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THE

FORENSIC

EXAMINER

VOLUME 16 • NUMBER 4 • WINTER 2007

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

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 use of any information, suggestions, or recommendations made by ACFEI or any of its boards, committees, or publications, resources, or activities thereof.

Feature Articles

12 18 12

Digital Forensics in the Twenty-first Century By Gavin W. Manes, PhD

A Proposed Addition to the FBI Criminal Classification Manual: Fraud-Detection Homicide By Frank S. Perri, JD, MBA, CPA, and Terrance G. Lichtenwald, PhD, FACFEI

What the 10 New Auditing Standards Mean for Forensic Accountants By Jan Colbert, PhD, CPA, DABFA, DABFE, Cr.FA

Experience Versus Education in Forensic Engineering By Joseph E. Bonadiman, PhD, PE

Necrotic Spider or Tick Bite? Hobo Spider Venom or Ehrlichial Bacteria? By Cornelia Richardson-Boedler, NMD, MA, DABFE, DABFM

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. 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.

42 THE FORENSIC EXAMINER Winter 2007

www.acfei.com

Case Studies/Current Issues

A Look at Crime in the Age of Technology

Investor Turned Murderer: The Story of Albert Walker

By Amber Ennis, Assistant Editor

By Kristin Crowe, Associate Editor

40 50

Barriers to Forensic Engineering Education

By Leann Long, Editor in Chief

Toxic Shock Syndrome or Rocky Mountain Spotted Fever? By Kristin Crowe, Associate Editor

Victim Impact Evidence: People in Payne

Nonverbal Indicators of Motivation: An Interview with Barry Goodfield

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

By Leann Long, Editor in Chief

Murder—One Jurisdiction at a Time: The Case of Robert Ben Rhoades

By Greg Cooper, MPA, FBI (Retired), Chief of Police (Retired)

Stories of Murder and Invention: An Interview with Erik Larson

By Katherine Ramsland, PhD, CMI-V

Forensics in the Future: An Interview with Ian R. Tebbett By Leann Long, Editor in Chief

Falsely Accused: DNA Evidence Proves Rape Accusation was a Lie

Also in this Issue

08 10 31 64 65 76 79

SEE YOU IN SAN DIEGO!

Editor’s Note: Love our New Look Letters to the Editor Books by ACFEI Members ACFEI News Register for the 2008 National Conference CE Test Pages: Five Continuing Education Credits The New SSI Course: Sensitive Security Information

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79 Winter 2007 THE FORENSIC EXAMINER

FORENSIC

EXAMINER

2007 Editorial Advisory Board

Publisher: Robert L. O’Block, MDiv, PhD, PsyD, DMin (rloblock@aol.com)

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

Editor in Chief: Leann Long (editor@acfei.com) Executive Art Director: Brandon Alms (brandon@acfei.com) Associate Editor: Kristin Crowe (kristin@acfei.com) Associate Editor: Charlyn Ingwerson (charlyn@acfei.com) Assistant Editor: Amber Ennis (amber@acfei.com) Advertising Representative: Don Serfass, McNeill Group, Inc. (800) 394-5157 • (dserfass@mcneil-group.com)

ACFEI Executive Advisory Board Chair of the Executive Board of Advisors: David E. Rosengard, RPh, MD, PhD, MPH, FACFEI, DABFE, DABFM, FACA (apoth.), Chair, American Board of Forensic Medicine Vice Chair of the Executive Board of Advisors: Michael Fitting Karagiozis, DO, MBA, CMI-V, Chair, American Board of Forensic Examiners Members of the Executive Board of Advisors: John H. Bridges III, DSc (Hon.), CHS-V, DABCHS, FACFEI, Chair, American Board for Certification in Homeland Security Doug E. Fountain, PhD, DABFSW, Chair, American Board of Forensic Social Workers Raymond F. Hanbury, PhD, ABPP, FACFEI, DABFE, CHS-III Lee Heath, CHS-V, DABCHS, Chair, American Board of Law Enforcement Experts Brian L. Karasic, DMD, DABFD, DABFM, DABFE, Chair, American Board of Forensic Dentistry Marilyn J. Nolan, MS, DABFC, Chair, American Board of Forensic Counselors Thomas J. Owen, BA, FACFEI, DABRE, DABFE, Chair, American Board of Recorded Evidence Russell R. Rooms, MSN, RN, CMI-III, CFN, Chair, American Board of Forensic Nursing J. Bradley Sargent, CPA, CFS, Cr.FA, Chair, American Board of Forensic Accounting Gregory Vecchi, PhD, DABECI, DABLEE, CFC, CHS-V, Chair, American Board of Examiners in Crisis Intervention Ben Venktash, MS, DABFET, DABFE, Chair, American Board of Forensic Engineering and Technology

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, DABFSW, DABPS, DABFE, DABFM Jennie Martin-Gall, CMT, CMI-I Mike Meacham, PhD, LCSW, DCSW, DABFSW David Miller, DDS, FACFEI, DABFE, DABFM, DABFD John V. Nyfeler, FAIA, LEED-AP 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, 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, LCDC, 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, DAPA, 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, CMI-III

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 2007 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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THE FORENSIC EXAMINER Winter 2007

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The American College of Forensic Examiners Executive Advisory Boards

AMERICAN BOARD OF CRISIS AND EMERGENCY MANAGEMENT Originally The American Board of Crisis Intervention Chair of the Executive Board of Crisis and Emergency Management Advisors: Gregory M. Vecchi, PhD, DABCEM, DABLEE, CFC, CHS-V Vice Chair of the Executive Board of Crisis and Emergency Management Advisors: Vincent B. VanHasselt, DABCEM Second Vice Chair: Kent Rensin, PhD, DABCEM Members of the Executive Board of Crisis and Emergency Management Advisors: Sam D. Bernard, PhD, DABCEM John H. Bridges III, FACFEI, DABCHS, CHMM, CHS-V, DABCEM Raymond Hamden, PhD, CHS-V, FACFEI, DABCHS, DABPS, DABCEM Marie Geron, PhD, DABCEM Marilyn Nolan, MS, DABFC, DABCEM Rev. Roger Rickman, DABCEM, CHS-V, DABCHS, CFC, CMI-I Debra M. Russell, PhD, CMI-V, CRC, CISM, DABCEM Dorriss Edward Smith, Col. U.S. Army, CHS-V, DABCEM Alan E. Williams, MS, CHS-V, DABCEM Founding Members of the Board of Crisis Intervention: James L. Greenstone, EdD, JD, DABCEM W. Rodney Fowler, EdD, PhD, DABCEM Sharon C. Leviton, PhD, DABCEM Edward S. Rosenbluh, PhD, DABCEM (1937-2000) AMERICAN BOARD OF FORENSIC ACCOUNTING Chair of the Executive Board of Accounting Advisors: J. Bradley Sargent, CPA, CFS, Cr.FA Members of the Executive Board of Accounting Advisors: Stewart L. Appelrouth, CPA, Cr.FA, CFLM, CVA, DABFA Gary Bloome, CPA Jules J. Brayman, CPA, FACFEI, DABFA Stephen E. Cohen, CPA, ABV, FACFEI, DABFA, Cr.FA D. Larry Crumbley, PhD, CPA, DABFA, Cr.FA James A. DiGabriele, CPA, Cr.FA, DABFA June Dively, CPA, DABFA, Cr.FA David Firestone, CPA David H. Glusman, CPA, FACFEI, DABFA, Cr.FA Michael G. Kessler, FACFEI, Cr.FA, DABFA, DABFE Eric A. Kreuter, PhD, CPA, CMA, CFM, FACFEI, DABFA, SPHR Dennis S. Neier, CPA, DABFA Sandi Peters, CPA, Cr.FA Raimundo Lopez Lima Levi, CPA, DABFA Jay J. Shapiro, CPA, DABFA AMERICAN BOARD OF FORENSIC COUNSELORS Chair of the Executive Board of Counseling Advisors: Marilyn J. Nolan, MS, DABFC Vice Chair of the Executive Board of Counseling Advisors: Steven M. Crimando, MA, CHS-III Chair Emeritus: Dow R. Pursley, EdD, DABFC Members of the Executive Board of Counseling Advisors: George Bishop, LPC, LAT, LAC, FACFEI, DABFE Laura Kelley, PhD, DABFC Robert E. Longo, FACFEI, DABFC Kathleen Joy Walsh Moore, DABFC, CHS-II DeeAnna Merz Nagel, MEd, LPC Irene Abrego Nicolet, MA, DABFC Hirsch L. Silverman, PhD, FACFEI, DABFC, DABFE, DABFM, DABPS William M. Sloane, LLM, PhD, FACFEI, DABFC Gary Smith, MEd, FACFEI, DABFE Ava Gay Taylor, MS, LPC, DABFC AMERICAN BOARD OF FORENSIC DENTISTRY Chair of the Executive Board of Forensic Dentistry: Brian L. Karasic, DMD, DABFD, DABFM, DABFE Members of the Executive Board of Dental Advisors: Ira J. Adler, DDS, DABFD Bill B. Akpinar, DDS, FACFEI, DABFD, DABFE Stephanie L. Anton-Bettey, DDS, CMI-V Jeff D. Aronsohn, DDS, FACFEI, DABFD, CMI-V Susan A. Bollinger, DDS, CMI-IV, CHS-III Michael H. Chema, DDS, FACFEI, DABFD, DABFE James H. Hutson, DDS, CMI-V, DABFD John P. Irey, DDS, CMI-V Chester B. Kulak, DMD, CMI-V, CHS-III, CFC Morley M. Lem, DDS, FACFEI, DABFD, DABFM, DABFE John P. LeMaster, DMD, DABFD, CMI-V, CHS-III Jeannine L. Weiss, DDS AMERICAN BOARD OF FORENSIC ENGINEERING & TECHNOLOGY Chair of the Executive Board of Engineering & Technological Advisors: Ben Venktash, MS, DABFET, DABFE Vice Chair: Cam Cope, BS, DABFET, DABFE 2nd Vice Chair: Ronald Schenk, MSc, CHS-III, CMI-I Chair Emeritus: David Hoeltzel, PhD Members of the Executive Board of Engineering & Technological Advisors: Nicholas Albergo, DABFET Kyle J. Clark, DABFET

