1991, the cases discussed were chosen for purposes of illustration and are not meant to be comprehensive. Daubert on the Web (http://daubertontheweb.com) lists the four Supreme Court decisions pertaining to Daubert, over 750 Federal Circuit Court decisions, and uncounted state court decisions. Daubert on the Web also categorizes decisions by 33 separate fields of expertise. The library of court cases is large, covers many fields, and continues to expand.
References
Babitsky, S., Mangraviti, J., Jr.., & Todd, C. (2000). The comprehensive forensic services manual. Falmouth, MA: SEAK. Daubert v. Merrell Dow Pharmaceuticals, Inc., 509 U.S. 579 (1993). Foster, K., & Huber, P. (1999). Judging science. Cambridge, MA: MIT Press. Frye v. United States, 54 App. D.C. 46; 293 F. 1013 (1923). General Electric v. Joiner, 522 US 136 (1997). J. B. Hunt Transportation v. General Motors, 243 F.3d 441 (8th Cir. 2001). Kumho Tire Co. v. Carmichael, 526 US 137 (1999). Legal Information Institute. (2004). Federal rules of evidence. Retrieved January 4, 2006, from http://www.law.cornell.edu/rules/fre/ Lust v. Merrell Dow Pharmaceuticals, 89 F. 3d 594 (9th Cir. 1996). Navarro v. Fuji Heavy Industries, 925 F. Supp. 1323, 1329(N.D. Ill. 1996). Nordberg, P. (2006). The Daubert worldview. Retrieved January 3, 2006, from http:// daubertontheweb.com/Chapter_3.htm. Perret v. Nelson, 722 So. 2nd 1118 (La. App. 5 Cir. 1998).
Shoaf v. American Way Transports, No. 02-1663 (8th Cir. Sept. 23, 2002). Smith v. BMW North America, 308 F.3d 913 (8th Cir. 2002). Spatz, C. (1997). Basic statistics (6th ed.). New York: Brooks/Cole. Stanczyk v. Black and Decker, 836 F. Supp. 565 (N.D. Ill. 1993). Stalnaker v. General Motors, 934 F. Supp. 179 (D. Md. 1996). re: TMI Litigation Cases Consolidated II, 911 F. Supp. 775, 795 (M.D. Pa. 1996). Wade-Gereaux v. Whitehall Lab, 874 F. Supp 1441, 1480 (D.V.I. 1994). Waltz, J., & Clark, R. (2005). Evidence. Chicago, IL: Bar/Bri. Wheat v. Pfizer, 31 F.3d 340, 343 (5th Cir. 1994).
About the Author Peter Rast, PhD, BS, MS, MSFS, MBA, DABFE, DABLEE, specializes in forensic engineering, accident reconstruction, and causation analysis. Following careers in engineering and law enforcement, Rast now consults with and provides forensic engineering expertise to criminal and civil attorneys, casualty insurance companies, and law enforcement agencies. Rast holds a BS in engineering, an MS in forensic sciences, and a MBA and is currently pursuing a PhD. He is a Diplomate of the American Boards of Forensic Examiners and Forensic Engineering and Technology, and he currently serves as a member of the Advisory Board of the American Board of Forensic Engineering and Technology. He has extensive training and experience in specialized areas of accident reconstruction, including criminal matters involving motor vehicles, commercial vehicles, pedestrian accidents, and low-speed collisions. Rast has tested pre-release accident reconstruction and computer-based diagramming software. He lectures in accident investigation and reconstruction, is an associate criminal justice professor at Feather River College, and is licensed as a private investigator in California, Oregon, and Arizona. He is co-author of two lowspeed collision investigation manuals and several articles on various reconstruction topics. Rast has been a member of ACFEI since 1998. Earn CE Credit To earn CE credit, complete the exam for this article on page 65 or complete the exam online at www.acfei.com (select “Online CE”).
Winter 2006 THE FORENSIC EXAMINER 41
Scientific Considerations in Observing How Children Interact with Parents By Daniel J. Hynan, PhD 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. (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. (ASWB) This organization, American College of Forensic Examiners International Approval Number 1052, is approved as a provider for continuing education by the Association of Social Work Boards 400 South Ridge Parkway, Suite B, Culpeper, VA 22701. www.aswb.org. ASWB Approval Period: 9/13/2004 to 9/13/2007. Social workers should contact their regulatory board to determine course approval. Social workers will receive 1 continuing education clock hours in participating in this course.
Abstract Courts frequently rely on psychological evaluations of families in cases that include issues of child protection, divorce, abuse, and neglect. Observation of children interacting with parents is an important method in such assessments. Research findings and conceptual issues that are most relevant for such observations are reviewed here. Recommendations are made to help improve these observations to foster the best possible outcomes for children, families, and courts.
42 THE FORENSIC EXAMINER Winter 2006
Key Words: observations, children, parents, courts
Forensic evaluations of children and families are particularly complex. The evaluator needs to develop not only an understanding of the functioning of each of the family members, but also a useful grasp of the interactions between family members. For court-related cases that focus on parentchild relationships, observations of children and parents interacting with one another are frequently a valuable method of data gathering. However, evaluators may be at particular risk of making overly subjective value judgments based on such observations (O’Donohue & Bradley, 1999). A number of authorities (e.g., Melton, Petrila, Poythress, & Slobogin, 1997; Woody, 2000) have strongly recommended forensic psychological evaluators have a greater focus on empirical findings as they conduct their assessments. Similarly, Garb (1998), after comprehensively reviewing hundreds of research studies on clinical judgment in many types of mental health assessments, makes as his first recommendation that evaluators be familiar with relevant scientific findings. Perhaps as a result, in recent years there have been increased efforts to boost the scientific foundation of evaluation methods, such as interviewing children (Hynan, 1999; Poole & Lamb, 1998) and psychological testing (Bathurst, Gottfried, & Gottfried, 1997; Hynan, 2004; Pope, Butcher, & Seelen, 2000), used in court-related evaluations. However, observations of parents interacting with children is also an important method of data collection in forensic evaluations and has received relatively
“ . . . research has found that
accurate classification of parents as physically abusive versus non-abusive can be made on the basis of parent-child observations when families are assigned a moderately stressful task to complete together . . . .
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little attention in the professional literature. Also, it is important to note that professional guidelines and standards call for the use of observational methods. For example, the Guidelines for Psychological Evaluations in Child Protection Matters (American Psychological Association, 1998) recommends observing child-parent interactions. Regarding child custody evaluations, guidelines of the American Psychological Association (1994) and standards of the Association of Family and Conciliation Courts (1994) both indicate that observa-
tions should be used in such evaluations. However, those professional guidelines do not identify specific procedures for family assessment. In addition, none of those documents offer more specific recommendations as to the type, family composition, or length of observations to be made. Books on forensic evaluations vary a good deal in terms of the information and recommendations made about parent-child observations. For example, among books on custody evaluations, the most detailed recommendation about these observations is given by Schutz, Dixon, Lindenberger, and Ruther (1989). These authors suggest areas of focus for parent-child observation sessions and give practical recommendations for observational tasks, such as free play, cooperative tasks, and problem-solving discussions. In contrast, Gould (1998) states that observations should occur, but offers no further details. Regarding sexual abuse investigations, Faller (1996) has maintained that observing children together with parents who are suspected of sexually abusing them does not contribute toward the accuracy of such evaluations. Similarly, Kuenhle (1996) reported that parent-child interactions are not effective in distinguishing true from false sexual abuse allegations.
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Research and Rating Scale Comparisons There are numerous empirical studies summarized here, and it is beyond the scope of the current article to offer a detailed critique of their research methodologies. Any single research project inevitably is limited in terms of what is investigated and what conclusions can be generalized from it. All of the following studies that contrast abusive or neglectful families with normal comparison families appear to use appropriate steps to assign families to the correct groups, and some specifically identify using blind raters to examine differences between groups. It is important to note that a number of the studies arrived at similar conclusions, even though they had methodological differences. A number of surveys have been conducted that have identified the methods typically used in child and family evaluations. Studies of investigation methods used with children and parents in child abuse and neglect cases indicate that parent-child observations were used very frequently in some types of abuse and neglect assessments, and practically not at all in other types (Budd, Poindexter, Felix, & Naik-Polan, 2001; Budd, Poindexter, Felix, Naik-Polan, & Sloss, 2002). Specifically, parent-child observations were almost always used in assessments focused on bonding and/or care-giving skills. They were also used in all cases by a specialized evaluation team directed to assess parents who had a history of psychiatric hospitalization. In marked contrast, observations of parents and children together were essentially not used at all in more traditional psychological, psychiatric, and substance abuse assessments conducted by a state child protection agency or a clinic housed within the juvenile court (Budd et al., 2001; 2002). In some forensic child evaluations, it may not be relevant to observe children and parents interact because the focus of the assessment is exclusively on the child. For example, in a survey of juvenile competence evaluations, parent-child observations are not even mentioned as a procedure (Christy, Douglas, Otto, & Petrila, 2004). However, recent surveys of custody evaluators indicate that parent-child observa-
tions are routinely carried out in the overwhelming majority of cases (Ackerman & Acherman, 1997; Bow & Quinnell, 2001). A more recent survey on the assessment of sexual abuse allegations within child custody disputes reports that most evaluators observe even the alleged perpetrator parent together with the child (Bow, Quinnell, Zaroff, & Assemany, 2002). The Bow and Quinnell (2001) survey indicates that, on the average, evaluators observe parents interact with children for 1.59 hours during each assessment. That survey further states that most evaluators observe each child with each parent and also observe all the children together with each parent. Thus, the time spent with each separate type of observation is very short. More specifically, in a family of two biological parents and two children, the Bow and Quinnell results indicate there would be a total of six observation sessions, with an average of about 16 minutes per session. If there were more children or stepparents in the family, the average time for each session would be even shorter. It is crucial to note that such brief, single observation sessions are unlikely to provide a representative sample of interactions between children and parents. In a review of evaluations of parental fitness, Azar, Lauretti, and Loding (1998) recommend using multiple observation sessions in order to get an adequate sample of parent-child interactions. Although earlier research suggested that very limited samples of data could be accurate (e.g., Gelfand & Hartman, 1975), the preponderance of more recent research on family observations has found that one observation session alone is not sufficient to make reliable inferences about the general style of interactional behaviors in families (McKenzie, Klein, Epstein, & McCurley, 1993; Vuchinich, Angelelli, & Gatherum, 1996). When an adequate amount of time is devoted to observing interactions between children and parents, it affords a greater opportunity to have families engage in activities that are useful from an evaluative standpoint. Although relatively easy tasks such as unstructured free play can be useful during portions of observational sessions, assigning a more challenging activity during another portion is important. For example, research has found that accurate
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classification of parents as physically abusive versus non-abusive can be made on the basis of parent-child observations when families are assigned a moderately stressful task to complete together, whereas that distinction could not be successfully made when a very low-stress activity was assigned to families (Deitrich-MacLean & Walden, 1988). In addition to the considerations described above, it is very important to try to identify the most important categories or dimensions of interactional behaviors between children and parents. There are such huge amounts of data that can be potentially extracted from interactional behaviors that there is a risk of becoming overloaded with a mix of relevant and unimportant impressions (Epstein, Baldwin, & Bishop, 1983). Fortunately, there are a number of sources of empirical information about the dimensions of parent-child interaction that may be the most relevant and useful for forensic evaluators. One such source of data is research on behavior ratings of family interactions. A number of behavior rating systems that cover a broad range of interactions may be used effectively by evaluators. Other rating systems that focus on a more narrow range of behaviors may not be useful. One of the most well researched systems for coding behavioral interactions is the Structural Analysis of Social Behavior (Benjamin, 1996). However, it includes an extremely large number of rating dimensions and, consequently, can take a very long time to complete. These features may make it unwieldy for forensic evaluators. In contrast, other systems for rating family interactions can be used effectively by evaluators, and these identify a number of relevant interactional dimensions. For example, the Family Problem Solving Code (FAMPROS) focuses on positive and negative behaviors from one person to another (e.g., positive behavior from a child to the father) and the degree to which two participants are in a coalition against another (Forbes, Vuchinich, & Kneedler, 2001). As suggested by the name of the instrument, the focus is on family interactions as participants attempt to solve a problem together. Accordingly, a number of the ratings focus on the problem-solving process
such as how well a problem was defined and the quality of proposed solutions. The FAMPROS demonstrates good statistical reliability and has received research validation (e.g., Vuchinich et al., 1996). Similarly, the System for Coding Interactions and Family Functioning (SCIFF) is based on observed discussions of family problems or arguments (Lindahl & Malik, 1996). That instrument provides ratings for a number of relevant dimensions that pertain to the entire family (e.g., positive affect, negativity/conflict, cohesiveness). It also provides separate ratings for relevant parental behavior (e.g., emotional support, withdrawal) as well as relevant child emotional expression (e.g., sadness, oppositional/defiance). Thus, the SCIFF appears to include dimensions of interaction and emotion that are relevant for forensic evaluators. In addition, it has manifested good statistical reliability and has received empirical validation (Lindahl, 1998; Lindahl & Malik, 1999). Another important and relevant area of research has focused on the identification of minimal parental competence, including whether any abuse or neglect has taken place. For example, research that has observed parent-child interactions within abusive families has found they manifest greater negative emotionality, more difficult child behaviors, and a higher frequency of inappropriate parental responses to positive child behavior compared to nonabusive families (Cerezo, D’Ocon, & Dolz, 1996). Other research has also found that parents in abusive families, as compared to non-abusive ones, direct more negative and less positive behavior toward children (Bousha & Twentyman, 1984). In a study that identified categories of physically abusive parents, Oldershaw, Walters and Hall (1989) reported that abusers were observed to manifest higher levels of control techniques, such as disapproval and alienation, and lower levels of praise and reasoning as compared to non-abusive parents. In that study, abusive mothers manifested generally high levels of negative affect and lower levels of positive emotion. The authors of that study further maintain that abusive parents who are intrusive toward their children tend to have aggressive and disobedient children; abusive parents who were hostile tend to have
attention-seeking children; and abusive parents who are emotionally distant tend to have children who do not differ from controls in observed behaviors. Generally, similar patterns of findings have been found in research on neglectful families. That is, neglectful families have been found to manifest more negative and less positive affect than ones who were not neglectful (Gaudin, Polansky, Kilpatrick, & Shilton, 1996). That study also found that neglectful families, as compared to normal ones, manifested less verbal expression, more disorganization, and greater chaos. There appears to be less research on neglectful families than abusive ones, perhaps in part because there is some overlap between the groups. For example, Gaudin et al. reported that 28% of their neglect sample had also carried out abuse. It is also worthwhile for forensic family evaluators to consider research that pertains to parent-child interactions when a child manifests a behavior problem. For example, the frequencies of positive and aversive actions by a parent or a child are correlated with global measures of child and family adjustment, and they can discriminate normal children from those referred to a clinic for treatment (Patterson, 1982). In other research, observations of parent-child problem-solving discussions found that families with conduct-disordered children displayed worse problemsolving skills and more anger than comparison groups (Sanders, Dadds, Johnson, & Cash, 1992). The research described above also indicates that it is crucial to include a focus on positive aspects of parent-child interactions that occur in observation sessions. Relevant and adaptive behaviors by parents include the use of positive reinforcement, informal education, age-appropriate language, and reasonable reciprocity in interactions with children. Effective parents also tend to maintain more appropriate stimulation for children, show sensitivity to signs of child distress, and use reasonable explanations when setting limits (Azar et al., 1998). It is always crucial to recognize the limitations of any single study or area of research. Important considerations in that regard are that there is no complete model of parental competence (Azar et al., 1998) and that behavioral features of some abu-
sive and neglectful families do not necessarily statistically predict whether a parent might actually engage in abuse or neglect.