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George C. Frank, DABFE Robert K. Kochan, BS, DABFET, DABFE John W. Petrelli Jr., AIA, NCABB, TAID, DABFET Max L. Porter, PhD, DABFET, DABFE Peter H. Rast, PhD, DABFET, DABFE, DABLEE Oliver W. Siebert, PE, DABFET, FACFEI Kandiah Sivakumaran, MS, PE, DABFET James W. St.Ville, MD, FACFEI, DABFET, DABFM Malcolm H. Skolnick, PhD, JD, FACFEI, DABFET, DABFE AMERICAN BOARD OF FORENSIC EXAMINERS Chair of the Executive Board of Forensic Examiners: Michael Fitting Karagiozis, DO, MBA, CMI-V Chair Emeritus: Zug G. Standing Bear, PhD, FACFEI, DABFE, DABFM Members of the Executive Board of Forensic Examiners: Jess P. Armine, DC, DABFE, DABFM Phillip F. Asencio-Lane, FACFEI, DABFE John H. Bridges, III, CHS-V, DABCHS Ronna F. Dillon, PhD, DABFE, DABPS, CMI-V, CHS-III Nicholas J. Giardino, ScD, DABFE Bruce H. Gross, PhD, JD, MBA, DABFE, DABFM, FACFEI, DAPA Kenneth M. Gross, DC, DABFE, CMI-I Darrell C. Hawkins, JD, FACFEI, DABFE, DABLEE, CMI-IV, CHS-III Michael W. Homick, PhD, DABCHS, CHS-V John L. Laseter, PhD, FACFEI, DABFE, DABFM, CMI-IV, CHS-III Jonathan J. Lipman, PhD, FACFEI, DABFE, DABFM, DABPS Leonard K. Lucenko, PhD, FACFEI, DABFE Edward M. Perreault, PhD, DABFE Marc A. Rabinoff, EdD, FACFEI, DABFE David E. Rosengard, RPh, MD, PhD, MPH, FACFEI, DABFE, DABFM, FACA Janet M. Schwartz, PhD, FACFEI, DABFE, DABFM, DABPS Richard Sgaglio, PhD, CMI-IV AMERICAN BOARD OF LAW ENFORCEMENT EXPERTS Chair of the Executive Board of Law Enforcement: Lee Heath, CHS-V, DABLEE Advisor: Vice Chair of the American Board of Law Enforcement Experts: Darrell C. Hawkins, JD, DABLEE, DABFE, CHS-III, CMI-IV, Members of the Executive Board of Law Enforcement Advisors: Michael W. Homick, PhD, DABCHS, CHS-V Alan Bock, CHS-III, DABLEE Tom Brady, CHS-V, DABLEE Gregory M. Cooper, MPA, DABLEE Dickson S. Diamond, MD, DABLEE, DABFE John E. Douglas, EdD, DABLEE Les M. Landau, DO, FACFEI, DABLEE, DABFE, DABFM Ronald Lanfranchi, PhD, DABLEE, DABFE, CMI-IV, FACFEI, DABFM Leonard Morgenbesser, DABLEE Henry A. Paine, III, PhD, DABFC John T. Pompi, BA, DABLEE, DABFE Stephen Russell, DABLEE, CMI-II Gregory Vecchi, PhD, CFC, CHS-V, DABLEE Oscar Villanueva, CHS-V, DABLEE David E. Zeldin, MA, FACFEI, DABFE, CHS-III AMERICAN BOARD OF FORENSIC MEDICINE Chair of the Executive Board of Medical Advisors: David E. Rosengard, RPh, MD, PhD, MPH, FACFEI, DABFE, DABFM, FACA (apoth.) Members of the Executive Board of Medical Advisors: Terrance L. Baker, MD, FACFEI, DABFM John Steve Bohannon, MD, CMI-IV Edgar L. Cortes, MD, DABFM, DABFE, CMI-V Albert B. DeFranco, MD, FACFEI, DABFM, DABPS, CMI-V James B. Falterman Sr., MD, DABFM, DABFE, DABPS, CMI-IV Malcolm N. Goodwin Jr., MD, FACFEI, DABFM, DABFE Vijay P. Gupta, PhD, DABFM Richard Hall, MD, FACFEI, DABFM, DABFE Louis W. Irmisch, III, MD, FACFEI, DABFM, DABFE, CMI-V E. Rackley Ivey, MD, FACFEI, DABFM, DABFE, CMI-V Kenneth A. Levin, MD, DABFM, DABFE E. Franklin Livingstone, MD, FAAPM&R, FACFEI, DABFM, DABFE, DAAPM John C. Lyons, MD, BSE, FACFEI, DABFM, DABFET, DABFE, CMI-IV Manijeh K. Nikakhtar, MD, MPH, DABFE, DABPS, CMI-IV, CHS-III John R. Parker, MD, FACFEI, DABFM Anna Vertkin, MD, CMI-V Maryann M. Walthier, MD, FACFEI, DABFM, DABFE Cyril Wecht, MD, JD, FACFEI, CMI-V AMERICAN BOARD OF FORENSIC NURSING Chair of the Executive Board of Nursing Advisors: Russell R. Rooms, MSN, RN, CMI-III, CFN, DABFN Vice Chair of the Executive Board of Nursing Advisors: Jamie J. Ferrell, RN, BSN, FACFEI, DABFN, DABFE, CFN

Members of the Executive Board of Nursing Advisors: Marilyn Bello, RNC, MS, CMI-V, CFC, CFN, SAFE, DABFN, DABFE Rose Eva Bana Constantino, PhD, JD, RN, FACFEI, DABFN, DABFE, CFN Renae M. Diegel, RN, SANE, CMI-III, CFC, CFN Dianne T. Ditmer, MS, RN, DABFN, CMI-III, CFN Lo M. Lumsden, ANP, GNP, EdD, CFN, DABFN, DABFN, DABFE, CHS-III Yvonne D. McKoy, PhD, RN, DABFN Suzette Rush-Drake, RN, BSN, PsyD, DABFN, DABFE Elizabeth N. Russell, RN, BSN, CCM, DABFN LeAnn Schlamb, RN-BC, MSN, CFN Sharon L. Walker, MPH, PhD, RN, CFN AMERICAN BOARD PSYCHOLOGICAL SPECIALTIES Chair of the Executive Board of Psychological Advisors: Raymond F. Hanbury, PhD, DABPS, DABFE Vice Chair of the Executive Board of Psychological Advisors: Raymond H. Hamden, PhD, FACFEI, DABPS, DABECI, CMI-V, CHS-V Chair Emeritus: Carl N. Edwards, PhD, JD, FACFEI, DABPS, DABFE Members of the Executive Board of Psychological Advisors: Carol J. Armstrong, LPC, DABPS Robert J. Barth, PhD, DABPS Alan E. Brooker, PhD, FACFEI, DABPS, DABFE, CMI-III Brian R. Costello, PhD, FACFEI, DABPS, DABFE Ronna F. Dillon, PhD, DABPS, DABFE, CMI-V, CHS-III Brent Van Dorsten, PhD, FACFEI, DABFE, DABFM, DABPS Douglas P. Gibson, PsyD, DABPS, CMI-V, CHS-III Thomas L. Hustak, PhD, FACFEI, DABPS, DABFE Richard Lewis Levenson, Jr., PsyD, FACFEI, DABPS, DABFE Stephen P. McCary, PhD, JD, DABFE, DABFM, DABPS Helen D. Pratt, PhD, FACFEI, DABPS Douglas H. Ruben, PhD, FACFEI, DABPS, DABFE, DABFM Richard M. Skaff, PsyD, DABPS Charles R. Stern, PhD, DABPS, DABFE, CMI-V Joseph C. Yeager, PhD, DABFE, DABLEE, DABPS Donna M. Zook, PhD, DABPS, CFC AMERICAN BOARD OF RECORDED EVIDENCE Chair of the Executive Board of Recorded Evidence Advisors: Thomas J. Owen, BA, FACFEI, DABRE, DABFE Committee of the American Board of Recorded Evidence Forensic Audio: Ryan Johnson, BA Forensic Voice Identification: Ernst F. W. Alexanderson, BA, MBA, DABRE, DABFE Members of the Executive Board of Recorded Evidence Advisors: Eddy B. Brixen, DABFET Charles K. Deak, BS, DABLEE Michael C. McDermott, JD, DABRE, DABFE Jennifer E. Owen, BA, DABRE, DABFE Lonnie L. Smrkovski, BS, DABRE, DABFE AMERICAN BOARD OF FORENSIC SOCIAL WORKERS Chair of the Executive Board of Social Work Advisors: Douglas E. Fountain, PhD, DABFSW Chair Emeritus: Karen M. Zimmerman, MSW, DABFSW, DABFE Members of the Executive Board of Social Work Advisors: Susan L. Burton, MA, MSW, CSW, DABFSW, DABLEE Judith V. Caprez, MSW, DABFSW Peter W. Choate, BS, MSW, DABFSW, DABFE Judith Felton Logue, PhD, FACFEI, DABFSW, DABFE, DABFM, DABPS Michael G. Meacham, PhD, LCSW, DABFSW Kathleen Monahan, DSW, MSW, CFC, DABFE Susan P. Robbins, PhD, DABFSW Steven J. Sprengelmeyer, MSW, MA, DABFSW, DABFE AMERICAN BOARD FOR CERTIFICATION IN HOMELAND SECURITY Chair of the Executive Board for Certification in Homeland Security: John H. Bridges, III, D.Sc. (Hon.) CHS-V, CHMM, CSHM, DABCHS, FACFEI Members of the Executive Board for Certification in Homeland Security: Chair Emeritus of the Executive Board for Certification in Homeland Security: Nick Bacon, CHS-V, DABCHS Thomas Baines, MA, MPA, JD, CHS-V, CFC E. Robert Bertolli, OD, CHS-V, CMI-V, DABCHS, DABFE Paul P. Donahue, CHS-V, MBA, Cr.FA, CMA, CPP, CBM Billy Ray Jackson, ATS, CSC, CHS-V Andrew Jurchenko, CHS-V, DABCHS Robert McAlister, CHS-V, DABCHS Robert R. Silver, CHS-V, PhD, MS, DABCHS Lt. Colonel Herman C. Statum, United States Army (Ret.), CHS-V, CPP, MS, PI, DABCHS Edward W. Wallace, CHS-V, Detective 1st Grade (Ret.), MA, SCSA, LPI, CFI I & II, CLEI, CTO, CDHSI Eric White, CHS-V, DABCHS

Winter 2007 THE FORENSIC EXAMINER

Editor’s Note

Love our New Look!

s The Forensic Examiner started as a 3-page newsletter in August of 1992.

t Viewing past covers of The Forensic Examiner demonstrates how much the journal has evolved.

The Forensic Examiner, nearing the end of its 16th year, has come a long way. From the three-page letter that Founder Dr. Robert O’Block created and sent to a few members from his tiny home office back in 1992, to the 88-page, 4-color, peer-reviewed journal that you have before you now, The Forensic Examiner has become a prestigious publication of which our entire staff is extremely proud. Our most recent achievement has us all beaming especially brightly. The Forensic Examiner is now on newsstands across the United States and in Canada, including Barnes and Noble, Borders, Hastings, and many other independent bookstores! Joining the ranks of esteemed magazines such as Scientific American and The Economist, we are one of the only academic peer-reviewed journals to be featured on the newsstands of major bookstores. And just to put any fears immediately to rest, an academic journal is how we will always remain. There is no doubt that long-standing members have noticed the changes in design over the past few years. We’ve encouraged our art director, Brandon Alms, to be creative with layout and cover designs, and we have not been disappointed. Our editorial staff has also put forth a lot of effort to maintain a level of discourse within the journal that is accessible to individuals outside the field. However, we would never dream of compromising our scholarly standards. Our goals do not include catering to people looking for sensational stories similar to those found on popular television networks, but we do want to appeal to a broader audience. As the cover states, we want to show the general public real cases, real experts, and real science. Offering subscriptions and selling on limited newsstands over the past couple of years has made us aware of a growing population of individuals who are not formally educated in forensic science, but who are fascinated with the field. By sharing academic articles with these individuals, we plan to show them that true forensics, though not nearly as glamorous, can be just as interesting and dynamic as any hour-long drama. By expanding our audience, we hope to inspire more young readers to pursue careers in forensics and to bring a higher level of awareness to the importance of forensics funding. Our authors have the chance not only to reach a larger audience, but also to influence a new demographic in a way they never before imagined. ACFEI Members: It goes without saying that the journal wouldn’t be anywhere near what it is today if it weren’t for the dedication and loyalty of you, our members. Above all else, this is your journal, and its main purpose is to serve you. Thanks for helping make The Forensic Examiner the world’s leading forensic journal! New Readers: We’re thrilled you have chosen to explore the real world of forensics with us. We have no doubts that you will love learning about the science behind forensics and enjoy discovering areas of the field new to you! We’re delighted to be the first journal able to maintain high academic standards while appealing to the general public, and we plan to take full advantage of our opportunity to disseminate knowledge to a larger and more diverse audience. This issue in particular reflects a lot of design changes that we hope will be more inviting to all readers. If all goes according to plan, forensic accountants just might find themselves reading forensic engineering articles, and visa versa. Leann Long

Editor in Chief editor@acfei.com THE FORENSIC EXAMINER Winter 2007 www.acfei.com

New Members

Welcome New ACFEI Members! James O. Akers Eric R. Alberts Joe B. Alexander William Hugh Allen LeeRoy Amador Scott T. Appleby Randy Arnold Amumpaire Audrey Mugisa Jeffrey S. Bardin Robert E. Beavin William H. Bell Jr. Joseph C. Bencivenne Chris Bitner Charles E. Blakeslee Jr. Bruce D. Bloch Rama L. Boaz David L. Bogolub Michelle Y. Bolton Diana Q. Bowers John A. Brandt Jinee Brooks Tanya E. Brown William H. Brown III Jeffrey S. Bryson James E. Bulman Athena Burns Heather Carlough Stephanie Carlson Ramon C. Cartasano Jennifer Cavanaugh Rick L. Chan James B. Chervenock

Richard A. Cirelli Judith Anne Cocke Laurel K. Cofell Anthony D. Cole Ann B. Cranshaw Joseph H. Cruz Rita M. Curran Cynthia J. Curtsinger Joe R. Davis Patrick J. Davis Amanda Dean Stephen Allen DeHond Phillip B. Denne Richard A. Douglas Edward Dublois Robert Dwyer William D. Dyches Carla N. Ebarb Edward Ellison Dawn L. Epperson Jeffrey C. Fox Greg W. Gardner James M. Giblin Brian M. Gleason Adalberto L. Gonzalez Steve Gorlin Leon Gough Darryl E. Griffen Raymond A. Griffin Carol Tilly Hand Mark Heaney Robert A. Henry Joseph J. Herrity

Adam B. Hess Dean S. Hiatt A Hollinger Stacy Hollingsworth Dewey D. Horton Mathew D. Ingalls David M. Ingebretsen Avni J. Jashari Newton Johnson Jr. Heatherly Kates Isabel Kaufman Mariko Kawaguchi Elizabeth C. Kella Karla Jan Kelley Dana L. Kelly Matthew Kole Robert L. Korter Kaushal M. Kothari Diana Kwiatkowski Shea M. Lane Helen M. Larsen Bonnie Laverdiere Michael G. Law Jade Caroline Lee Wendy Levy Michael J. Litton Carol Ann Lovelace Gary D. MacGuire Paula M. MacKenzie Michael Maenner Michael Maiers Nichole Malone Sandr M. Maloy

A Benjamin Mannes Peter Manu Jeffrey B. Martin Scott A. Martin Julia Mayo-Johnston Joan M. McAndrews Samantha Lynn McCandless Glen E. McClure Jody McClurkin Mikki McDougall Christine McKown David W. McNulty Cynthia M. Menzies Jan S. Miller Melanie MitchellWalker Uche Modum Shelley Morales Charles Morris Joseph Morrow Jr. Anthony D. Mungo Barry Murante Mugisa Mustapha Gerald E. Myklebust Brian K. Newhouse Ryan Nicholls Curtis L. Novy Stacy Quinn Olivas Dianne Osburn Dan Ostrander Kaushal Patel Gregory L. Pattison

Christopher B. Pena Peter A. Petch Cindi Phoenix Alan S. Pilkington Margaret F. Price Scott A. Rachel Yusuf A. Rahman Jose V. Ramos Ashley E. Randolph Charles W. Reneau Keith Dale Rice Robert B. Rice Gary Rinna Alfredo O. Riverol M Juillet P. Rodgers Alan Rogers Gabriela Rosu James M. Rusiniak Richard L. Russell Robert W. Sanderson Cindy Sanza Michael Sapp Glenn Saracino Larry Schneider Beth Schowalter Brian Schwarz Christie Scribner Lesley Sebastian Kimberly A. Sencindiver Karen Shahan Lynne Shaw Carol B. Slater Peter Trent Smith

Thomas W. Smith Michele Denise Sperfslage John Spicuzza Alester Stalling Thomas B. Steen Larry F. Stewart Scott J. Stoller Michael J. Targia DeeDee Ann Terrano Lisa D. Thigpen Teresa L. Thome Cybele Thompson Katie Torbett Diana J. Torpey Michael D. Townes Vincent Bram Van Hasselt Mary C. Veatch Joao M. Viveiros Christopher Von Grebe Edward Thomas Walrath Crystal Nicole Waters Bonnie Wesley Sally Jane Whetton George W. Wilber Wallace M. Wilhoite Alan E. Williams John M. Williams Sr. Larry A. Woods Cary K. Yee Issa Zacharia Cindy L. Zastrow Robert A. Zerkle

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Winter 2007 THE FORENSIC EXAMINER

Feedback

Letters to the Editor

t "Antidepressant Withdrawal Syndrome and DUI Evaluation" (pages 50–54 of the Fall 2007 issue).