Implications for Practice Evaluators can build a solid foundation for their conclusions and recommendations by relying substantially on the research evidence and professional literature described above. There are a number of ways in which evaluators can put such information to practical use. As discussed above, the clear identification of behavioral dimensions that are most relevant for interactions between children and parents can help make each evaluation appropriately focused. In those cases in which more than one set of behavioral observations is likely to occur, such as in custody evaluations, it is extremely important to consistently use the same behavioral rating dimensions for each parent and child combination so as to decrease the risk of bias in forensic judgment (Williams, 1992). The adaptation of such reasonably well-validated instruments such as the SCIFF (Lindahl & Malik, 1996) and the FAMPROS (Forbes, et al., 2001) for forensic use may help to meet these objectives. Hynan (2003) has adapted elements of those instruments for use in custody evaluations. In order to have an adequate scientific basis for drawing conclusions of parentchild interactions, it is necessary to observe an adequately representative sample. That sample should include adequate time and a number of different activities in which children and parents would engage together. The Bow and Quinnell (2001) survey data, described earlier, strongly suggest that custody evaluators, on the average, do not observe parents interacting with children for enough time to draw reasonable conclusions. In contrast, Schutz et al. (1989) recommended a very extensive set of observation sessions. Specifically, if a family had only two parents and two children, they recommended 10 observation sessions. It is unknown whether the time and expense of that relatively large number of sessions is necessary. In many cases, it may be most productive to observe each parent separately, together with all the children at once. Overall, research data suggest that, for each combination of parents and children, two
Winter 2006 THE FORENSIC EXAMINER 45
sessions of 45–60 minutes each may be necessary in order to obtain an adequate sample of interactional behaviors. Within those sessions, evaluators would do well to assign a number of different tasks. Relatively unstructured free play is often an excellent way of acclimating the family to the observation sessions, and it can thus help to reduce nervousness and apprehension in the participants. At the same time, unstructured free play often provides the evaluator with useful data. However, even more useful observational data are likely to emerge when families are assigned tasks that include a moderate level of stress. As described in the prior section, family problem-solving discussions have frequently been found to be an appropriate task for observational sessions. It would likely be unethical, however, to require families to carry out tasks that include a very high level of stress. There is no research evidence that sheds light on whether home-visit observations are a more valid method than those carried out in the office setting. In a survey of child protection cases, home visits were carried out in less than 10% of cases in almost all categories of evaluations (Budd et al., 2001, 2002). The exception was that home visits were carried out in the vast majority of cases by a specialized assessment team focused on the parents who had experienced psychiatric hospitalizations. Home visits are used by about one third of custody evaluators (Bow & Quinnell, 2001). In the other custody evaluation literature, Schutz et al. (1989) and Woody (2000) recommend routinely making home visits, whereas Stahl (1994) points out that they are often logistically difficult to carry out and costly. Evaluators should consider weighing the potential benefits of a home visit with the cost on a case-by-case basis. It is reasonable to try to determine in advance whether a home visit is likely to add unique information to the overall evaluation beyond that which could be obtained through less costly office visits. The extra time and expense of home visits may be justified if issues are raised about the safety or other aspects of the physical home environment of a parent (Hynan, 2002). If a home visit is carried out at the residence of one parent, it should occur for both unless there are compelling reasons to proceed otherwise.
In some cases, it may be possible to obtain adequate information about the physical condition of the home by having each parent submit a complete set of photographs or videotapes of all the relevant areas, accompanied by clear information about what is specifically portrayed. Such procedures may be less costly than a home visit, and the office setting can then be used to carry out parent-child observation sessions. Forensic family evaluators are sometimes faced with extremely challenging cases in which one parent maintains that the other is abusive and/or neglectful, and the accused parent asserts that the accuser is working to alienate the children from him or her. Evaluators sometimes look for parent-child interactions that might help to distinguish when abuse or neglect has actually occurred from cases that involve false allegations. It is crucial for evaluators to keep a number of factors in mind when deliberating about such difficult matters. Although many evaluators agree that parental alienation can take place, there are controversies about how to conceptualize it (Kelly & Johnston, 2001), including whether it constitutes a sufficiently discrete pattern of behaviors that would allow it to be accurately described as a syndrome. Lee and Olesen (2001) have written about evaluating alienation in child custody cases, though their recommendations about parent-child interactions are understandably quite general. In addition, there is no solid empirical evidence that there is a set pattern of parent-child interaction associated with parental alienation. In cases in which alienation does exist, it is important to keep in mind that there is a range of alienation severity from mild to severe. Also, parents vary in the extent to which they are psychologically sophisticated and how cautious they are about revealing their true attitudes in front of an evaluator. Therefore, potentially alienating parents who are relatively unsophisticated might make very negative statements about the other parent during sessions with the children. However, alienating parents who are more cautious may make no comments at all about the other parent while with the children. A highly-alienated child may act in a demeaning manner toward the rejected parent, but one who is only modestly
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alienated may interact with the parent in a more reasonable way. Kelly and Johnston (2001) point out that children younger than age 7 or 8 seldom show consistently alienated behaviors toward a parent due to cognitive developmental factors. It is crucial for evaluators to consider all parent-child observations within the content of other evidence such as whether a parent actually has engaged in abusive, neglectful, or demeaning actions toward a child. Thus, evaluators often need to use parent-child observations as an important part of comprehensive forensic assessments, both to follow recommendations of professional associations and to make practical use of the supporting research data that can contribute to highly competent assessments. Evaluators must integrate such data with information from other sources such as interviews, testing, and collateral sources. It is extremely important that the best possible methods indicated by research and professional practice be put into use. For example, as reported by Kirkland and Kirkland (2001), child custody evaluations are at high risk of license board complaints and related legal actions, and the use of scientifically based methods may afford practitioners a degree of protection in such matters. The importance of using the best available methodology is highlighted by evidence that a large proportion of final child custody decisions are very close to, or the same as, evaluator recommendations (Horvath, Logan, & Walker, 2002; Hynan, 2003). Even though such recommendations may be heavily relied on, it is crucial for evaluators to be cognizant of the limits of their professional expertise, even when making good use of the research and conceptual factors described here. Reliance on reliable and valid methods will not solve all of the challenges of highly complex family forensic evaluations, but it increases the likelihood of accurate, helpful recommendations for children and families. Clearly, courts prefer expert recommendations that have the most solid possible scientific, professional, and ethical foundation.
References Ackerman, M. J., & Ackerman, M. C. (1997). Custody evaluation practices: A survey of experienced professionals (revisited). Professional Psychology: Research and Practice, 28, 137–145.
American Psychological Association. (1994). Guidelines for child custody evaluations in divorce proceedings. American Psychologist, 49, 677–680. American Psychological Association. (1998). Guidelines for psychological evaluations in child protection matters. Washington, DC: Author. Association of Family and Conciliation Courts. (1994). Model standards of practice for child custody evaluations. Family and Conciliation Courts Review, 32, 504–513. Azar, S. T., Lauretti, A. F., & Loding, B. V. (1998). The evaluation of parental fitness and termination of parental rights cases: A functional-contextual perspective. Clinical Child and Family Psychology Review, 1, 77–100. Bathurst, K., Gottfried, A. W., & Gottfried, A. E. (1997). Normative data for the MMPI-2 in child custody litigation. Psychological Assessment, 9, 205– 211. Benjamin, L. S. (1996). Introduction to the special section on structured analysis of social behavior (SASB). Journal of Consulting and Clinical Psychology, 64, 1203–1212. Bousha, D., & Twentyman, C. T. (1984). Abusing, neglectful, and comparison mother-child interactional style: Naturalistic observations in the home setting. Journal of Abnormal Psychology, 93, 106–114. Bow, J. N., & Quinnell, F. A. (2001). Psychologists’ current practices and procedures in child custody evaluations: Five years after American Psychological Association guidelines. Professional Psychology: Research and Practice, 32, 261–268. Bow, J. N., Quinnell, F. A., Zaroff, M., & Assemany, A. (2002). Assessment of sexual abuse allegations in child custody cases. Professional Psychology: Research and Practice, 33, 566–575. Budd, K. S., Poindexter, J. M., Felix, E. D., & Naik-Polan, A. T. (2001). Clinical assessment of parents in child protection cases: An empirical analysis. Law and Human Behavior, 25, 93–108. Budd, K. S., Poindexter, J. M., Felix, E. D., NaikPolan, A. T., & Sloss, C. F. (2002). Clinical assessment of children in child protection cases: An empirical analysis. Professional Psychology: Research and Practice, 33, 3–12. Cerezo, M. A., D’Ocon, A., & Dolz, L. (1996). Mother-child interactive patterns in abusive families versus nonabusive families: An observational study. Child Abuse and Neglect, 20, 573–587. Christy, A., Douglas, K. S., Otto, R. K., & Petrila, J. (2004). Juveniles evaluated incompetent to proceed: Characteristics and quality of mental health professionals’ evaluations. Professional Psychology: Research and Practice, 35, 380–388. Deitrich-MacLean, G., & Walden, T. (1998). Distinguishing teaching interactions of physically abusive from nonabusive parent-child dyads. Child Abuse and Neglect, 12, 469–479. Epstein, N. B., Baldwin, L. M., & Bishop, D. S. (1983). The McMaster family assessment device. Journal of Marital and Family Therapy, 9, 171–180. Faller, K. C. (1996). Evaluating children suspected of having been abused. Thousand Oaks, CA: Sage. Forbes, C., Vuchinich, S., & Kneedler, B. (2001). Assessing families with the family problem solving code. In P. K. Kerig & K. M. Lindahl (Eds.), Family observational coding systems, (pp. 59–76). Mahwah, NJ: Lawrence Erlbaum Associates.
Garb, H. N. (1998). Studying the clinician: Judgment research and psychological assessment. Washington, DC: American Psychological Association. Gaudin, J. M., Polansky, N. A., Kilpatrick, A. C., & Shilton, P. (1996). Family functioning in neglectful families. Child Abuse and Neglect, 20, 363–377. Gelfand, D., & Hartmann, D. (1975). Child behavior analysis and therapy. New York: Pergamon Press. Gould, J. W. (1998). Conducting scientifically crafted custody evaluations. Thousand Oaks, CA: Sage. Horvath, L. S., Logan, T. K., & Walker, R. (2002). Child custody cases: A content analysis of evaluations in practice. Professional Psychology: Research and Practice, 33, 557–565. Hynan, D. J. (1999, March/April). Forensic psychological interviews with children. The Forensic Examiner, 3(2), 25–28. Hynan, D. J. (2002). Child health and safety factors in custody evaluations. Journal of Forensic Psychology Practice, 2, 73–80. Hynan, D. J. (2003). Forensic child evaluation. In L. VandeCreek & T. L. Jackson (Eds.), Innovations in clinical practice: Focus on children and adolescents, (pp. 63–81). Sarasota, FL: Professional Resource Press. Hynan, D. J. (2004). Unsupported gender differences on some personality disorder scales of the Millon Clinical Multiaxial Inventory-III. Professional Psychology: Research and Practice, 35, 105–110. Kelly, J. B. & Johnston, J. R. (2001). The alienated child: A reformulation of parental alienation syndrome. Family Court Review, 39, 249–266. Kirkland, K. & Kirkland, K. L. (2001). Frequency of child custody evaluation complaints and related disciplinary action: A survey of the association of state and provincial psychology boards. Professional Psychology: Research and Practice, 32, 174. Kuenhle, K. (1996). Assessing allegations of child sexual abuse. Sarasota, FL: Professional Resources Press. Lee, S. M., & Olesen, N. W. (2001). Assessing for alienation in child custody and access evaluations. Family Court Review, 39, 282–298. Lindahl, K. M. (1998). Family process variables in children’s disruptive behavior problems. Journal of Family Psychology, 12, 420–436. Lindahl, K. M., & Malik, N. M. (1996). System for coding interactions and family functioning (SCIFF). Unpublished manuscript. University of Miami, Miami, FL. Lindahl, K. M., & Malik, N. M. (1999). Marital conflict, family processes, and boys’ externalizing behavior in Hispanic American and European American families. Journal of Clinical Child Psychology, 28, 12–24 McKenzie, S. J., Klein, K. R., Epstein, L. H., & McCurley, J. (1993). Effects of setting and number of observations on generalizability of parent-child interactions in childhood obesity treatment. Journal of Psychopathology and Behavioral Assessment, 15, 129–139. Melton, G. R., Petrila, J., Poythress, N. G., & Slobogin, C. (1997). Psychological evaluation for the courts: A handbook for mental health professionals and lawyers. (2nd. ed.). New York: Guildford Press. O’Donohue, W., & Bradley, A. R. (1999). Conceptual and empirical issues in child custody evaluations. Clinical Psychology: Science and Practice, 6, 310–322.