Dear Editor, We read with interest “Antidepressant Withdrawal Syndrome and DUI Evaluation” by Drs. Spiller and Sawyer in the Fall 2007 issue of The Forensic Examiner. The article points out the effects of drugs on the neurotransmitter system of the body and how alterations can take place so that the withdrawal syndrome can be created. This is the normal homeostatic reaction of the body when a drug disrupts the body’s normal state of function for that person. The sudden withdrawal of a drug will disrupt the body’s adjustment to the drug and can cause the withdrawal syndrome, which leads to an impaired state for that person. We would like to discuss the statement, “this produces the paradox of a potentially impaired driver not under the influence of any drug or alcohol.” It is because of the drugs and the homeostatic reaction of the body that the syndrome is produced. The officer has the responsibility to remove an impaired driver from the road, whether a medical call, reckless driving, or DUI. The SFSTs are tools for making decisions for substance impairment. If four or more clues from the HGN exam are present, drugs such as alcohol, dissociative anesthetics, depressants, inhalants, or a combination are the likely cause. Breath testing determines alcohol levels. In many states a Drug Recognition Expert evaluation aid in determination if alcohol, drugs or substance is the cause or a medical call. If drug/substance is indicated, then blood urine, or other biologic specimen may be analyzed for toxicology. Standard field sobriety tests (SFSTs) were designed to help remove the impaired driver from the road. It does not matter how someone becomes impaired—they are impaired. SFSTs do what they are designed to do: take impaired drivers off the road. The article mentions the already existing jerking eye movements. If there is existing nystagmus prior to the administration of the HGN exam, it is typically congenital, an existing condition or of recent occurrence, in which case it may show the need for a neurological evaluation, possibly saving the person’s life. Nystagmus from HGN does not present itself in the resting position; it is manifest while following a target that is presented during the HGN exam. Therefore, an existing nystagmus is of interest but is not confused with the eye movements observed during HGN testing. Prescribing doctors must be vigilant in educating their patients about the effects of using prescription drugs, discontinuing prescription drugs, and drug interactions, especially when driving and operating power tools or machinery. The patient must follow instructions and be responsible for his or her decision to drive or not drive. In many states, the physician is responsible for communication with DMV if a patient is not fit to safely drive a motor vehicle, for whatever reason. Law enforcement officers often encounter individuals who exhibit behaviors consistent with impairment. Regardless of reasons, impaired drivers have failed to stop themselves from being a danger to themselves and others. Officers are trained to observe potentially impaired drivers, and SFSTs are not the only information officers use when deciding to remove drivers from the road. If not alcohol or drugs, a medical problem may be responsible for the impairment. For the safety of the driver and the safety of the public, any impairment cannot be ignored. Dominic R. Pannone, OD, CMI-V, CHS-III and Eugene R. Bertolli, OD, FACFEI, DABCHS, CMI-V, CHS-V

Have something you would like to say? Email your thoughts and comments to editor@acfei.com.

Dear Editor, We thank Drs. Pannone and Bertolli for their comments, but respectfully disagree and appreciate the chance to respond. Our review “Antidepressant Withdrawal Syndrome and DUI Evaluation” was intended to bring to light a potential problem: that the absence of a drug may produce an impaired driver. As we stated “while there may be significant impairment, the term driving under the influence may be inappropriate for these cases” (pages 52–53). Following evaluation by a field officer using the SFST, there may be a suggestion that the driver is under the influence of either drugs and/or alcohol. Follow-up testing, in these specific SSRI withdrawal cases, would show no drugs or alcohol detected. This follow-up testing is often a critical part of evidence in prosecution of these cases. A similar situation might occur if a diabetic patient becomes hypoglycemic while driving. During a moderate-to-severe hypoglycemic episode, the driver may become confused and be “impaired” by his or her low blood sugar. But again, “driving under the influence” may be inappropriate, as no drugs or alcohol involved. In reference to the concept of “impaired but not under the influence,” these patients have not taken any medication and that is, in fact, their problem. They do potentially pose a risk to themselves and other drivers and we stated so in our review: “patients should be warned about the dangers of operating a motor vehicle if they begin experiencing moderate-to-severe withdrawal symptoms” (page 52). We agree that prescribing doctors must be vigilant in educating their patients about the effects of using prescription drugs, discontinuing prescription drugs, and drug interactions, especially when driving and operating power tools or machinery, and that patients should be vigilant in following such instructions. Henry A. Spiller, MS, DABAT, DABFE and Tama Sawyer, PharmD

10 THE FORENSIC EXAMINER Winter 2007 www.acfei.com

CE Article: (CERTIFIED FORENSIC CONSULTANT, CFC) 1 CE credit for this article

Digital Forensics in the Twenty-first Century By Gavin W. Manes, PhD

Abstract Digital forensics experts are called on to collect and analyze digital information from electronic devices such as computer hard drives and cell phones. Electronic evidence is used in a wide variety of cases, ranging from corporate espionage to employee separation or divorce. Recent changes to the Federal Rules of Civil Procedure have legitimized the use of digital evidence in court, making this new field of forensics more relevant than ever.

Key Words: digital forensics, federal rules of civil procedure, digital evidence

n increasing number of business and legal investigations include evidence extracted from digital devices such as computer hard drives, PDAs, and cell phones. When it becomes apparent that digital information must be used in the course of an investigation or discovery process, digital forensics experts must be employed to carefully gather pertinent evidence. Digital forensics professionals are responsible for the collection, analysis, and investigation of electronic evidence from digital devices. The gathered “snapshot” of information must be collected in a detailed, methodical, and scientific manner, as any or all evidence can be used in discovery, in depositions, or in trial. Historically, paper documents have been the mainstay of evidence production in the court system. However, a standard computer hard drive contains enough easily readable information to fill hundreds of thousands of sheets of paper, making the court’s reliance on paper imprudent. Digital documents in their native formats also contain information that their paper counterparts do not, such as user access dates and editing information. This type of information, called “metadata,” can offer valuable clues regarding user interaction with documents and files. For example, Microsoft Word can capture

12 THE FORENSIC EXAMINER Winter 2007

important information such as edits made using the track changes feature of the program. The production of digital documents during court proceedings is important to ensure all necessary information has been preserved.

Case Study John Smith has a wife of 10 years and two young children and lives in the suburbs. He likes golf and the occasional fishing trip and owns his own business. And he has been cheating on his wife with an Internet girlfriend for 2 years. They have chatted on an instant messenger at work, emailed pictures and jokes, and even planned weekend getaways to Louisiana. When she did not show up for the first trip, Smith was worried. But when she did not arrive at the prearranged hotel for the next two trips, he became suspicious. He could not imagine why someone who wrote such heartfelt emails would treat him with such disregard. Tired of waiting for an answer, Smith hired a private investigator to identify his mystery woman. Internet searches were inconclusive, and the service provider would not give the woman’s personal information without the threat of legal action and a subpoena. After striking out on all of the usual investigative avenues, the investigator told Smith that he was not finding any significant information.

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Winter 2007 THE FORENSIC EXAMINER 13

A Look at Crime in the Age of Technology

By Amber Ennis, Assistant Editor

onsidering the overwhelming influx of new technology around every corner, it is no surprise that computer-related fraud is becoming more and more commonplace. In fact, modern technology, while offering instant information and communication for many, has given criminals a new avenue to carry out carefully meditated crimes. The advances of digital technology offer a sense of security for criminals attempting to maintain anonymity in cyberspace. Whether a false security or not, these technologically savvy criminals are using computers for a variety of crimes. Although web-based applications such as eBay and online banking are designed to make consumers’ lives easier, oftentimes, there are kinks in the system that foster fraud. In February of 2004, 19-yearold Cole Bartiromo pled guilty to multiple counts of fraud involving an eBay scheme (Yang, 2004). Bartiromo, along with two others, was offering various items for sale on the auction site; on receiving payment from the winning buyers, he never sent the purchases. Additionally, he was charged with bank fraud for attempting to persuade a bank

employee to wire $400,000 to an offshore account. Bartiromo also planned to have the eBay checks cashed and wired to the account. While Bartiromo’s actions were relatively low-key, corporate computer crime can happen on a much larger scale, resulting in multi-million dollar payoffs. Dr. David L. Carter, professor at Michigan State University’s School of Criminal Justice, outlines four types of computer crime in his article “Computer Crime Categories: How Techno-criminals Operate” (1995). Carter describes the first type as “crime in which the computer is the target.” This type of crime includes “such offenses as theft of intellectual property, theft of marketing information (e.g., customer lists, pricing data, or marketing plans), or blackmail based on information gained from computerized files (e.g., medical information, personal history, or sexual preference)” (Carter). Criminals who commit this type of computer crime are using the computer to obtain knowledge or to damage programs. According to Carter, this is relatively easy for a professional to do, as most operating systems offer ways to bypass security features. In 2003, Roman Meydbray, a former manager at Creative Explosions, Inc., a software development firm, used his knowledge of information systems to break into his old firm’s email system and damage the server. Meydbray “deleted an e-mail server domain, accessed the e-mail account belonging to the president of Creative Explosions, and made configuration changes to the mail servers that caused e-mails to be rejected” (Computer Crime Research Center [CCRC], 2005). Meydbray’s computer was seized during the investigation, and he later pled guilty to one count of unlawful access to stored communications and one count of unauthorized access to a computer and recklessly causing damage (CCRC). Carter’s second type of computer crime uses the computer as the “instrumentality of the crime” (1995). Some examples include “fraudulent use of automated teller machine (ATM) cards and accounts; theft of money from accrual, conversion, or transfer accounts; and credit card fraud” (Carter), among others. Crimes in this category are committed by infiltrating and manipulating computers to assist in the crime. Since these types of crimes are generally more public, they require a careful knowledge of the surrounding surveillance as well as the manipulation of the machines. These types of crimes are risky; they can, however, result in a high payout if carried out.

But fortunately for Smith, the private investigator had close connections with a digital forensics company that helped him identify Smith’s girlfriend through email communications. The forensics investigators began by targeting the general area where the girlfriend was sending emails by investigating the address-like information embedded in the email. All emails contain “headers” with destination and return addresses, much like envelopes. Headers also include addresses from each routing point that the email passes through on the Internet, showing the path taken to reach a destination. Ironically, the email headers led the forensics experts to a computer in the same city as Smith— something that came as quite a surprise to him. 14 THE FORENSIC EXAMINER Winter 2007

He could not believe that he had scheduled trips out of state and spent hours chatting with someone that might be living on the same street. Like Smith, the private investigator found the situation suspicious. Why would someone so close and invested in a relationship want to hide her location? The forensics experts investigated all of Smith’s emails and compared all email headers. Suspicious that Smith might be ‘dating’ someone he already knew, the investigators looked to see if any emails sent from Smith’s girlfriend matched an email sent from someone else in his mailbox. Both the forensics experts and the private investigator were correct. After making a careful

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The work of the “ATM gang” in 2001 accomplished just that. The group purchased 50 ATM machines, set them up in several states, and linked the machines to national banking services in order to steal victims’ account information as they were withdrawing money (NBC News, 2003). After the victims had withdrawn cash, the gang would take the account information to legitimate ATM machines and perform the fraudulent transactions. Nearly 21,000 bank accounts were affected, resulting in a payout of $4 million for the criminals. Two were charged in the heist, yet the “alleged mastermind” fled to Europe and was never apprehended (NBC News). The third type of computer crime in Carter’s hierarchy involves computers being incidental to other crimes (1995). In this type of crime, the computer is not directly involved, but is related to another crime. Carter observes that in these cases, the computer is not necessary; the computer, however, allows the crime to be carried out more quickly and anonymously than without the aid of the computer. In most situations, the data is stored electronically and is used as evidence once recovered. During a routine methamphetamine drug bust in northern New Mexico in late 2006, police found additional evidence incriminating three people at Royal Crest mobile home park. Authorities found and confiscated 3 USB port memory sticks containing classified information from Los Alamos National Laboratory (Associated Press [AP], 2006). It was later found that an employee of Los Alamos who was connected with one of the drug dealers retrieved the information. Authorities did not release much information concerning the contents of the memory sticks except that “they appeared to contain classified material and were stored on a computer file” (AP). The last of Carter’s four types of computer crime is crime associated with the prevalence of computers. These crimes are not necessarily new, but they have been generated in such ways that they are seen as updated versions of traditional crimes. Some examples are “software piracy/counterfeiting, copyright violation of computer programs, counterfeit equipment, black market computer equipment and programs, and theft of technological equipment” (Carter, 1995). With the growing expense of up-to-date software, more copyright laws are being heavily publicized to combat increasing piracy crimes. Still, this type of crime can be found in numerous locations worldwide, and is perhaps the most performed type of computer crime.

comparison and double-checking the results, the forensics experts found that the girlfriend’s emails were being sent from the same address as Smith’s home computer. They concluded that Smith had been cheating on his wife with his wife for more than 2 years. Smith was understandably shocked! Although forensics cannot answer all the questions that would naturally follow such a revelation, it did catch a woman who believed she was anonymous on the Internet.

Common Forensics Investigations Two surprisingly common misconceptions are that emails cannot be traced and that chat room participants cannot be found. As a result, people (800) 423-9737

In 2005, Maksym Vysochanskyy of the Ukraine pled guilty to charges of criminal copyright infringement and trafficking. Vysochanskyy reproduced illegal copies of software such as that by Adobe, Microsoft, and others and then sold them via eBay and personal websites (Sonderby, 2005). He used several online aliases to disguise his identity and set up various email accounts by which to communicate with potential buyers. Vysochanskyy’s case was one of the first intellectual property cases to involve extradition (Sonderby). There are obvious downsides to living in the computerized twentyfirst century, as evidenced by these cases. However, as with anything, we must expect the evil to be let in with the good. There is no disputing the fact that computers are a necessary part of our daily lives, so no quick fixes are probable. Soon digital forensics experts may have the knowledge and capabilities to more effectively combat the problems associated with the age of technology. Until then, we can only use our resources to take preventative measures and inform others about the threat of computer crime.

References The Associated Press. (2006, October 25). New details emerge in Los Alamos case. CBS News. Retrieved August 30, 2007, from http://www.cbsnews.com/stories/2006/ 10/24/national/main2122004.shtml Carter, D. L. (1995, July). Computer crime categories: How techno-criminals operate. Retrieved August 26, 2007, from http://nsi.org/Library/Compsec/crimecom.html Computer Crime Research Center. (2005, July 11). Computer crime case: Former manager pleads guilty. Retrieved August 26, 2007, from http://www.crime-research. org/news/21.07.2005/1375/ NBC News. (2003, December 11). ATM fraud: Banking on your money. Retrieved August 29, 2007, from http://www.msnbc.msn.com/id/3607110/ Sonderby, C. P. (2005, November 29). Guilty plea in international software piracy and financial crime prosecution: Case involves extradition for intellectual property crimes. U.S. Department of Justice. Retrieved August 29, 2007, from http://www.usdoj.gov/ criminal/cybercrime/vysochanskyyPlea.htm Yang, D. W. (2004, March 1). Mission Viejo teen guilty in Internet auction fraud; defendant also admits $400,000 bank fraud. U.S. Department of Justice. Retrieved August 26, 2007, from http://www.cybercrime.gov/bartiromoPlea.htm n

often do and say things online that they would not in a face-to-face conversation. The impersonal nature of email and instant messaging can lead to problems, both personal and professional. The majority of forensics cases involve employee separation and discrimination issues. Most often, an employee exits a company with proprietary information and uses it to establish a competing business. Some are brazen enough to email themselves client lists, engineering specifications, and account information. Others are more discreet, preferring to burn such information to a CD or download it to a flash drive. Fortunately, forensics experts can not only examine system files to determine whether a transfer has been made

Two surprisingly common misconceptions are that emails cannot be traced and that chat room participants cannot be found. As a result, people often say things online that they would not in a face-to-face conversation.”

Winter 2007 THE FORENSIC EXAMINER 15

of these emails, which the superior claimed never to have received. Examination of the computer showed pieces of the email text within the hard drive’s “unallocated space,” the areas where deleted information is sent. Yet the text did not appear in the former employee’s email folders. The forensics company recommended a review of the company’s email servers through which the emails would have passed if they had been sent. No evidence of the emails was found. Later, evidence of a forgery was discovered on the employee's new office computer. He had used an engineering tool to fabricate documents to look like the printout of an email. The presentation of this evidence was the turning point in the case, which was summarily dismissed.

Steps Taken by Computer Forensics Specialists

1. Protect the subject computer system during the examination 2. Discover all the files on the subject system 3. Recover all deleted files 4. Reveal hidden or temporary files 5. Access protected or encrypted files 6. Analyze all relevant data 7. Print out an overall analysis of the examination 8. Provide expert consultation and/or testimony Robbins, J. (no date). An explanation of computer forensics. Retrieved Sept. 5, 2007, from www.computerforensics.net/forensics.htm

Investigating Digital Devices

(Handout/MCT 2007)

Digital communications seem anonymous, but quite the opposite is true. Experts are able to investigate user activity through such applications as email, instant messaging, text messaging, and even Internet telephone conversations. Some commonly investigated devices by digital forensics experts are as follows: • computers • Blackberries • iPods • automobiles • cell phones

to external media, but also conduct thorough examinations for email attachments. Forensics experts are often called to examine computers from employment lawsuits, such as discrimination, sexual harassment, and wrongful termination. In these cases, the investigated computer has often been used for several months since the employee’s departure, presenting challenges to forensics examiners. This is particularly true if the key information has been deleted.