Oldershaw, L., Walters, G. C., & Hall, D. K. (1989). A behavioral approach to the classification of different types of physically abusive mothers. MerrillPalmer Quarterly, 35, 255–279. Patterson, G. R. (1982). Coercive family process. Eugene, OR: Castalia Press. Poole, D. A., & Lamb, M. E. (1998). Investigative interviews of children. Washington, DC: American Psychological Association. Pope, K. S., Butcher, J. N., & Seelen, J. (2000). The MMPI, MMPI-2, and MMPI-A in court: A practical guide for expert witnesses and attorneys (2nd. ed.). Washington, DC: American Psychological Association. Sanders, M. R., Dadds, M. R., Johnson, B., & Cash, R. (1992). Child depression and conduct disorder I: Behavioral, affective and cognitive aspects of family problem solving interactions. Journal of Abnormal Psychology, 101, 495–504. Schutz, B. M., Dixon, E. B., Lindenberger, J. C., & Ruther, N. J. (1989). Solomon’s sword: A practical guide to conducting child custody evaluations. San Francisco: Jossey-Bass. Stahl, P. M. (1994). Conducting child custody evaluations: A comprehensive guide. Thousand Oaks, CA: Sage. Vuchinich, S., Angelelli, J., & Gatherum, A. (1996). Context and development in family problem solving with preadolescent children. Child Development, 67, 1276–1288. Williams, A. D. (1992). Bias and debiasing techniques in forensic psychology. American Journal of Forensic Psychology, 10, 19–26. Woody, R. H. (2000). Child custody: Practice standards, ethical issues, and legal safeguards for mental health professionals. Sarasota, FL: Professional Resources Press.
About the Author Daniel J. Hynan, DABFE, FACFEI, received his PhD in clinical psychology from Northern Illinois University in 1982. He has written a number of journal articles on forensic family evaluation and mediation. For a number of years he has served on the DuPage County (Illinois) Conciliation Program Advisory Board and the Mediation and Evaluation Program Oversight Committee. He works in a private practice in Naperville and Bloomingdale, Illinois, with a specialty in working with children and families of divorce. Dr. Hynan has been a member of ACFEI since 1996.
Earn CE Credit To earn CE credit, complete the exam for this article on page 66 or complete the exam online at www.acfei.com (select “Online CE”).
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Although it is a problem as old as human society, stalking has only been deemed a crime since 1990 when California enacted the nation’s first anti-stalking law. Since then, all states, the District of Columbia, and the federal government have passed laws defining and prohibiting stalking (Miller, 2001).
By Bruce Gross, PhD, JD, MBA, FACFEI, DABFE, DABPS, DABFM, DAPA
Delimiting Stalking While the legal definition of stalking varies on certain dimensions between jurisdictions, virtually all require a pattern or course of conduct (i.e., twice or more) by the alleged perpetrator of repeated and unwanted contact with the alleged victim. Such contact may include any or all of the following behaviors: • Communication by phone, mail, or email. • Sending, leaving, or giving gifts. • Direct or indirect threats of harm to the person, property, pets, and/or loved ones of the targeted individual. • Following or hiring someone to follow the targeted person. • Tracking the targeted individual by use of a global positioning system or similar technology. • Voyeurism (including the installation of video- and/or audio-recording devices in the target’s home without his or her knowledge or permission).
• Obtaining personal information about the target (through discarded trash; family, friends, neighbors, and/or co-workers; private investigators; public records; Internet searches; etc.). • Lying in wait. All stalking behavior can be classified based on the purpose of the given behavior, be it surveillance, pursuance, intrusion, control, harassment, intimidation, threats, or violence (Miller, 2001). Most legal definitions of stalking include the intent of the alleged perpetrator (i.e., willful and malicious) as well as the subjective experience of fear on the part of the alleged victim. That is, stalking is a victimdefined crime rather than one that relies on the opinions of observers or the “reasonable man” standard. A pattern of unwanted behavior reaches the threshold of stalking if and when those behaviors evoke fear in the alleged victim, which need not occur contemporaneously (People v. Ewing, 1999).
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Techno-Stalking While few state stalking laws specifically address technological forms of surveillance, many do include specific prohibitions against the use of electronic means of communication. To counter the often elusive nature of stalking, some states attempt to list all possible forms of “technostalking,” a near impossible task given the exponential growth in all technologies. With the pervasive presence of computers and Internet use (to include eTherapy), cyberstalking has been specifically recognized in virtually all jurisdictions. In it’s simplest form, the Internet can be used to search out a range of personal information about the intended victim. On a more insidious level, by using the victim’s Internet protocol address (which is included in all directly sent and indirectly forwarded emails), stalkers can easily access the victim’s computer in order to remotely install spyware. Legal in all states, spyware was originally designed for parents to monitor their children’s use of the Internet. Cyberstalkers apply such programs illegally; that is, to covertly record all websites visited by the victim and to read all emails the victim sends and receives. In addition, spyware records every keystroke made on the victim’s computer (both onand offline), which is then sent directly to the cyberstalker’s computer. Perhaps most
intrusive of all, spyware allows the cyberstalker access to every file on the victim’s computer and searches for all passwords. Many spyware programs now have a reinstall feature where should the victim discover and delete the spyware, it automatically reinstalls itself when deleted.
Tracking the Crime Given the comparative recency of national stalking laws, data regarding the crime of stalking (i.e., reports, arrests, convictions, demographics of victim and offender, etc.) have only been collected by law enforcement officials since the late 1990s (Fox, 1999). The first national study of stalking was co-sponsored by the National Institute of Justice and the Centers for Disease Control and Prevention (Tjaden & Thoennes, 1998). Conducted by the Center for Policy Research between late 1995 and mid-1996, the study revealed that 1 out of every 12 women and 1 out of every 45 men will be stalked during their lifetimes, representing over 1 million women and over 370 thousand men stalked annually. Several typologies of stalkers have been developed over the years (Del Ben & Fremouw, 2002; Harmon, 1995; Mohandie, Meloy, & McGowan, 2006; Mullen, Pathe, Purcell, & Stuart, 1999; Wright, Burgess, Laszlo, McCrary, & Douglas, 1996; Zona, Sharma, & Lane, 1993). One of the earli-
“ . . . spyware records every keystroke made on
the victim’s computer, which is then sent directly to the cyperstalker’s computer. Perhaps the most intrusive of all, spyware allows the cyberstalker access to every file on the victim’s computer and searches for all passwords.
”
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est classification schemas was developed by Zona, Sharma, and Lane. The researchers identified three types of stalkers: simple obsessional, love obsessional, and erotomanic. The category of simple obsessional (the largest of the three subtypes) represents the stalkers who knew their victims, were motivated by anger or revenge, and were most likely to become physically violent. This group was characterized by the presence of attachment disorders and the near absence of antisocial personality disorders. The second largest subtype, love obsessional, tended to stalk strangers with whom they were obsessed. The final and smallest of the subtypes, erotomanic, also stalked strangers but were motivated by the erroneous and even delusional belief that the victims were in love with them. Erotomanic stalkers are typically female, apt to stalk public figures, and the least likely to make threats or behave violently. Mullen, Pathe, Purcell, and Stuart (2000) devised a multi-axial typology of stalkers based on an analysis of psychiatric diagnoses, underlying motivations (either love or anger/revenge), and the nature of the pre-existing relationship with the victim (i.e., current or former intimate partner, acquaintance, neighbor, co-worker/ associate, or stranger). In addition, the researchers considered contextual and background variables associated with stalking
such as substance abuse, ongoing divorce and/or custody dispute, history of domestic violence and/or other criminality, escalation of stalking behaviors (in number and type), and boundary probing. The resulting typologies include rejected stalkers, who seek reconciliation and/or revenge; intimacy-seekers, who are driven by loneliness; incompetent stalkers, who are inept at or unable to form intimate relationships and hope to win their victims’ love and affection; resentful stalkers, who respond to perceived insult or humiliation; and predatory stalkers, who seek control and are focused on the goal of assault (either physical or sexual). According to Mullen et al. (2000), the rejected and intimacy-seeking subtypes each represent 1/3 of all stalkers. Rejected stalkers are predominantly male, engage in many types of stalking behaviors, and are the most intrusive and persistent of all subtypes. Delusional disorders are most common among intimacy-seekers who, like the rejected subtype, are long-term stalkers (i.e., stalking a victim for more than one year). In contrast, stalking committed by those classified as incompetent (15% of all stalkers) tends to be comparatively simple, creates more annoyance than fear in the victim, is the most short-term of all subtypes, often transitions from one victim directly to another, and seldom results in criminal prosecution. Incompetent stalkers are the least likely of all subtypes to have criminal records or to abuse drugs. In contrast, predators are most likely to have criminal records and, given the violence inherent in this subtype, require immediate arrest and prosecution. One of the most recently developed classification systems is that of Mohandie et al. (2006). Their relationship and context-based (RECON) typology places stalkers in one of four categories: intimate, acquaintance, public figure, and private stranger. Independent of type, Mohandie et al. discovered that 2/3 of stalkers engage in at least one unwanted and fear-evoking behavior per week (a notable number do so on a daily basis), and 78% use more than one method of stalking or approach to their victim. As stalking is characterized by varying degrees of obsession, recidivism is a central
issue in the understanding and prevention of stalking. Mohandie et al. (2006) found that approximately 1/3 of their subjects had stalked more than one victim. Forty-nine percent of Rosenfeld’s (2003) subjects re-offended during the study’s follow-up period (2.5–13 years), with 80% of those doing so during the first year. Both substance abuse and personality (especially Cluster B) disorders were identified as predictors of recidivism, with co-morbidity the strongest of all (Rosenfeld). These findings are especially significant as the largest subtype of stalkers is characterized by personality disorders, including difficulties with attachment (Zona et al., 1993). Of note, recidivism was negatively associated with the presence of delusional disorders (Rosenfeld).
The Influence of Gender, Sex, and Intimacy According to a study by Tjaden & Thoennes (1998), overall, males represented just under 90% of stalkers and slightly over 20% of victims. Approximately 65% of the male victims knew their stalker and of those, 30% were stalked by a current or prior intimate partner. According to research by Mullen et al. (2000), most male victims are apt to be stalked by another male. The same study showed that females represented just under 80% of stalking victims (Tjaden & Thoennes, 1998). Approximately 80% of female victims knew their stalker and of those, 59% were stalked by a current or prior intimate partner. Of those women stalked by an intimate partner, 81% were physically assaulted while 31% were both physically and sexually assaulted. According to Jiwani, Kachuk, and Moore (1998), women living in rural communities are especially vulnerable due to the inherent difficulty in avoiding and hiding from stalkers. In comparing stalking committed by males versus females, Purcell, Pathe, and Mullen (2001) found no difference in the duration of stalking. Males were more apt to present with a history of substance abuse and criminal behavior than were females. While males were more likely to stalk strangers than were females, females were more likely to engage in same-sex stalking than males. As compared to males, females were more apt to stalk current or former
therapists. Where females stalked in pursuit of intimacy, males presented with more varied underlying drives and motivations. Similarly, Meloy and Boyd (2003) found that female stalkers were driven by the desire to establish intimacy with their target, where men generally sought to restore an intimate relationship. The significant number of men and women who are stalked by a current or former spouse or partner points to a clear overlap between stalking and domestic violence. In fact, separation between intimates has been identified as a trigger of stalking behavior (Morrison, 2001), and several studies have shown a strong connection between former sexual intimacy and violent stalking behaviors (Farnham, James, & Cantrell, 2000; James & Farnham, 2003; Meloy, 2000; Mohandie et al., 2006). While substance abuse, criminal history, and prior sexual intimacy are all associated with stalking violence, for both genders, prior sexual intimacy is the most significant predictor. As might be expected, researchers have found that stalking is not only a significant risk factor for domestic violence, but also for murder; in particular, for female victims who had a prior physically abusive relationship with their stalker (McFarlane, Campbell, & Watson, 2002; McFarlane, Campbell, & Watson, 1999; McFarlane, Willson, Malecha, & Lemmey, 2000; Tjaden & Thoennes, 2001). In cases in which an attempt was made on a woman’s life, in the year preceding the attempt, a reported 85% were stalked, 71% were in a violent relationship, and 68% experienced both. Of all murdered women, 76% were stalked, 67% were in a violent relationship, and 89% experienced both stalking and domestic violence. Of note, 54% of female murder victims and 46% of female victims of attempted murder had reported the stalking to the police. In comparing violent and non-violent stalkers, Schwartz-Watts and Morgan (1998) found no significant differences on the variables of education, substance abuse, organicity, and Axis I diagnoses. They did, however, find a significant relationship between the two groups on the dimension of prior relationship. Non-violent stalkers were more likely to have only a casual as-
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sociation with the victim, where violent stalkers were more likely to have had an intimate relationship. A negative relationship has been repeatedly found between violent stalking and psychosis (Farnham, James, & Cantrall, 2000; Kienlen, Birmingham, Solberg, O’Regan, & Meloy 1997; SchwartzWatts & Morgan). Psychotic stalkers, who are more apt to stalk strangers than are non-psychotic stalkers, make significantly fewer threats of violence and less frequently behave violently than do non-psychotic stalkers (Farmham et al.; Kienlen et al.). Overall, the frequency rate of violent stalking behavior ranges from 21% to 76%, with the violence including an array of behaviors, from the commonplace (e.g., pushing or slapping) to the extreme (e.g., murder by fire with gasoline and acid as accelerants) (Meloy, 2002). In looking at female stalkers, Meloy and Boyd (2003) found a 25% frequency rate of violence. Across all stalking cases, 1 in 5 includes the use of weapons for the purpose of threatening or actually harming the victim (Mohandie et al., 2006). Close geographic proximity between stalker and victim has been associated with increased property damage and physical assault (Palarea, Zona, Lane, & Langhinrichsen-Rohling, 1999).