Deleted Information Is Not Gone When information is deleted from a digital device, the file itself is not erased but, rather, the computer’s reference point for the file is erased. It is much like removing a card from the library’s card catalogue, but not taking the book off the shelf. The computer then marks the space containing the file as available. If a large amount of data is added to the drive, there is a chance that the “deleted” file can be overwritten. However, the use of very large hard drives in most current computers makes the chance of overwriting unlikely, and fragments of documents can often be found even a year after normal computer use. Another recent forensics case involved a wrongful termination suit brought against a construction company by a former employee. He had been fired due to cost overruns on the company’s biggest project. The employee’s suit claimed his superior directed the project into overruns and blamed the results on other employees. The documents produced by his lawyers included emails sent to the superior, which cited warnings of overruns and suggestions to avoid them. Forensics experts were asked to investigate the former employee’s computer for evidence

16 THE FORENSIC EXAMINER Winter 2007

Recent Changes to the Rules of Civil Procedure Both law makers and policymakers at the national level recognize the involvement of digital devices in modern-day litigation. Recent changes to the Federal Rules of Civil Procedure indicate that the court system is recognizing the crucial importance of electronic information in the process of investigation and litigation. While the Federal Rules of Civil Procedure have changed the production of electronic information, most decisions related to its evidentiary value are defined under the Federal Rules of Evidence. These rules apply to both civil and criminal proceedings, but most challenges and decisions related to digital evidence have been made in criminal courts. In particular, the new rules indicate that digital documents are given the same weight and status as paper documents in terms of production. These rule changes underscore the fundamental shift of modern litigation toward the inclusion of electronic information in the legal process. Although the implications of these rule changes will not be clear until they are tested in the courts, it is expected that demand will increase for properly performed data collection and digital forensics investigations. As always, the admission of digital forensics evidence into cases will continue to be governed by the Daubert rules.

Licensing Requirements Licensing requirements for forensic examiners have yet to be standardized on a national level, but most states require some level of certification to handle evidence and perform investigations. In the majority of states, digital forensics professionals are required to obtain a private investigator license; however, three

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About the Author

Although many attorneys and investigators have yet to use the services of digital forensics experts, digital information can assist in almost any case.â&#x20AC;?

states (Alabama, Alaska, and Wyoming) have licensing requirements only in certain cities, and others (Colorado, Idaho, and South Dakota) have no licensing requirements whatsoever. Given that this is a relatively recently established field, it is likely that a national certification for digital forensics examiners is on the horizon, particularly with Federal Rule changes that all but mandate the use of such experts to handle digital information. Most licensing organizations impose both penalties and fines if examiners do not follow the proper evidentiary handling rules. The specific injunctions vary by state but typically include both financial sanctions and the revocation of licenses. It is important to investigate the certifications required by your state when seeking a digital forensics examiner. Knowingly hiring an unlicensed person can be punished through sanctions, fines, or worse: inadmissible evidence. As digital devices become more pervasive in the modern world, the amount of electronic information processed into the legal landscape will continue to increase. Although many attorneys and investigators have yet to use the services of digital forensics experts, digital information can assist in almost any case. The complexity of such devices and the changeable nature of such infor(800) 423-9737

mation necessitates the establishment of digital forensics examiners as a crucial addition to the forensics field.

References Arkfeld, M. (2003). Electronic discovery and evidence. Phoenix, AZ: Law Partner Publishing. Daubert v. Merrell Dow Pharmaceuticals, 509 U.S. 579 (1993). Mac Avoy, J., & Eng, G. (2006, June 19). Litigation: Forging ahead on e-discovery [special issue]. New York Law Journal. Ryan, D. J., & Shpantzer, G. (2005). Legal aspects of digital forensics. Retrieved April 12, 2007, from http:// www.danjryan.com/Legal%20Issues.doc Zubulake v. UBS Warburg (S.D.N.Y. 2002-2005). n

Gavin W. Manes, PhD, brings extensive knowledge in the field of digital forensics to his position of president of Oklahoma Digital Forensics Professionals Inc. Manes received his doctorate in computer science from the University of Tulsa (TU), where he now works as a research assistant professor. Since 1996, Manes has specialized in the fields of information assurance, computer security, and digital forensics at the Center for Information Security at TU. He has also published papers and journal articles and delivered congressional testimony in the areas of information assurance, digital forensics, and telecommunications security. Manes has briefed the White House, National Security Council, and the Pentagon. For the last 2 years, he has given presentations on digital forensics at the ACFEI National Conference. In addition, he has all five National Information Assurance Education and Training Program federal information assurance certifications from the Committee on National Security Systems and the National Security Telecommunications and Information Systems Security Instruction. Manes has also worked closely with many local, state, and federal law enforcement agencies. Manes maintains memberships in the High Tech Crime Investigation Association, Digital Forensics Working Group, Association of Computing Machinery, Oklahoma Infragard, Information Systems Security Association, and the American College of Forensic Examiners Institute. For additional information, please visit www.okdfp.com.

Earn CE Credit To earn CE credit, complete the exam for this article on page 76 or complete the exam online at www.acfei.com (select â&#x20AC;&#x153;Online CEâ&#x20AC;?).

Winter 2007 THE FORENSIC EXAMINER 17

CE Article: (CERTIFIED FORENSIC CONSULTANT, CFC) 1 CE credit for this article

A Proposed Addition to the FBI Criminal Classification Manual: Fraud-Detection Homicide By Frank S. Perri, JD, MBA, CPA, and Terrance G. Lichtenwald, PhD, FACFEI

Abstract

I would have had the [expletive] wasted, but I’m not sorry for feeling this way. I’m sorry that I didn’t rub her out, real sorry.” Statement of a convicted white-collar criminal regarding the woman who disclosed his fraud crimes to the authorities (Addis, 1986). This article is approved by the following for continuing education credit: (ACFEI) The American College of Forensic Examiners International provides this continuing education credit for Diplomates. (CFC) The American College of Forensic Examiners International provides this continuing education credit for Certified Forensic Consultants. (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 is approved by the American Psychological Association to sponsor continuing education for psychologists. ACFEI maintains responsibility for this program and its content. (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 soley is responsible for all aspects of the program and its content.

Behavioral data were located from 27 homicide cases in which fraud, a white-collar crime, occurred either prior to or contemporaneously with each homicide. The homicide cases in this study were classified as fraud-detection homicides because either white-collar criminals themselves, or assassins they hired, killed the individuals suspected of detecting their fraud. The white-collar criminals who committed murder were sub-classified as red-collar criminals. Both the descriptive homicide data and the literature review lend support to three overriding impressions: red-collar criminals harbor the requisite mens rea, or state of mind, to physically harm someone that may have detected, or is on the verge of detecting, their fraudulent behavior; the victim of a red-collar crime does not have to be someone who profiteered, aided, or abetted in the fraud; and red-collar criminals have a history of antisocial and psychopathic tendencies. Given these conclusions, advocacy for consideration of forensic accountants and fraud examiners as members of homicide investigation teams to assist in the development of a motive to support the prosecution of red-collar criminals is in order. Data gathered in the course of this study indicate the presence of a sub-classification of whitecollar criminals who are violent and the need for a new homicide classification to be referred to as fraud-detection homicide for inclusion in the FBI’s Crime Classification Manual (Douglas, 1992) as an appropriate system for classifying and profiling these murders.

Key Words: red-collar crime, white-collar crime, fraud, motive, detection, homicide, murder, psychopath, Perri’s Matrix, the Perri-RCM

ne of the misconceptions commonly held of white-collar criminals is that they are not like criminals who lash out violently. In part, this perception is supported by a legal system that classifies white-collar crimes as non-violent. For example, the Dictionary of Criminal Justice Data Terminology, published by the Federal Bureau of Justice Statistics, defines white-collar crime as “non-violent crime for financial gain committed by means of deception . . . irrespective of the person’s occupation” (1981). The study at hand examined types of white-collar crime involving issues of fraud-based crime. The descriptive data indicates that a subgroup of violent white-collar criminals exists and, moreover, that certain behavioral factors motivate a white-collar criminal to resort to

18 THE FORENSIC EXAMINER Winter 2007

violence. The data has been examined with a single question in mind: Is imminent threat of detection a sufficient motive for the white-collar criminal to respond violently?

The Perri Red-Collar Crime Matrix (RCM) Examining 27 murder cases revealed that for this sub-group of violent white-collar criminals, threat of fraud detection is a motive to kill—hence the name, fraud-detection homicide. This sub-group is referred to as red-collar criminals because they straddle both the whitecollar crime arena and, eventually, the violent crime arena. In circumstances where there is threat of detection, red-collar criminals commit brutal acts of violence to silence the people who have detected their fraud and to prevent further disclosure.

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Winter 2007 THE FORENSIC EXAMINER 19

In terms of societal perception, the work of Cullen, Clark, Mathers, and Cullen (1983) significantly indicated that people perceived white-collar offenses, though not associated with violence, as having greater economic and moral costs and repercussions than conventional street crimes. The public perception and criminal classification of such crimes as nonviolent does not preclude the offender from being violent.

The Sub-Classifications of Criminal Enterprise Homicide Contract killing: A contract killer is one who kills by secret assault or surprise for profit. There is usually an absence of relationship between the killer and victim. Gang-motivated: A gang is an organization, association, or group that has as one of its primary activities the commission of antisocial behavior and criminal acts, including homicide. Homicides are associated with territorial struggles. Criminal competition: Death in this type of homicide is a result of organized crime over control of territory. Kidnap murder: Kidnap murder designates persons taken against their will and for a variety of motives, such as a demand for ransom. Product tampering: Death results from contact with a commercial product that has been sabotaged by the offender whose motive is financial gain. Drug murder: Defined as the murder of an individual deemed an obstruction in order to facilitate the proliferation of an illegal drug business. Insurance/Inheritance: The victim is murdered for insurance and/or inheritance purposes. Commercial profit: Murder to gain control of a business or to profit from the business. Felony-murder: Property crime (robbery, burglary) is the primary motivation, where during the commission of a violent crime, a homicide occurs.

First, information was assembled from murder cases where fraud pre-dated the murder, and second, for the purpose of visual comparison, information from each case was broken down into identifiable variables (i.e., type of fraud, age and gender of defendant, relationship to victim, etc.). The Perri-RCM was developed to distinguish behavioral inferences from other evidence gathered during both the investigation and subsequent trials. Clearly, the pattern characteristics in the Perri-RCM are not all-inclusive, and as more cases are analyzed, the Perri-RCM can be modified to accommodate additional characteristics that may be useful for profiling. Third, the information was structured into a matrix. In each case where the murderer (defendant) was involved in the fraud, the case is identified by the defendant’s last name, which appears at the top of the matrix (see Table 1). For example, Case 1 is titled “Hansen.” George Hansen served as the initial case study, thus the case is identified by his last name. The only cases not listed by the name of the defendant (but include the names of the victims) are the Gamov (23), Kholodov (24), Klebnikov (25), Hovasapian (26), and Kozlov (27) cases. In these cases, the killers have not been brought to justice. To begin, the proposed crime classification, fraud-detection homicide, is compared to the existing FBI homicide classification to illustrate why fraud-detection homicide should be considered as a separate classification. Secondly, where the behavioral aspects of red-collar criminals are compared to those of non-violent white-collar criminals, the focus is limited to concerns of psychopathy, societal misconceptions of murder defendants, ideation factors, and actual homicide case studies illustrating fraud-detection homicide. In an interesting aside, red-collar Russian cases are compared to American murders. And finally, the role of forensic investigators in uncovering homicidal motive and its importance in the prosecution of these defendants is discussed.

Fraud-Detection Homicide and Criminal Enterprise Homicide: A Distinction A literature review does not reveal any classification or definition for white-collar criminals who murder due to their fraud crimes being detected; further, the FBI Crime Classification Manual (CCM) (Douglas, 1992) does not include an appropriate category for the murder cases scrutinized in this study. The FBI classification most similar to the homicides presented in this study was the criminal enterprise homicide classification; however, the classification does not fit this study’s fact patterns. Criminal enterprise homicide “entails murder committed for material gain.”

20 THE FORENSIC EXAMINER Winter 2007

A review of the nine definitions of the criminal enterprise homicide sub-classifications demonstrates the distinctive nature of fraud-detection homicide cases—cases that do not fit into any of the sub-classifications for criminal enterprise homicide most significantly because the killer’s motive in fraud-detection homicide does not parallel the motives in the criminal enterprise homicide sub-classifications. None of the subclassifications offers fraud detection as a motive to kill. Secondly, by the sub-classification definitions, in order to receive the hoped-for material gain, the murder must first occur. However, in frauddetection homicide, the material gain pre-dates the murder—it is the threat of detection that motivates the kill. For example, in insurance/ inheritance homicide, the murder is the conditional antecedent event that must take place in order to receive the gain; whereas, in the fraud detection homicide case, the killer already has received the material gain, and murder is not a pre-condition for its receipt. A new homicide classification system is recommended to categorize the type of murders presented in this study, and the FBI Crime Classification Manual would seem an appropriate forum for categorizing and profiling these homicides. With the inclusion of fraud-detection homicide in the manual, collected data on these killers can be further researched and the traits attributed to redcollar criminals can be refined.

The Threat of Fraud Detection—A Motivation for Murder In each of the 27 cases presented, the murderer(s) belonged to the sub-group of red-collar criminals, and each demonstrated the capability of unleashing heinous and brutal violence toward individuals they believed had detected, or were in a position to detect, their fraud schemes and potentially reveal such information to third parties. Initially, and prior to any violent act, the white-collar criminal characteristics were predominant in each murderer. As white-collar criminals, they wished to divert attention from their fraudulent schemes. Unlike other homicides, violent white-collar criminals who turn red prefer to operate clandestinely without attracting attention to themselves, though it is fair to suspect that each red-collar murderer realized that in committing a violent act, he or she was potentially increasing the risk of exposure. The data reveal the following: each murderer had fraud detection as a motive to kill; a blitz-style attack occurred in 21 out of 27 murders; and the killers demonstrated sadistic tendencies—overkill occurred in 19 out of the 27 murders. In referencing the Perri-RCM, it is interesting to note that

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in the majority of the American cases revealing overkill, the defendant intimately knew the victim; for example, the victim was either a relative or had been a coworker. The behavioral data raises questions about the extent to which red-collar criminals are willing to assume risk of detection (both for the violent act and for the underlying white-collar crime) in order to maintain anonymity. In some respects, the suggestion that the red-collar criminal is willing to risk exposure in order to maintain anonymity appears contradictory. Yet, the inclination to physical violence as a solution distinguishes these fraudsters from non-violent white-collar criminals.

Psychological Factors The misconception that white-collar criminals are not like violent criminals is widely held. Those who hold this view argue that white-collar criminals experience a moral lapse, and then engage in fraudulent behavior. The misconception of nonviolence and moral lapse is reflected in our legal system where crimes involving fraud are referred to as crimes of moral turpitude. Crimes of moral turpitude reflect behavior that violates moral sentiment or accepted moral standards of the community. Although street criminals are assumed highly likely to recidivate, white-collar offenders are thought to be “one-shot” criminals, not likely to be processed into the justice system following an initial brush with the law. Weisburd, Chayet, and Waring (1990), however, provide data that does not support this popular belief regarding the limited criminal activity of white-collar criminals. They found that adult defendants convicted under white-collar crime statutes are often repeat offenders. The results of the Weisburd et al. study contradict the prevailing notion that if white-collar criminals do engage in violent acts such as murder, the act is, somehow, a fluke—an act analogous to a crime of passion where the person’s state of mind would normally not commit such vicious violence, and where there is little or no likelihood for relapse. Both literature and data suggest that the redcollar sub-group is capable of functioning in conventional society, to a large measure, because so few grasp, until a murder arrest is made, that red-collar criminals are truly different from both white-collar criminals and ordinary people. It is incorrect to assume that both white-collar and red-collar criminals share the same value system with the majority of society solely on the basis of the observation that they engage in many of the same “normal” societal activities—they work, go to school, have families—in other words, they “blend in” (Hare, 1993). (800) 423-9737

Many cannot resolve the cognitive dissonance that occurs among members of a community who are asked to believe that a red-collar criminal who has assimilated so well—wearing suits and ties and belonging to many of the same social groups as they do—is capable of murder. In short, we resist the notion that people who look like “us” behave brutally. Red-collar criminals feed upon this misconception to create smoke screens about their motives. A background investigation of the red-collar criminals identified on the Perri-RCM does not support the suggestion that these persons somehow acted out of character when they committed murder. In fact, quite the opposite holds true: the capacity to kill without remorse was a seed inherent in the red-collar criminal that germinated when the proper conditions surfaced.

Psychopathy As suggested by the Hare Psychopathic Checklist (see Exhibit 1), the defendants listed in the PerriRCM had documented histories of exhibiting both antisocial behaviors as well as moderate to above-moderate psychopathic traits—such as being superficially charming, egocentric, insincere, manipulative, and exploitative—all for the sake of self-gratification. For example, the forensic psychologist in the Sante Kimes cases, Dr. Arthur Weider, stated that Sante demonstrated psychopathic personality features with “no guilt, conscience, remorse, or empathy;” adding that Sante was “socially charming, arrogant, full of herself, [and] egocentric coupled with a superiority complex” (King, 2002). In the Hansen (1), Porco (6), and Kimes cases (17–18), professionals knowledgeable in psychopathy agreed that all these defendants exhibited psychopathic traits. The murderers cited in the Perri-RCM are persons who considered themselves extremely clever and who rarely learned from past negative experiences. Prior police encounters had no bearing on their current antisocial behavior, as in the Petrick case (12), where the defendant had numerous prior convictions for fraudulent behavior. Even though many of the red-collar criminals did not have criminal histories, they had exhibited antisocial behavior—they simply had not been caught. A unifying characteristic of the defendants in the Perri-RCM was the ability to assess the vulnerabilities of both the organizations and individuals from whom they stole. On the May 4, 2005, CNN airing of the Larry King Show titled, “Inside the Mind of a Psychopath,” veteran FBI profiler Gregg McCrary said, “I think psychopaths are the best natural psychologists out there . . . they read vulnerabilities, they read people, and they

White-collar criminals are not people who are threatening the lives of others. They are not violent people.” Inaccurate statement of a Federal District Court Judge commenting on white-collar criminals (Wheeler, Mann & Sarat, 1988).