The Haunting Effects of Stalking The negative effects of stalking can be pervasive and long-term for the victims (Dressing, Kuehner, & Gass, 2005; Purcell et al., 2002; Sheridan, Blaauw, & Davies, 2003; Spitzberg, 2002; Tjaden & Thoennes, 1998; Pathe & Mullen, 1997). Rates of depression range from 56% (Spitzberg) to 83% (Pathe & Mullen, 1997), with similar rates reported for anxiety. Pathe and Mullen found that nearly 40% of victims met the diagnostic criteria for post-traumatic stress disorder and that another almost 20% manifested features of the disorder without meeting the criterion pertaining to physical harm. Frequently reported symptoms (not meeting the criteria of a diagnosable disorder) included sleep disturbances (41%), substance abuse, suicidality (25%), irritation, agitation (56%), nervousness, conflicted/lost current romantic relationship and/or friendships, and impaired academic/occupational performance (Dressing, Kuehner, & Gass, 2005; Sheridan et 52 THE FORENSIC EXAMINER Winter 2006
al.; Abrams & Robinson, 2002; Purcell et al.; Spitzberg; Pathe & Mullen). In response to the psychological consequences of being stalked, 30% of female and 20% of male victims pursued psychotherapy (Tjaden & Thoennes, 1998). Approximately 75% of stalking victims reported one or more changes in their lifestyle as a direct result of the stalking (Dressing et al., 2005). Such changes included obtaining new employment, relocating, curtailing social activities, legal name changes, buying new or different cars, changing their appearances, and changing their phone numbers. In response to chronic fear for their personal safety, stalking victims were more likely than non-victims to carry something with which to defend themselves (Tjaden & Thoennes, 1998). Approximately 25% of female victims and 10% of male victims get restraining orders against their stalkers (Tjaden & Thoennes 1998). In a meta-analysis of 32 studies of stalking and restraining orders, Spitzberg (2002) found that for those victims who obtained restraining orders, 40% of the time it was violated. Of note, 21% of victims who were granted restraining orders described the stalking as subsequently escalating. Tjaden and Thoennes (1998) found that Native Alaskan and Native American women were the most likely of all racial and ethnic minorities to report being stalked. Contact with the police was initiated in approximately 53% of stalking cases, typically by the victim (82%) (Tjaden & Thoennes, 2000). However, in only 68% of the cases did the police actually file the report and, of those, slightly less than 25% resulted in an arrest. In both Europe and America, approximately 12% of filed cases were actually prosecuted and, of those (Dressing et al., 2005; Tjaden & Thoennes, 1998), 54% were convicted. Of those convicted, 63% were sentenced to jail or prison. These findings are especially significant given that, as noted above, 54% of female murder victims reported stalking to the police.
References Abrams, K. M., & Robinson, G. E. (2002). Occupational effects of stalking. Canadian Journal of Psychiatry, 47, 468–472. Del Ben, K., & Fremouw, W. (2002). Stalking:
Developing an empirical typology to classify stalkers. Journal of Forensic Science, 47(1), 152– 158. Dressing, H., Kuehner, C., & Gass, P. (2005). Lifetime prevalence and impact of stalking in a European population: Epidemiological data from a middle-sized German city. British Journal of Psychiatry, 187(2), 168–172. Farnham, F. R., James, D. V., & Cantrell, P. (2000). Association between violence, psychosis, and relationship to victim in stalkers. Lancet, 355(9199), 199. Fox, J. A. (1999). Nature and distribution of known offenses. In Sourcebook of Criminal Justice Statistics (25th ed.). Washington DC: Department of Justice, Office of Justice Programs, Bureau of Justice Statistics. Harmon, R. B., Rosner, R., & Owens, H. (1995). Obsessional harassment and erotomania in a criminal court population. Journal of Forensic Science, 40(2),188–196. James, D. V., & Farnham, F. R. (2003). Stalking and serious violence. Journal of American Academy of Psychiatry Law, 31(4), 432–439. Jiwani, Y., Kachuk, P., & Moore, S. (1998). Rural women and violence: A study of two communities in British Columbia. Retrieved from http:// www.harbour.sfu.ca/freda/articles/rural01.htm Kienlen, K. K., Birmingham, D. L., Solberg, K. B., O’Regan, J. T., & Meloy, J. R. (1997). A comparative study of psychotic and non-psychotic stalking. Journal of American Academy of Psychiatry Law, 25(3), 317–334. McFarlane, J. M., Campbell, J. C., & Watson, K. (2002). Intimate partner stalking and femicide: Urgent implications for women’s safety. Behavioral Science Law, 20(1–2), 51–68. McFarlane, J. M., Campbell, J. C., Wilt, S., Sachs, C. J., Ulrich, Y., & Xu, X. (1999). Stalking and intimate partner femicide. Homicide Studies, 3(4), 300–316. McFarlane, J. M., Willson, P., Malecha, A., & Lemmey, D. (2000). Intimate partner violence: A gender comparison. Journal of Interpersonal Violence, 15(2), 158–169. Meloy, J. R. (2000). Violence risk and assessment: A practical guide for mental health and criminal justice professionals. San Diego, CA: Specialized Training Services, Inc. Meloy, J. R. (2002). Stalking and violence. In J. Boon & L. Sheridan (Eds.), Stalking and psychosexual obsession: Psychological perspectives for prevention, policing, and treatment. West Sussex, UK: John Wiley & Sons, Ltd. Meloy, J. R., & Boyd, C. (2003). Female stalkers and their victims. Journal of American Academy Psychiatry Law, 31(2), 211–219. Miller, N. (2001). Stalking laws and implementation practices: A national review for policymakers and practitioners. Alexandria, VA: Institute for Law & Justice. Mohandie, K., Meloy, J. R., McGowan, M. G., & Williams, J. (2006). The RECON typology of stalking: Reliability and validity based upon a
large sample of North American stalkers. Journal of Forensic Science, 51(1),147–155. Morrison, K. (2001). Predicting violent behavior in stalkers: A preliminary investigation of Canadian cases in criminal harassment. Journal of Forensic Science, 46(6), 1403–1410. Mullen, P. E., Pathe, M., Purcell, R., & Stuart, G. W. (1999). A study of stalkers. American Journal of Psychiatry, 156(8), 1244–1249. Mullen, P. E., Pathe, M., Purcell, R. & Stuart, G. W. (2000). Stalkers and their victims. Cambridge: Cambridge University Press. Palarea, R. E., Zona, M. A., Lane, J. C., & Langhinrichsen-Rohling, J. (1999). The dangerous nature of intimate relationship stalking: Threats, violence, and associated risk factors. Behavioral Science and Law, 17(3): 269–283. Pathe, M., & Mullen, P. E. (1997). The impact of stalkers on their victims. British Journal of Psychiatry, 170(1), 12–17. People v Ewing, 90 Cal. Rptr.2d 177 (Cal. Ct. App. 1999). Purcell, R., Pathe, M., & Mullen, P. (2001). A study of women who stalk. American Journal of Psychiatry, 158(12), 2056–2060. Rosenfeld, B. (2003). Recidivism in stalking and obsessional harassment. Law and Human Behavior, 27(3), 251–265. Sheridan, L. P., Blaauw, E., & Davies, G. M. (2003). Stalking knowns and unknowns. Trauma, Violence, and Abuse, 4(2), 148–162. Schwartz-Watts, D. M., and Morgan, D. W. (1998). Violent versus nonviolent stalkers. Journal of American Academy of Psychiatry and the Law, 26, 241–245. Spitzberg, B. H. (2002). The tactical topography of stalking victimization and management. Trauma, Violence, and Abuse, 3(4), 261–288. Tjaden, P., & Thoennes, N. (1998). Stalking in America: Findings from the National Violence Against Women Survey. Washington, DC: US Department of Justice, National Institute of Justice. Tjaden, P., & Thoennes, N. (2000). The role of stalking in domestic violence crime reports generated by the Colorado Springs Police Department, 1998. Violence and Victims, 15(4), 427–441. Tjaden, P. & Thoennes, N. (2001). Stalking: Its role in serious domestic cases. Denver, CO: Center for Policy Research. Wright, J. A., Burgess, A. G., Laszlo, A. T., McCrary, G. O., & Douglas. J. E. (1996). A typology of interpersonal stalking. Journal of Interpersonal Violence, 11(4), 487–502. Zona, M. A., Sharma, K. K., & Lane, J. C. (1993). A comparative study of erotomanic and obsessional subjects in a forensic sample. Journal of Forensic Science, 38(4), 894–903.
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The Deceptive Deeds of Famous Secret Agents
By Megan Augustine
Spies are the craftiest and often the most dangerous of all criminals. Trained to deceive national governments, the crimes they commit against entire countries can put the lives of millions at risk. Forensic techniques are in place today to help prevent the damage caused by acts of espionage, but it used to be much more difficult to track and catch spies. The following three profiles of famous historical spies reveal the harm spies can cause governments and how beneficial forensic advancements are.
Pictured here is Mata Hari, the Dutch spy who was found guilty of espionage and treason
Sidney Reilly Reilly. Sidney Reilly. Often considered the greatest British spy of all times and called the “Ace of Spies,” Reilly is suspected of being the motivation behind Bond, James Bond. A captivating, ingenious man who spoke seven languages, Reilly was a master of deception and disguise employed by the British Secret Intelligence Service. Several alternative theories as to Reilly’s birthplace and origins exist. Some argue the dates and locations were changed to protect his real identity while others believe Reilly fabricated bits of his life to make his character more appealing. The most common story is as follows: Sigmund Georgievich Rosenblum was born on March 24, 1874, in Odessa, Russia. Born the only son of three children, his father was a wealthy Jewish contractor and his mother a talented pianist. As a young man he was arrested by the Imperial Russian Secret Police for acting
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as a messenger for a student revolutionary group called Friends of Enlightenment. Upon his release, Reilly was told by Grigory, the man he had known as his father his entire life, that his mother had passed away and that Reilly was actually the son of his mother’s Jewish doctor M. Rosenblum (and Grigory’s trusted first cousin). Shortly after, he left home and studied chemistry at the University of Novorossiisk. After one year he traveled to London to continue his studies. In 1896 Sigmund Rosenblum established his own business, Rosenblum & Company, which specialized in the manufacture and distribution
of patent medicines. At this point in time, it seemed Sigmund Rosenblum was a respectable consultant chemist who was going great places in life. He was admitted to the Chemical Society as a fellow and later admitted to the Institute of Chemistry. However, business was not booming, and Rosenblum could not afford the lifestyle to which he was accustomed. He changed the name to Ozone Preparations Company and began peddling miracle cures. The new business lured in crowds, including Rosenblum’s future wife. Reverend Hugh Thomas, a wealthy man, came to Rosenblum in search of a miracle cure for his kidney inflammation. Margaret Callaghan, his young 24-year-old wife, accompanied him. An affair developed between Margaret and Rosenblum. Shortly after, Reverend Thomas died a mysterious death, with speculation both Margaret and Rosenblum were involved. Rosenblum and Margaret were married just 4 months later. With Thomas’ money and his young wife, Roseblum had what he needed to make a life change. With his new identity also came a new name, Sidney George Reilly. In June of 1899, Rosenblum, now Reilly, and Margaret left London and disappeared. They reappeared in Czarist Russia later that month using Reilly’s new British passport. It was at this point that Sidney Reilly spun his web of espionage. What was his motivation? Was it the money? Was it the fame? Or was there something else? Over a 25-year period, Reilly was involved in or claimed to have been involved in a multitude of secret missions. Some of the major alleged activities include: • Reilly and Chinese acquaintance Ho-Liang-Shung supposedly stole defense plans from the Port Arthur harbor and gave them to the Japanese Navy. Using the information in the plans, the Japanese Navy was able to attack Port Arthur and kill over 31,000 Russians. • Mr. D’Arcy had secured concessions from the Persian government for oil rights. Reilly allegedly disguised himself as a Catholic priest, boarded Lord De Rothschild’s yacht, and secretly persuaded D’Arcy to terminate negotiations to sell his oil rights with the French de Rothschilds and speak instead to the British government. • At a German air show, one German plane lost control and crashed to the ground.
The plane was suspected of using a new type of propulsion magneto. Disguised as exhibition pilots, Reilly and a fellow British SIS agent took the magneto from the wreckage, quickly sketched the German magneto, and gave the detailed drawing to British intelligence. • British SIS sent Reilly undercover to Germany to unearth the new weapons being forged inside Germany’s war plants. In Germany, Reilly posed as a Baltic shipyard worker and went by the alias of Karl Hahn. He started as a welder and soon joined the plant fire brigade. Soon Reilly discovered the location of the weapon plans and broke into the office where they were kept. When discovered by the foreman, Reilly strangled the foreman and made off with the plans. • Reilly was sent to Moscow in 1918 to kill Vladimir Lenin and try to overthrow the Bolsheviks. Another man made an unsuccessful attempt at Lenin first though, and as a result, Reilly became a marked man and outlaw. He was convicted of espionage and sabatoge and was sentenced to death if found. He narrowly escaped and returned to England. • In 1925, Reilly went back to the Soviet, believing he was meeting with the anti-Communist organization The Trust. Instead, it was a large-scale deception operation powered by OGPU, Stalin’s secret police. This time Reilly was captured and put to death in November of 1925.
A Taste of His Own Medicine Reilly’s true character remains a mystery. He told various tales about his supposed exploits, making it hard to distinguish fact from fiction. Regardless, Sidney Reilly was a courageous spy who proved himself quite helpful to the British government. But his hatred for the Soviet regime and his goal of its overthrow led to his ultimate downfall. He may have been a man of deception and disguise, but it turns out he too could be fooled! Mata Hari The dance is a poem of which each movement is a word. —Mata Hari Mata Hari danced poem after poem throughout her life. With a poem of selfdiscovery, she danced her way on to the stage of entertainment. She danced across
the world, writing the poem of new beginnings. A poem of love led her to the hearts of many men. But as the poem of mystery, lies, and deceit unfolded, she danced her way into espionage investigations. This was her final dance, the conclusion of her final poem—this was her death. Born in Leeuwarden, Netherlands, on August 7, 1876, Margaretha Zelle grew up a privileged child. With a beautiful Javanese mother and a wealthy shopkeeper for a father, Margaretha (who later would become Mati Hari) and her siblings lived in a bourgeois world, sheltered from the world’s less pleasant realities. Margeretha was an intelligent and imaginative child who grew into a clever and creative young woman. When she was 18 she married Dutch naval officer Captain Campbell MacLeod, who was 20 years her senior. The two moved to Java, a settlement in the Dutch East Indies, and had two children. In 1896, Margaretha gave birth to son Norman John and 2 years later gave birth to daughter JeanneLouise. Tragically, in 1899, both children were poisoned, resulting in Norman John’s death. Coupled with her husband’s brutality and infidelity, the loss of her son severely affected Margaretha. Shortly after, she and MacLeod separated and divorced. Still young, and now single, Margaretha was determined to make her mark on the world. With little money and no marketable skills, she set out for Paris. Struggling to make a living, she tried her hand at various opportunities—a circus horse rider, a riding instructor, an artist’s model, etc. However, it was the dance—the poem— that led to her fame. Using the stage name Lady MacLeod, Margaretha hit the Paris state with her exotic Oriental-style dancing. Witnessing the large interest in this new form of entertainment, Margaretha took it to the next level. Using her imagination and creative instincts, she transformed into a Javanese princess on the stage, adopting the name Mata Hari, which means “light of the day.”
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With her tall, slim body, natural beauty, and dark coloring, it was not difficult to convince the audience of this fabrication, and it only heightened her appeal. In essence, Mata Hari was a character invented by Margaretha, portrayed to her audiences as truth. On March 13, 1905, Margaretha became an instant sensation when she took the stage at the Museum of Oriental Art as Mata Hari. Her willingness to appear in scant clothing or nude, as well as her provocative and sexual style of dance drew crowds from far and away. In fact, it is Mati Hari who is known to be the inventor of the “strip tease.” The Javanese princess then explored Amsterdam, Berlin, Paris, and Vienna, establishing herself as the successful exotic dancer. The name Mata Hari has since served from then on as a trademark for feminine decadence. Mati Hari’s beauty and sensuality mesmerized countless men, many of whom were military officers. As she traveled internationally during World War I, her love affairs with these high-ranking officials transformed into potential business affairs. The combination of crisscrossing Europe and taking to bed both French and German officers raised suspicion by both the Allied and Central powers. The alleged espionage activities performed by Mata Hari are not conclusive. The theory is that Mata Hari joined the German Secret Service after persuasion by one of her German lovers. She used her dancing to innocently visit various Allied locations, all the while transmitting intelligence reports back to Germany. French intelligence put Mata Hari under 24-hour surveillance. They discovered no concrete evidence to convict her of espionage, only secret ink found in her room; however, they wanted her out of the country and began deportation procedures. Mata Hari admitted passing outdated information to German intelligence, but insisted her loyalties lay with the Allies. She even offered to spy on the Germans. French authorities agreed and sent her on a mission to Brussels; concurrently, Mata Hari was still demanding money from the Germans. Her downfall came in January of 1917 after she had an affair with Major Arnold Kalle, a German spymaster. The German attachés
transmitted a message to Berlin explaining that German spy H-21 had proved valuable. French intelligence intercepted the message and connected Mata Hari and spy H-21 as one in the same. German intelligence knew that the code in which the message was sent had been broken by the French, leading historians to believe it was a deliberate set-up to expose Mata Hari as the double agent she was.
The Kiss Goodbye Mata Hari was put on trial by a military court and found guilty of espionage and treason. The multiple motions for clemency submitted by past lovers were all denied. On October 15, 1917, Mata Hari was executed by a French firing squad. It has been said that she refused a blindfold and even blew a kiss to the 12-man firing squad moments before they put her to death at the age of 41. Colonel Trofimoff I hated them [Communists] and so did my whole family. This statement came from George Trofimoff, the retired Army Reserve colonel who was charged with spying against the United States for the Soviet Union on at least 32 acts. The alleged espionage activities spanned a 25-year-long conspiracy. Trofimoff claimed he grew up hating Communists and blamed them for the deaths of his family members during the Bolshevik Revolution. He condemned them for killing millions and even joined the U.S. Army to fight them. But the jury didn’t buy it—Trofimoff was convicted in June 2001 after a 4-week trial and was sentenced to life in prison on September 28, 2001. Trofimoff is the highest ranking military officer ever charged with espionage. George Trofimoff was born in Germany to Russian émigré parents. He was raised with Igor Susemihl, also the son of a Russian émigré, and even considered him his brother. In 1947, the two were separated when Trofimoff moved to New York City and enlisted in the U.S. Army in 1948. Trofimoff found acceptance in the United States and became a citizen in 1951. Specializing in intelligence work, Trofimoff found a home with the U.S. Army. In 1953 he received a commission in the
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Army Reserve, and he was honorably discharged from active duty in 1956. From there Trofimoff worked civilian service jobs, and in 1969 became the top U.S. employee at the Joint Interrogation Center in Nuremberg, Germany, interviewing Soviet bloc defectors and refugees. It was in this capacity that the espionage activities are believed to have begun. Federal prosecutors say Trofimoff ’s foster brother, Igor Susemihl, who had grown up to become the archbishop of the Russian Orthodox Church in Vienna, recruited Trofimoff for the KGB and served as a courier for thousands of secret records. Prosecutors say Trofimoff obtained classified information while serving at the Joint Interrogation Center from 1969 through 1994. Trofimoff gained access to all the information received and produced by the Nuremberg center, which included intelligence objectives, priorities for strategic objectives, knowledge of Soviet and Warsaw Pact military organizations and capabilities, and knowledge of the current chemical and biological warfare threat posed by the Soviet Union. Equipped with this highly classified information, prosecutors say Trofimoff photographed the documents, returned the originals, and passed the film to Igor Susemihl or KGB agents. Trimoff even spoke in a pre-arranged code to confirm the identity of his KGB contacts when he met them. Prosecutors believe more than 50,000 pages of classified documents exchanged hands. Ironically, the center closed in 1995, the same year Trofimoff retired after 35 years as a civilian Army official. Most details of the center remain classified. In 1994, Trofimoff and Susehmihl were arrested by German authorities for suspected espionage after Vasili Mitrokhin, a KGB archivist, defected to Britain and provided sufficient information to identify Trofimoff. However, the case was dropped because of concerns regarding the statute of limitations. With no statute of limitations in the United States for espionage, U.S. officials continued the investigation. After a 7-year investigation, U.S. authorities made their move in late 2000. Posing as Russian officers, undercover FBI agents lured Trofimoff into a sting. Allegedly, Trofimoff felt he was still owed money by
the Russians. The FBI used this as bait, offering Trofimoff the money he deserved. When Trofimoff arrived at the West Shore Hilton in Tampa to collect, he was arrested. Prior to his arrest, Trofimoff met with undercover FBI agents several times and was actually videotaped fully admitting his past involvement in espionage. The federal indictment listed the following charges (Source: Office of the U.S. Attorney, Tampa): • Secretly took classified U.S. documents relating to national defense away from the Nuremberg Joint Interrogation Center. • Secretly photographed classified U.S. documents relating to national defense. • Photographed the contents of classified U.S. documents relating to national defense. • Hand carried boxes of exposed film to KGB intelligence officers. • Turned over to the KGB photographs of documents from the Joint Interrogation Center that he thought would be of value to the KGB and could not be traced to him. • Received periodic cash payments from KGB officers. • Received cash bonuses from the KGB. • Received about 90,000 deutsche marks from the KGB. • Used an oral recognition signal or statement, called a “parole,” when he met with a KGB officer. • Concealed from his wives his espionage activities and the true nature of the money he received from the KGB. • Was awarded the Order of the Red Banner. Along with the $250,000 FBI officials say he collected over the course of his spy career, Trofimoff was also awarded the Order of the Red Banner. This Soviet award is presented for “bravery and self-sacrifice in the defense of the socialist homeland.”
The Irony Since 1995 Trofimoff lived in Melbourne, Florida, on a street called Patriot Drive in a gated community filled with retired military families. On the day of his arrest the community was flapping with American flags to commemorate Flag Day. And on the day he was sentenced to life in prison without parole, Trofimoff was celebrating
the 50th anniversary of his U.S. naturalization. Seems he gave up quite a bit for $250,000.
Works Consulted Bowcott, O. (7 September 2006). How fate, and Stalin, finally dealt the ‘ace of spies’ a losing hand. Guardian Unlimited. Retrieved July 2006 from http://www.guardian.co.uk/uk_news/ story/0,3604,787632,00.html Bexte, Martina. (n. d.). Who was Mata Hari? The story of famed courtesan Mata Hari. Retrieved June 2006 from http:// sc.essortment.com/whowasmatahar_ rhrc.htm Chachere, V. (14 June 2000). Top Military Man Alleged to Be Spy. Associated Press. Retrieved August 2006 from http://www. infobeat.com Dougherty, L. (15 June 2000). Retired colonel accused of spying. St. Petersburg Times. Retrieved August 2006 from http://www.sptimes. c o m / N e w s / 0 6 1 5 0 0 / Ta m p a B a y / Retired_colonel_accus.shtml George Trofimoff. (n. d.). Retrieved August 2006 from http://www.videofact. com/english/trofimoff.html George Trofimoff Press Release. (14 July 2000). U.S. Attorney’s Office, Middle District of Florida. Retrieved August 2006 from http://cicentre.com/Documents/DOC_ Trofimoff_Press_Release.htm Lytle, T. (15 June 2000). Brevard retiree is accused of espionage. The Orlando Sentinel. Retrieved August 2006 from http://www.fas.org/sgp/news/2000/06/ os061500.html Mata Hari. (n. d.). Wikipedia. Retrieved June 2006 from http://en.wikipedia.org/ wiki/Mata_Hari Mata Hari Timeline. (n. d.). Retrieved June 2006 from http://www.twoop.com/ people/mata_hari.html The Quotations Page. (n. d.). Retrieved June 2006 from http://www.quotationspage.com/quotes/Mata_Hari/ Nguyen, D. P. (22 June 2001). Trofimoff: I grew up hating Communists. St. Petersburg Times. Retrieved August 2006 from http://
www.sptimes.com/Ne ws/062201/ Worldandnation/Trofimoff__I_grew_ up.shtml Polmar, N., and Allen, T. (n. d.). Mati Hari. Spy Book: The Encyclopedia of Espionage. Retrieved June 2006 from http:// www.randomhouse.com/features/spybook/spy/961113.html Reilly, Ace of Spies. (n. d.). Retreived July 2006 from http://www.crimelibrary.com/ terrorists_spies/spies/sydney_reilly/index.html Retired U.S. Army Reserve colonel accused of selling secrets to Soviet Union. (14 June 2000). Retrieved August 2006 from http://archives.cnn.com/2000/ US/06/14/military.espionage.03/index. html Schräpel, B. (n. d.). (Translated from German by Julie Niederhauser and Joey Horsley) Fem-Biography Mata Hari. Retrieved June 2006 from http://www.fembio.org/women/mata-hari.shtml Sidney Reilly. Wikipedia. Retrieved July 2006 from http://www.reference. com/browse/wiki/Sidney_Reilly Sidney Reilly. (n. d.) Retrieved July 2006 from http://www.spartacus. schoolnet.co.uk/SSreilly.htm Sidney Reilly. (n. d.). Retrieved July 2006 from http://members.tripod.com/ chipress/chipress/reilly.htm Soviet secret police tricked British spy into a trap 80 years ago. (April 11, 2005). Pravda, online. Retrieved July 2006 from http://english. pravda.ru/main/18/90/362/16415_ sidneyreilly.html The spy who loved chemistry. (n. d.). Retrieved July 2006 from http://www. chemsoc.org/chembytes/ezine/2002/ cook_dec02.htm Who’s Who: Mata Hari. (2001). Retrieved June 2006 from http://www. firstworldwar.com/bio/matahari.htm
Winter 2006 THE FORENSIC EXAMINER 57
JOHN GEORGE HAIGH: A Malingerer’s Legacy A Case Study By Katherine Ramsland, PHD, CMI-V
In March 1949, London’s Daily Mirror printed a series of stories about a so-called vampire killer, John George Haigh. The suspect had confessed to murdering nine people to drink their blood. Readers bought into the newspaper’s sensational coverage, and despite the fact that the case turned out to the contrary, some authors today still promote the Mirror’s nonsense. Thus, Haigh lives on as one of history’s “human vampires.” Yet when professionals fail to do responsible research, their analyses muddy the water. At best, the “Acidbath Murderer” presents an excellent example of malingering, while the acceptance of his fabrications suggests that when comparing fallacy to fact the titillation factor can have an impact.
Winter 2006 THE FORENSIC EXAMINER 59
hat precipitated Haigh’s arrest on February 20, 1949, was the report of a missing woman. Haigh himself asked the police to help locate Mrs. Olive Durand-Deacon, age 69 and a resident of the Onslow Court Hotel in South Kensington. The previous day, she had failed to show up for an appointment with him, she’d missed dinner, and that morning she had been absent from breakfast. Since she kept a strict routine, DurandDeacon’s friends were certain something was wrong. The police issued her photo to other departments and the press. Haigh pitched in, but a female police officer interviewing hotel personnel heard several stories about his debts, so she alerted her team to research his background. The Criminal Records Office revealed that Haigh had several arrests for swindling and had landed in prison three separate times. Yet when detectives approached him as a potential suspect, Haigh was ready. Blue-eyed, handsome, and polished, he knew how to make a good impression. He answered all questions, showing appropriate concern for Mrs. Durand-Deacon and expressing his opinion that she would be found safe and sound. In the meantime, the West Sussex constables arrived at Hurstlea Products in Crawley, where Haigh said he did business. They soon learned that he was not its director, as he had claimed, and in fact had no company at all. His “business” was no more than a rented storefront where he supposedly did “conversion jobs,” in which he used acid to break down materials. Detective Pat Heslin entered the building and found three 10-gallon glass bottles, or “carboys,” used to hold acid. One was empty, another half empty. His team also collected rubber boots, rubber gloves, and a gas mask. Heslin reported these items to Inspector Shelley Symes, who authorized an extensive search. Detectives soon located papers for Archibald Henderson, Rose Henderson, and three people named McSwan, including a marriage certificate, passports, identity cards, and driver’s licenses. Inside a hatbox lay a recently-fired .38 Enfield revolver, with ammunition. In the building they came across a cleaner’s receipt for a Persian
lamb coat and learned that Mrs. DurandDeacon had owned such a coat. In fact, in her room at the hotel were scraps of material that matched patches on the coat. It seemed that she had indeed met Haigh at the appointed hour, because he certainly had come into possession of her coat. The police issued a press report about the discovery, alerting an area pawnbroker who came forward to report that a man had recently pawned several pieces of jewelry. A relative of Durand-Deacon’s recognized these items as hers, and the pawnbroker identified Haigh as the man who had offered them for money.
The Confession The police arrested Haigh, who fabricated a story about how he had come into possession of these items, but no one believed him. Once he knew he was cornered he revealed his alternative strategy: he asked about the chances of being released from Broadmoor, the local institution for the criminally insane. Obviously he’d contemplated a way to be incarcerated there rather than prison. “If I told you the truth,” he said, “you would not believe me; it sounds too fantastic for belief . . . Mrs. DurandDeacon no longer exists. She has disappeared completely and no trace of her can ever be found again. I have destroyed her with acid . . . . Every trace has gone.” He then challenged his interrogators with, “How can you prove murder without a
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body?” Haigh mistakenly believed that if there was no corpse, there could be no conviction. Over the course of 2 hours, he offered a full description of what he had done to Mrs. Durand-Deacon. He first shot her in the head, then fetched a penknife and glass to cut her and drain blood for himself to drink. To get rid of the 200-hundredpound corpse, he had placed it into an empty 45-gallon oil drum filled with acid. As horrific as this confession was, Haigh was just getting started. He offered details about murdering five more people—the McSwans and Hendersons—whose bodies he also dissolved with acid. After killing each one, he claimed that he had filled a glass with their blood and consumed it. His alleged reason was that he suffered from an overwhelming compulsion to drink blood. To support his “mental disease” he described a cycle of blood-drenched dreams that always preceded his compulsion. Such dreams, he added, had begun after he’d been in a car accident. Haigh was charged with the murder of Mrs. Durand-Deacon and remanded to Lewes prison. At this point, he confessed to three more murders strictly for blood—a woman from Hammersmith, a youth from Kensington, and a girl from Eastbourne. He gained legal representation while mental health experts were lined up for both sides. In the meantime, a renowned pathologist, Dr. Keith Simpson, accompanied investigators to Haigh’s storehouse to look for evidence of Durand-Deacon’s corpse. From a pile of sludge found in the yard, Simpson withdrew a hard object that turned out to be a human gallstone. He also found a partially dissolved foot. After the sludge was processed, it produced 28 pounds of human body fat, 3 gallstones, 18 fragments of human bone, a pair of custom-made dentures, the handle of a red plastic bag, and a lipstick container. The foot fit a shoe from Durand-Deacon’s room and the other items were associated with her as well. The prosecutor had plenty of evidence to work with, including Haigh’s notorious criminal record.
Haigh’s Background Haigh hailed from Yorkshire, England, the only child of a middle-aged couple who
had lived in poverty. John Haigh, Sr., bore a mark on his forehead that he ominously referred to as the Devil’s brand, placed there because he had sinned. John Junior consequently feared receiving such a mark himself, but eventually he learned that lies and pranks had no such consequences. He also figured out how to swindle people and to falsely pose as different professionals, later admitting, “When I discovered there were easier ways of making a living than to work long hours in an office, I did not ask myself whether I was doing right or wrong. That seemed to me to be irrelevant.” Although he went to prison early in life, when he got out he returned to a life of crime, perpetrating fraud to enrich himself. He went back to prison twice more, and during his third incarceration Haigh decided it would be his last. He formed a plan to seduce wealthy older women, and in the prison’s tin shop he experimented on mice with sulfuric acid. He soon discovered how easy it was to dispose of a body in this manner. After gaining his freedom in 1944, Haigh rented a space and bought several bottles of sulfuric acid. The next step was to find an easy dupe who had money. He chanced upon “Mac” McSwan, a man for whom he had once worked. McSwan liked Haigh and even introduced him to his parents. When they told Haigh of recent property investments, he knew he’d found what he was looking for. He started to pal around with McSwan, biding his time for the opportune moment. Some time after September 6, McSwan disappeared. In his confession to this crime, Haigh claimed that he had experienced a sudden need for blood so he had hit McSwan over the head with a piano leg and slit his throat to drain blood into a mug. He left the corpse in his rental space overnight, claiming he dreamt that night about a blood-encrusted forest. Finding a 40-gallon drum, Haigh stuffed the body into it and poured in the acid. This was the first time he had tried to dissolve a human body, and it took much longer than his experiments with mice had indicated. Finally, the dead man’s corpse was submerged in the bubbling liquid, so Haigh covered the drum and went home, leaving the process to work over the next 2 days. When he returned, he found a foulsmelling blackish porridge, streaked with
blood but sufficiently fluid to pour down a manhole drain. As distasteful as this task proved to be, Haigh nevertheless experienced a profound euphoria. His hours of planning had paid off: he had murdered someone and gotten rid of the body. No one would ever find a trace of McSwan. No corpus delicti. Haigh then killed and dissolved McSwan’s parents, forging a power of attorney to acquire their properties and goods. However, the money did not last. Two years later, Haigh sought another victim. He looked in the newspaper and found an ad for a house that Dr. Archibald Henderson and his wife, Rose, were selling. Haigh ingratiated himself with the couple and then drove Dr. Henderson to Crawley to shoot him with a stolen revolver. He left the corpse in the storeroom while he retrieved Rose, killing her there as well. Mrs. Durand-Deacon was Haigh’s sixth victim, and although he claimed to have killed three others, nothing was ever discovered about them. In fact, the officer who met him when he had first arrived at Lewes Prison recalled that Haigh had said, “This is the result of doing six people, but not for personal gain.” Only later did he add three more, and the police suspected that Haigh had fabricated these incidents to solidify his insanity case, since there was no evidence that he had profited financially from their murders.
Haigh’s Fate Haigh envisioned going to a mental institution for a spell before regaining his freedom. He had seen the newspaper accounts about his alleged vampirism and had added a few flourishes such as claiming that he had been drinking his own urine since he was a boy. He stated variously that God and an unseen spirit had commanded him to kill. A dozen medical and psychiatric professionals examined Haigh before and after the trial. They focused on his so-called blood disorder, believing it was a sexual deviance. However, Haigh showed little interest in discussing sex. Instead, he focused on the cycle of bloody dreams that he said had preceded each murder. Most of the doctors concluded that Haigh was not psychotic or in the grip of an overwhelming compulsion. Even among those who
examined him for the defense, none was able to state that Haigh had been insane. On July 18, 1949, Attorney General Hartley Shawcross opened the prosecution in the Durand-Deacon case, relying on 33 witnesses. By the afternoon of the first day, he rested, claiming that Haigh had committed a pre-meditated murder for gain. In Haigh’s defense were three attorneys led by Maxwell Fyfe, who offered the expected insanity defense. In support, he called 61year-old Henry Yellowlees, a physician with a degree in psychological medicine. Yellowlees had examined Haigh’s confessions and interviewed him for about 2 hours before deciding that he had an “egocentric paranoia.” In other words, his fantasy world was his solace, wherein he viewed himself as omnipotent and in touch with a guiding force. However, Yellowlees could not state that Haigh did not appreciate that what he was doing was wrong, which considerably weakened the case. In addition, Yellowlees did not know about Haigh’s friendship with an employee at the Sussex psychiatric hospital. Over the years, he had gathered information about the behavioral patterns, traits, and habits of various disorders. It’s not a great leap to believe that he knew how to pose as a mental patient since his past was replete with different types of facades: a lawyer, an engineer, a doctor. He even stated to a police officer, “All men who are freed from a sense of guilt are happy. I take the view that the world’s a happy hunting ground full of mugs who were born to be exploited by the likes of me. They are rabbits on which we feed.” Rather than being simply paranoid, he was more likely a remorseless psychopath. On July 19, the jury took only 20 minutes to convict Haigh of murder. He was to die by hanging. After Haigh’s trial, two medical officials observed him in Wandsworth prison; they found no sign of insanity. They believed he was shamming. Under the Criminal Lunatics Act of 1884, the Home Secretary ordered a special medical inquiry, which involved three more physicians. All of them stated that Haigh was malingering. Thus, they could provide no reason to interfere with the course of the law. So on August 6, 1949, at Wandsworth Prison, the “Acid Bath Murderer” was executed.
Winter 2006 THE FORENSIC EXAMINER 61
He bequeathed his clothing to Madame Tussaud’s Chamber of Horrors.
Haigh’s Legacy Despite the opinions of a dozen experts to the contrary, Haigh is cited in many studies today as a murderer who drank blood from his victims before getting rid of their bodies. He’s found on nearly every list of “modern vampires,” which attests to his own insight into just how compelling the image would be. For example, after describing Haigh’s childhood in a survey of “real vampires” in history, Donald Glut states, “It was in such an environment that his vampire personality developed.” In The Vampire Book, religion scholar J. Gordon Melton also accepts Haigh’s claim that God inspired him to drink his own urine. While Melton at least adds “so-called” before he describes Haigh as a vampire, he offers details from Haigh’s confession as facts about his background and motivations, including Haigh’s unsubstantiated obsession with blood and his belief that he had to drink from others to survive. Psychiatrist R. E. Hemphill takes Haigh’s confession seriously as well. In a professional journal, he states that Haigh presents a viable case of clinical vampirism, accepting that he’d been drinking his own blood since childhood to relieve a craving. Hemphill adds that characteristic of a “vampirist” is that they drink fresh blood to satisfy a need, and they show an abnormal interest in death. Contrary to the detectives who actually interrogated Haigh, Hemphill even accepts that Haigh killed the three unidentified victims. He suggests that, given Haigh’s inconsistent presentation and ability to seem perfectly normal to people who knew him, he might have suffered from multiple personality disorder. Otherwise, it made little sense that he would turn to murder in the way he did. However, Hemphill seems to discount Haigh’s prison experiments with acid and he shows no understanding of how psychopaths can live compartmentalized lives, easily duping people around them so they can operate without being caught. In short, Hemphill’s analysis seems naïve, as well as selectively incomplete. It’s important to see what’s at stake here. If a man claimed that the reason he beat
his wife was that his father had beaten him, but it turned out that he’d lied to mitigate his culpability, we would not then state that his father had beaten him. We would recognize that the lie was a self-serving statement and not a fact. Likewise, a faked illness should be described in its proper context, not just for the legal arena, but also to avoid corrupting our understanding of the genuine disorder. Authors who present Haigh as a human vampire fail to acknowledge the factor of malingering, possibly so that Haigh can be included on a list of individuals who drank blood to appease their delusions. His descriptions certainly provide titillating reading, and if they were true, it would be unthinkable to leave him off such lists. However, there’s no corroborating evidence that he had any such blood fetish. Among the key concerns when mental health practitioners evaluate arrestees who have much at stake in the outcome of their cases is the problem of malingering. Some people are quick to fake the symptoms of a mental illness that could mitigate their criminal responsibility, such as psychosis with delusions. The challenge for evaluators is to find ways to expose the fraud. One consistent recommendation is to gather information specific to the person’s medico-psychiatric history that would clearly contradict the symptoms or claims. (If he has been plagued with this compulsion since childhood, as he claimed, someone should have noticed aberrant behavior.) Add to that a strong motive for the fakery, along with evidence of other forms of fraud, and then demonstrate the rarity or inconsistency of the symptoms in the context of the typical presentation for that diagnosis. Another source for exposing a lie is to observe the individual at regular intervals during times when he or she believes no one is watching. If the alleged aberrance never manifests, that can add support for a diagnosis of malingering. While there were no instruments available during Haigh’s time for the assessment of malingering, he presents several classic signs: • His alleged psychosis fails to follow the typical pattern—apparently only compelling him when his victims are wealthy and even allowing him enough time to prepare
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a plan. His other alleged victims were never identified, so there was never a proven time when he simply went out of control and killed someone for blood. • He knew how to pose as psychotic. • He was intelligent enough to put on an act. • His very life was at stake. • He knew the difference between prison and a mental hospital. • His symptoms were exaggerated. • No one ever actually witnessed him drinking blood. • He was only observed drinking urine once, and that was when he was trying to prove it to someone watching. • No one he knew could provide corroboration for his alleged compulsion. Haigh’s supposed mental aberration appears to have been no more than a ploy to shock the public and avoid conviction and execution. Nevertheless, his reputation as a deviant blood-drinker continues in certain circles to this day.
Works Consulted Briffet, D. (1988). The acid bath murders. West Sussex, England: Field Place Press. Dunboyne, Lord P. (Ed.). (1953). The trial of John George Haigh. London: William Hodge & Company. Glut, D. (1971). True vampires of history. New York: H. C. Publishers. Heilbrun, K., Marczyk, G. R., & DeMatteo, D. (2002). Forensic mental health assessment. New York: Oxford University Press. Hemphill, R. E. (1983). Clinical vampirism: A presentation of three cases and a re-evaluation of Haigh, the ‘Acid-bath murderer.’ South African Medical Journal, 63, 278–281. La Burn, A. J. (1973). Haigh: The mind of a murderer. New York: W. H. Allen. Lefebure, M. (1958). Murder with a difference: The cases of Haigh and Christie. London: Heinemann. Melton, J. G. (1994). The vampire book: The encyclopedia of the undead. Detroit, MI: Visible Ink Press. Monaco, R., & Burt, B. (1993). The Dracula syndrome. New York: Avon. Wilson, C. (1993). Murder in the 1940s. New York: Carroll & Graf.
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Learning Objectives for “Understanding and Treating the Juvenile Firesetter: A Review”
Learning Objectives for “Considerations in the Analysis of Forensic Samples Following Extended Exposure to the Environment”
After studying this article, participants should be better able to do the following: 1.) Recognize major individual and environmental factors contributing to juvenile firesetting. 2.) Become aware of various treatment approaches and their respective outcomes. 3.) Realize the necessity for future research in all aspects of juvenile firesetting behavior, particularly with respect to early recognition and effective treatment regimens.
After studying this article, participants should be better able to do the following: 1.) Identify environmental factors that interfere with biomolecule analysis, measured drug concentrations, and accelerant analysis in fire investigations. 2.) Understand the steps that can be taken to limit the effects of enzyme inhibition on DNA analysis. 3.) Identify some of the inherent confounds that exist with forensic toxicological interpretation of measured drug concentrations. 4.) An expert’s responsibility under Daubert.
Article 1: Understanding and Treating the Juvenile Firesetter: A Review” (See page 10 for article.)
Article 2: CE test for “Considerations in the Analysis of Forensic Samples . . .” (See page 19 for article.)
1.) Which profile would NOT be expected to represent a juvenile firesetter? A. Male, frequently uses drugs, unpopular among classmates, mother is absent from home B. Male, recently moved to new state, ran away twice, tendency to start fights C. Female, diagnosed with ADHD, reports multiple sexual partners, self- destructive D. Male, turbulent home environment, overly confident, advanced in academics
1.) Laundering bloodstains: A. Can interfere with acid phosphatase detection as an indicator of semen. B. Makes DNA analysis impossible. C. Can interfere with amylase detection as an indicator of saliva. D. Makes AP detection, as an indicator of saliva, impossible. E. Can result in an inability to detect the presence of saliva and semen through analysis of enzyme activity, while leaving sufficient DNA available for analysis.
2.) All of the following characteristics are common among firesetters except: A. Stealing and vandalizing. B. Violence between, or physical and emotional abuse by, parents. C. High scores of schizophrenia, paranoia, and psychopathic deviate on the MMPI-A. D. Trouble interacting with peers.
2.) Which of the following processes will not ameliorate the effects of enzyme inhibition in DNA analysis? A. Template dilution B. Decreasing Taq polymerase concentration C. Addition of bovine serum albumin (BSA) D. Microfiltration
3.) After controlling for CD, future violent offenses are ____ more likely from juvenile firesetters. A. 2 times B. 3 times C. 5 times D. 10 times 4.) Which statement is true? A. Mental health professionals are seen as the primary resource for treating young firesetters. B. Few studies investigate the effectiveness of treatment regimens. C. Influencing the home environment is not a critical factor for treatment. D. Firesetters can eventually learn on their own how to correctly interact with their peers. Evaluation for Article 1: (1–3 rating section) Please circle one (1=Poor 2=Satisfactory 3= Excellent) 1. The author presented material clearly. 1 2 3 2. The stated learning objectives were met. 1 2 3 3. New knowledge or technique was gained. 1 2 3 4. Additional comments:
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4.) Postmortem redistribution: A. Occurs predictably, so corrections can easily be made to measure blood drug concentrations. B. Always occurs with drugs that have high volumes of distribution. C. Often results in higher blood drug concentrations in blood obtained from the heart, relative to those observed in femoral venous blood. D. Never involves the stomach, as drugs still in the stomach still have not been absorbed into the body. Evaluation for Article 2: (1–3 rating section) Please circle one (1=Poor 2=Satisfactory 3= Excellent) 1. The author presented material clearly. 1 2 3 2. The stated learning objectives were met. 1 2 3 3. New knowledge or technique was gained. 1 2 3 4. Additional comments:
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CE TEST PAGE: FIVE TOTAL CREDITS AVAILABLE (WITH THE COMPLETION OF ALL 5 CE TESTS) Learning Objectives for “The Role of Diatoms in Medico-Legal Investigations II: A Case for the Development and Testing of New Modalities Applicable to the Diatom Test Drowning” After studying this article, participants should better understand the following: 1.) The importance of diatoms to forensic investigations. 2.) Attributes of classic and some potential new instrumentation applicable to the diatom test. 3.) The potential role of laboratory instrumentation in characterizing diatoms in crime scene investigations of drowning. 4.) The challenges certain laboratory instrumentation must overcome in gaining legal admissibility in criminal cases.
Learning Objectives for “The Daubert Decision: Accident Reconstruction Considerations” After studying this article, participants should better understand the following: 1.) The Daubert decision and its modifications as they apply to the admissibility of scientific evidence and opinion. 2.) That the Federal Rules of Evidence apply to all experts and scientific evidence. 3.) The Daubert criteria, how they are applied, and judicial discretion relating to application of Daubert. 4.) How experts may be tested for compliance with Daubert criteria. 5.) An expert’s responsibility under Daubert.
Article 3: CE test for “The Role of Diatoms in Medico-Legal Investigations II . . .” (See page 26 for article.)
Article 4: CE test for “The Daubert Decision: Accident Reconstruction Considerations” (See page 37 for article.)
1.) Nuclear Magnetic Resonance (NMR) is an important potential analytical technique in diatom analysis since it can: A. Determine distribution of water surrounding and embedded in diatoms. B. Determine water content associated with diatoms. C. Change in environmental water structure and content. D. All of the above.
1.) Prior to Daubert, the general acceptance criteria was applicable to evidence in Federal Courts. This criteria derives from this case: A. Kumho Tire. B. GE v. Joiner. C. Frye v. US. D. Wheat v. Pfizer. 2.) Daubert criteria include all of the following except: A. Whether the theory or technique has been tested. B. Whether the theory or technique has been subjected to peer review. C. Whether the theory or technique has an established error rate. D. Whether prior decisions have admitted the theory or technique. 3.) Daubert criteria: A. Must all be satisfied for scientific evidence and opinion to be admitted in Federal Court. B. Are applied flexibly. C. Apply to opinions and conclusions. D. Do not apply to opposing expert opinion. 4.) It is the responsibility of an expert to do all the following except: A. Apply proper principles, methods, and techniques. B. Understand the principles and methods he or she employs. C. Be prepared to support and explain his or her methods and techniques. D. Develop novel methods and techniques as required by the case at hand.
2.) Hyphenated techniques are important analytical adjuncts in diatom analysis because: A. They are inexpensive. B. They are cost effective, incorporating two or more independent analytical techniques resulting in a “gold standard” mode of analysis. C. They are simple to use. 3.) Diatoms can serve as analytical markers in a crime scene. From this statement, diatoms can: A. Trap environmental pollutants that can be traced to their place of origin. B. Be differentiated one from another on their basis of structure water perturbation. C. Be differentiated on their basis of morphology. D. All of the above. 4.) Desirable characteristics of analytical instrumentation to be used in forensic diatom should: A. Demonstrate specificity but not selectivity. B. Demonstrate selectivity and not specificity. C. Demonstrate both specificity and selectivity. D. Be able to demonstrate high degree of adaptability, specificity, selectivity, and sensitivity to morphologic and chemical uniqueness to support location of a speciated diatom at the crime scene.
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Statement of completion: I attest to having completed the CE activity. Please send the completed form, along with your payment of $15 for each test taken. Fax: (417) 881-4702, or mail the forms to ACFEI Continuing Education, 2750 E. Sunshine, Springfield, MO 65804. If you have questions, please call (417) 881-3818 or toll free at (800) 423-9737.
Winter 2006 THE FORENSIC EXAMINER 65
CE TEST PAGE: FIVE TOTAL CREDITS AVAILABLE (WITH THE COMPLETION OF ALL 5 CE TESTS) Learning Objectives for “Scientific Considerations in Observing How Children Interact with Parents”
The Forensic Examiner Articles and Tests Online!
After studying this article, participants should be better able to do the following: 1.) Understand the reasons for observing parents interacting with children. 2.) Comprehend pertinent research findings regarding parent-child interactions. 3.) Identify a number of systems for rating parent-child behaviors. 4.) Grasp the potential benefits and limitations of home visit observation sessions.
Article 5: “Scientific Considerations in Observing How Children Interact with Parents” (See page 42 for article.) 1.) Which one, or more than one, of the systems for coding family interactions are most likely to be useful for evaluators? A. Structured Analysis of Social Behavior B. FAMPROS C. SCIFF D. A and B E. B and C
Find and read new and old articles from The Forensic Examiner using the American College of Forensic Examiners website’s easy-to-use searchable database! Search by keyword or author and have instant access to relevant articles and the corresponding CE tests. Log on to www.acfei.com and click “Online CE” to search the database or find the latest articles!
2.) According to this article, what may be a reasonable combination of the number and duration of observation sessions: A. Two 45–60 minute sessions per parent-child combination. B. Ten 60-minute sessions per parent-child combination. C. Twelve 6-minute sessions per parent-child combination. D. Combined observation and interview sessions of 1 hour. E. No recommendation is made about the number and duration of sessions. 3.) Custody and child protection evaluation guidelines suggest: A. Parent-child observations are the only method necessary. B. Parent-child observations are to be avoided. C. Parent-child observations are one of a number of methods to be used. D. Attorney input into the methods used in the evaluation. E. Obtaining a court order for home visit. 4.) Home visits are recommended: A. In custody evaluation only. B. When they provide unique information. C. In all cases. D. Never. E. If they take place within 10 miles of the office. 5.) Parent-child observation sessions should: A. Routinely focus on the most important behavioral dimensions. B. Use the same rating dimensions for all parent-child combinations. C. Include a high-stress component. D. Always be videotaped. E. A and B.
Evaluation for Article 5: (1–3 rating section) Please circle one (1=Poor 2=Satisfactory 3= Excellent) 1. The author presented material clearly. 1 2 3 2. The stated learning objectives were met. 1 2 3 3. New knowledge or technique was gained. 1 2 3 4. Additional comments:
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Statement of completion: I attest to having completed the CE activity. Please send the completed form, along with your payment of $15 for each test taken. Fax: (417) 881-4702, or mail the forms to ACFEI Continuing Education, 2750 E. Sunshine, Springfield, MO 65804. If you have questions, please call (417) 881-3818 or toll free at (800) 423-9737.
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Publications by ACFEI Members Forensic Pathology Reviews Volume 3
John C. Hunsker III
By Michael Tsokos, MD, featuring a contribution by John C. Hunsker III, JD, MD, MA Maintaining the high-level quality achieved in earlier volumes, leading national forensic pathologists provide evidence-based accounts of special topics of current interests from various fields of forensic pathology and death-scene investigation in Forensic Pathology Reviews, Volume 3. The authors offer cutting-edge insights into the medicolegal investigation of bodies found in water, the forensic aspects of the human immunodeficiency virus (HIV)-I infections of the central nervous system, deaths in a head-down position, and forensic bitemark analysis. Additional chapters address taphonomic changes in human bodies during the early postmortem interval, arrhythmogenic ventricular dysplasia that produces sudden death in young people, the postmortem diagnosis of death in anaphylaxis, and iatrogenic deaths. The forensic aspects of suicide, murder-suicide, and suicide trends in the United States are also discussed, along with the elevation of fatal pulmonary thromboembolism and the use of radiology in medicolegal investigation. Forensic Pathology Reviews, Volume 3 features the review “Trends of Suicide in the United States During the 20th Century,” in which John C. Hunsaker, III, JD, MD, MA serves as a contributor. Dr. Hunsaker was appointed associate chief medical examiner to the Commonwealth and joined the faculty of the University of Kentucky College of Medicine in the Department of Pathology and Laboratory Medicine and is
currently a professor. He has been the director of the Division of Forensic Pathology and is an adjunct professor at the University of Louisville Department of Pathology. As a full-time forensic pathologist he has performed nearly 7,000 autopsies, testified extensively as an expert witness in both criminal and civil courts, and authored numerous papers and book chapters. He is a member of the Kentucky Bar and Medical Associations, respectively, a fellow of the ACLM and the American Academy of Forensic Sciences, and a member of the Board of Directors of the National Association of Medical Examiners. He is the current president of NAME and has been an officer of the Pathology/Biology Section of AAFS. He currently works at the Office of the Associate Chief Medical Examiner in Central Laboratory Facility, Frankfort, and has been a member of ACFEI since 1999. Handbook of Pediatric Autopsy Pathology
Enid Gilbert-Barnes
By Enid Gilbert-Barnes, MD, and Diane E. Debich-Spicer, BS Pathologists have long recognized that the pediatric autopsy requires great care in technique and dissection to ensure that easily overlooked malformations are recognized and accurate diagnoses are made. Working in the tradition of the master pediatric pathologists, the highly experienced practitioners Enid Gilbert-Barness, MD, and Diane E. Debich-Spicer have created in the Handbook of Pediatric Autopsy Pathology, a comprehensive reference guide to the successful performance of pediatric autopsies and the optimal recognition and
68 THE FORENSIC EXAMINER Winter 2006
interpretation of their pathologic findings. The authors cover major developmental disorders such as hydrops, chromosomal defects, congenial abnormalities, and metabolic disorders. The reviews of the organ systems encompass the cardiovascular, respiratory, gastronomical, renal, central nervous, skeletal systems, male and female genitourinary systems, the eye and adnexa, and the thymus, spleen, lymph nodes, and immunodeficiency. Additional chapters address sudden infant death, cytogenetics, the medical and forensic autopsy, special procedures, cultures and infection control, and biological hazards at the autopsy. Numerous standard reference tables, copious illustrations and drawings, and an appendix at the end of each chapter provide a wealth of practical information and biological citations. A value-added compact disk provides color versions of over 400 selected illustrations found in the book. Cutting-edge and detailed, the Handbook of Pediatric Autopsy Pathology offers the prosector unequaled guidance to performing a pediatric autopsy, making an accurate diagnosis, and-where malformations are involved-explaining the implications of possible recurrences in future pregnancies. The keypoints covered in the handbook include expert guidance to performing a pediatric autopsy and making accurate diagnoses; cutting-edge methods that demonstrate great care in technique and dissection; emphasis on correct recognition and interpretation of pathologic findings; coverage of cytogenetics, cultures, and infection control; and the metabolic autopsy. Enid Gilbert-Barness, AO, MBBS, MD, FRCPA, FRCPath, DSCI(hc), MD(hc), is a professor of pathology and laboratory medicine in the pediatrics and obstetrics and gynecology department of University of South Florida School of Medicine and practices at Tampa General Hospital. She is a Life Fellow of The American College of Forensic Examiners and has been a member since 1995.
Members can have their books reviewed in The Forensic Examiner® by sending a review copy to Editor, 2750 E. Sunshine, Springfield MO, 65804.
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STATEMENT OF OWNERSHIP, MANAGEMENT, AND CIRCULATION 1. Publication Title: The Forensic Examiner 2. Publication Number: 1084-5569 3. Filing Date: October, 2006 4. Issue Frequency: Quarterly 5. Number of Issues Published Annually: 4 6. Annual Subscription Price: $29.95 7. Complete Mailing Address of Known Office of Publication: 2750 E Sunshine, Springfield, MO 65804 8. Complete Mailing Address of Headquarters of General Business Office of Publisher: 2750 E Sunshine, Springfield, MO 65804 9. Full Names & Complete Mailing Addresses of Publisher, Editor, & Managing Editor: Publisher: Robert L. O’Block, 2750 E Sunshine, Springfield, MO 65804; Editor: Leann Long, 2750 E Sunshine, Springfield, MO 65804; Managing Editor: None 10. Owner: The American College of Forensic Examiners International, 2750 E Sunshine, Springfield, MO 65804 11. Known Bondholders, Mortgages, and Other Security Holders Owning or Holding 1 Percent or More of Total Amount of Bonds, Mortgages, or Other Securities: None 12. Tax Status (For completion by nonprofit organizations authorized to mail at nonprofit rates) The purpose, function, & nonprofit status of this organization & exempt status for federal income tax purposes: Has Not Changed During Preceding 12 Months 13. Publication Title: The Forensic Examiner 14. Issue Date for Circulation Data Below: August 2006 15. Extent & Nature of Circulation: Average No. No. Copies of Copies Each Single Issue Issue During Published Preceding 12 Nearest to Months Filing Date a. Total # of Copies (Net Press Run) 12,175 b. Paid and/or Requested Circulation (1) Paid/Requested Outside-County Mail Subscriptions Stated on Form 3541 (Include advertiser’s proof & exchange copies) 9,345 (2) Paid In-County Subscriptions Stated on Form 3541 (Include advertiser’s proof & exchange copies) 20 (3) Sales Through Dealers & Carriers, Street Vendors, Counter Sales, & Other Non-USPS Paid Distribution 550 (4) Other Classes Mailed Through the USPS 0 c. Total Paid &/or Requested Circulation [Sum of 15b. (1), (2), (3), & (4)] 9,915 d. Free Distribution by Mail (Samples, complimentary, & other free) (1) Outside-County as Stated on Form 3541 0 (2) In-County as Stated on Form 3541 0 (3) Other Classes Mailed Through the USPS 1,560 e. Free Distribution Outside the Mail 0 f. Total Free Distribution (Sum of 15d. & 15e.) 1,560 g. Total Distribution (Sum of 15c. & 15f.) 11,475 h. Copies not Distributed 700 i. Total (Sum of 15g. and 15h.) 12,175 j. Percent Paid &/or Requested Circulation (15c./ 15g. x 100) 84%
11,800
9,336
The Handbook of the Medical Consequences of Alcohol and Drug Abuse by Dr. John Brick (Haworth Medical Press), a cutting edge evaluation of the medical effects of the most abused drugs in America today, is now ON SALE. This invaluable reference will assist forensic experts seeking to understand the biobehavioral effects of frequently abused drugs, and the added detailed description of the medical effects of drugs provide a unique insight into abuse. Five unique chapters on alcohol, the drug most often involved in accidents and crimes, as well as chapters on marijuana, opiates, cocaine/ other stimulants, and inhalants make this an invaluable reference guide for the advanced forensic examiner. The Handbook of the Medical Consequences of Alcohol and Drug Abuse is regularly $49.95 plus $5 shipping. Mention The Forensic Examiner with your order and receive this outstanding text for $44.95 with free shipping inside the United States (for orders outside the continental United States please add $6.95 shipping and handling). To order, send your check or money order to: Haworth Medical Press Special Order Intoxikon International 1006 Floral Vale Yardley, Pennsylvania 19067
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16. Publication of Statement of Ownership: Publication required. Will be printed in the Winter 2006 issue of this publication. 17. Signature & Title of Editor: (Signed) Leann Long, Editor in Chief (Date) 10-5-06. I certify that all information furnished on this form is true & complete. I understand that anyone who furnishes false or misleading information on this form or who omits material or information requested on the form may be subject to criminal sanctions (including fines and imprisonment) and/or civil sanctions (including civil penalties).
www.acfei.com or call 800-423-9737 for more information. Are you used as an expert witness in court? Do you have what it takes to be an expert witness? Buy the Expert Witness Manual E-book today! This book is packed with information to help you become a credible and effective expert witness in your chosen field. Topics include the pretrial conference, trial do’s and don’ts, the expert’s report, depositions, demonstrative evidence, and testifying in court.
Winter 2006 THE FORENSIC EXAMINER 69
Falsely Accused On October 20, 1982, Johnny Briscoe sat in his house watching the seventh game of the World Series with his 14 year-old nephew. Little did he know another man was committing a crime Briscoe would soon serve 23 years for in a Missouri State prison. This knife-wielding man broke into a young woman’s apartment in Maryland Heights, a suburb of St. Louis, stole the woman’s jewelry, and raped and sodomized her. After the rape he spent about an hour with the victim in a brightly lit room while they smoked together; he smoked one cigarette and she smoked two. During this time he told the victim that his name was Johnny Briscoe and before leaving asked if he could call on her again. After he left the apartment the victim called the police, and while the police were at her apartment conducting an investigation, the perpetrator called several times, introducing himself as Johnny Briscoe. Police officers traced the call to a pay phone on Adelaide Avenue by Interstate 70, close to Briscoe’s house. Working with police the woman completed a composite that resembled Briscoe and also identified Briscoe as the assailant at his trial in May 1983. Both Briscoe and his nephew testified that the Milwaukee Brewers won the
series when in fact it was the St. Louis Cardinals that had won. After the trial St. Louis County Prosecutor Robert McCulloch stated, “Unfortunately, when he was asked who won the game he gave the World Series to the Brewers. The alibi was gone at that point.” Briscoe was sentenced to 30 years in prison for rape and an additional 15 years on several related convictions. In 2000, Jim McCloskey of Centurion Ministries, a non-profit organization based in Princeton, New Jersey, took the case on after a 3-hour interview with Briscoe that convinced McCloskey of Briscoe’s innocence. In 1983 the DNA testing technology to prove Brisco’s innocence was not available. In 2000 and in 2001 McCullough requested the crime lab produce the evidence in this case and others where DNA evidence was available. McCulloch’s office was told the evidence had been destroyed. Briscoe’s attorney applied for postconviction DNA testing in 2001 and 2002. Again, the lab storing the evidence reported that it had been destroyed after searching the freezer where it was supposed to be stored. It wasn’t until 2004 when a lab-wide inventory was conducted that the evidence, three cigarette butts, was located. McCulloch stated that his office wasn’t informed of the existence of the cigarette butts until July 6, 2006. Testing confirmed that the victim had contact with all three of the cigarette butts. However, the third contained DNA from another person. This DNA did not match Briscoe’s but matched another man already in a Missouri prison serving multiple sentences. It turns out that Briscoe actually knew this man from the neighborhood but was unaware that the man was involved in the assault. The name of this man has not been released, but he is serving a life sentence for another St. Louis-area rape that occurred just a few months after the rape for which Briscoe was convicted. McCulloch states that a decision has not been made on whether to charge the man since he is already im-
70 THE FORENSIC EXAMINER Winter 2006
prisoned for life. “Inexcusable is as polite as I can be in explaining why this wasn’t found in 2000, 2001, 2002,” McCulloch said. Briscoe was released from incarceration on July 19, 2006. Briscoe, now 52, is eligible for up to $36,500 per year of incarceration under a law passed this year but must agree not file suit. McCulloch said he didn’t know if there was enough money in the program yet to pay Briscoe. “It’s been like a war. [It] feels like I’ve been over in Iraq fighting a war, but I’ve been here on my own home front fighting the justice system. I did what I had to do. It’s been a long struggle, a hard struggle, but I held strong,” said Briscoe. Briscoe declined to speak with the press on his first day out, wanting to go home and spend time with his family. Brisco’s sister stated, “We’re just going to take this one day at a time. We haven’t thought ahead. We’re just excited about him being home. This is my best friend.” Works Consulted Inmate Freed After 23-Year ‘Mistake’. (2006, July 19). CBS News. Retrieved September 27, 2006, from http://www.cbsnews.com/ stories/2006/07/19/national/main1819696.shtml Innocence Project. (2006). Johnny Brisco. Retrieved September 27, 2006, from http://www. innocenceproject.org/case/display_profile. php?id=186 Johnny Briscoe free. (2006, July 21). Capital Defense Weekly. Retrieved September 27, 2006, from http://capitaldefenseweekly.com/ Lhotka, W. (2006, July 9). Freedom: What took so long? St. Louis Post Dispatch. Retrieved September 27, 2006, from http://www.stltoday.com/stltoday/news/special/srlinks.nsf/ 0/5C6F46F118426C41862571B10079E8A0? OpenDocument Man Freed After Serving 23 Years For Rape He Didn’t Commit Speaks Out. (2006, July 21). KSDK News Channel 5. Retrieved September 27, 2006, from http://truthinjustice.org/briscoe.htm
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.
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