There were several email correspondences between Porco and his parents that exemplified the tension between the parties when the parents confronted him about his fraudulent behavior and threatened to go to the authorities to take action against him. In one email, his father wrote: “Did you forge my signature as a co-signer? What the hell are you doing? You should have called me to discuss it … I’m calling Citibank this morning to find out what you have done and am going to tell them I’m not to be on it as co-signer” (Lyons, 2005). The next day, Citibank informed an amazed Peter Porco that his son had also obtained a line of credit to purchase his new Jeep Wrangler. Again, Christopher had used his father’s name as co-signatory to secure the auto loan. The parents tried to contact Christopher via the phone, but Christopher would not talk to them. In another email, the father wrote, “I want you to know that if you abuse my credit again, I will be forced to file forgery affidavits in order to disclaim liability and that applies to the Citibank college loan if you attempt to reactivate it or use my credit to obtain any other loan” (Lyons, 2005).

Winter 2007 THE FORENSIC EXAMINER 21

Table 1: Perri's Red-Collar Matrix Pattern Characteristics

Case 1 Hansen

Case 2 Dyleski

Case 3 Fawaz

Case 4 Farraj

Case 5 Porco

Case 6 Bernal

Case 7 Bernal

Case 8 Barajas

Case 9 Barajas

Case 10 Johnson

Case 11 D'Antonio

Case 12 Petrick

Case 13 Adamson

Embezzlement Fraud

Credit Card Fraud

Mortgage Fraud

Loan Fraud

Mortgage Fraud

Insurance Fraud

Off-Book Fraud

Check/Credit Card Fraud

Land Fraud

Mafia

Jack the Ripper

Unknown

Hammer

Blunt/knife

Blunt object

Gun

Tape/Chains

Bomb

Defendant

Victim Office

Victim Home

Victim Office

Victim Home

Unknown

Public

Victim

3rd party

Victim

Victim/3rd

Victim

Unknown

Yes

Female

Male

Female

Male

Female

Male

Female

Male

Unknown

Head

Head/body

Head

Asphyxiated

Body

White

Arabic

White

Yes

Victim’s Occupation

Bookkeeper

Executive

Student

Executive

Bus. owner

Editor

Music Tracker

Musician

Reporter

Victim Occupational Status

White-collar

Unknown

White-collar

Victims Related to Each Other?

Yes

Victim Related to Defendant?

Yes

Unknown

Victim have a Prior Criminal Record?

Unknown

Defendant (Gender)

Male

Female

Male

Unknown

White

Arabic

White

Hispanic

White

Defendant’s Occupation

Salesperson

Student

Loan Proc.

Loan Officer

Student

Real Estate

Handyman

Lawyer

Record Promoter

Consultant

Business Owner

Defendant’s Occupational Status

White-collar

Student

White-collar

Blue-collar

White-collar

Defs. Related to Each other?

Yes/Cousin

Defendant Debt Problems?

Yes

Unknown

Yes

Unknown

Yes

Unknown

Yes

Unknown

Defendant Prior Criminal Record?

Unknown

Yes

Unknown

Yes

Unknown

Coworker

None

Coworker

Son

Bus. Assoc.

None

Co-conspir.

Coworker

Husband

None

Yes

1st Degree

2nd Degree

1st Degree

2nd Degree

Defendant Admit to Murder?

Yes

Overkill?

Yes

Unknown

Yes

Incriminating Statements?

Yes

Unknown

Yes

Unknown

Concealment of Evidence?

Yes

Unknown

Yes

Unknown

Blood Splatter Evidence?

Yes

Unknown

Computer Evidence?

Yes

Unknown

Yes

Unknown

Yes

Unknown

DNA Evidence?

Yes

Unknown

Murder Plan?

Yes

Unknown

Yes

Unknown

Yes

Shoe Print Evidence?

Yes

Unknown

Underlying White-collar Crime Idolatry Mental Disorder Weapon Used Source of Violence Place of Murder Fraud Detection by Victim/3rd Party? Victim participate in WCC? Victim (Gender) Victim (Age) Victim Injury Victim (Race/Ethnicity) Victim’s Body Found?

Victim Debt Problems

Defendant (Age) Defendant (Race/Ethnicity)

Defendant Relationship to Victim Found Guilty by Jury? Offense (Murder)

22 THE FORENSIC EXAMINER Winter 2007

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Case 14 Dunlap

Case 15 Gaede

Case 16 Basile

Case 17 S. Kimes

Case 18 K. Kimes

Case 19 Hanson

Case 20 Hanson

Case 21 Hanson

Case 22 Hanson

Case 23 Gamov

Case 24 Kholodov

Land Fraud

ID Fraud

Insurance Fraud

Mortgage Fraud

ID Fraud/ Forgery

Money Laundering

Off-Book Fraud

Money Laundering

Tax Fraud

Unknown

Yes

Unknown

Bomb

Gun

Blunt Force

Arson

Bomb

Gun

Bomb

Gun

Defendant

Unknown

Public

Defs. Home

Victim Home

Victim Office

Public

Victim Home

Public

Victim

3rd Party

Victim

Yes

Male

Female

Male

Female

Male

Female

Male

Unknown

Body

Head

Body

Head

Body

Head

White

Yes

Reporter

Painter

Unknown

Businessman

Bus. Owner

Unknown

Gov. Employee

Reporter

Gov. Employee

White-collar

Blue-collar

Unknown

White-collar

Unknown

White Collar

White-collar

Yes

Unknown

Male

Female

Male

Unknown

White

Unknown

Banker

Land Developer

Manager

Unknown

None

Unknown

White-collar

Unknown

None

Unknown

Yes

Unknown

Yes

Unknown

None

Friend

None

Friend

Father

Mother

Brother-in-Law

Sister

Unknown

Yes

Pending

1st Degree

Pending

Yes

Unknown

Yes

Unknown

Yes

Unknown

Yes

Unknown

Yes

Unknown

Yes

Unknown

Yes

Unknown

Yes

Unknown

Yes

Unknown

Yes

Unknown

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Case 25 Case 26 Klebnikov Hovasapian

Case 27 Kozlov

Winter 2007 THE FORENSIC EXAMINER 23

Exhibit 1: The Personality and Behavioral Traits Identified by Hare (1991). Psychopathy Personality Traits & Behavioral Characteristics

1. Glibness/superficial charm 2. Grandiose senses of self-worth 3. Need for stimulation/ proneness to boredom

4. Pathological lying 5. Conning & manipulative 6. Lack of remorse or guilt 7. Shallow affect 8. Callous & lack of empathy 9. Parasitic lifestyle 10. Poor behavioral controls 11. Promiscuous behavior 12. Early behavioral problems 13. Lack of realistic short-term goals

14. Impulsive 15. Irresponsible 16. Fails to take responsibility for one’s actions

17. Many short-term marital/interpersonal relationships

18. Juvenile delinquency 19. Revocation of conditional release

20. Criminal versatility

To view additional articles offering CE credits, visit http://www. acfei.com/onlinece. php?section=Articles

can exploit those things fairly well” (CNN, 2005). Another member of King’s panel, Dr. Martha Stout, psychologist and instructor at Harvard Medical School noted, “a psychopath doesn’t have to fit all of the traits. I think three or more [traits] begins to make you suspect that you’re dealing with a sociopath or a psychopath” (CNN). The criminals studied demonstrated an inability to accept defeat and had little remorse or guilt for their predatory attitudes. In some respects, the red-collar criminal exhibits reptilian qualities of deception and attack; they are true “intra-species predators” that use violence to control others (Hare, 1993). The presiding judge in one of the Sante Kimes cases stated, “It is clear that Ms. Kimes has spent virtually all of her life plotting and scheming, exploiting, manipulating, and preying upon the vulnerable and the gullible at every opportunity” (King, 2002). As for her son Kenny, he too was a “remorseless predator” (King). In the case of fraud detection, red-collar criminals perceive the fraud detection as an existential threat, a blow to their self-concept, and, consequently, as an act of “self ” preservation, they are willing to resort to violence. As the threat of detection increases, so does the probability that the individual will rationalize murder as a solution to his or her problems. In the Hanson case (19–22), when the sister had detected her brother’s fraud, he threatened to kill her if she told their parents that he was stealing thousands of dollars from them through fraud schemes (Rozek, 2007). In the Hansen (1), Porco (5), Dyleski (2), Bernal (6 & 7), Barajas (7 & 8), and Petrick (12) cases, sadistic violence was unleashed shortly after these criminals realized that their white-collar behavior might be exposed to the authorities. Either they had been confronted by the victim about their wrong-doing or the probability of detection was very high. The red-collar criminal’s sudden outburst is a response to perceived provocation and is enough to propel him or her to commit violence (Hare, 1993). The case histories in the Perri-RCM further bear this out, and this is why so many of the murders have a “blitz-like” quality. Poor behavioral controls and poor planning abilities also explain why the red-collar criminal is incapable of becoming a successful violent criminal (Perri & Lichtenwald, in press, b). For example, Christopher Porco used an axe to kill his sleeping father in bed, but tried and failed to murder his mother, who was sleeping next to her husband. Warning signs of the younger Porco’s psychopathic qualities were later confirmed by profes-

24 THE FORENSIC EXAMINER Winter 2007

sionals evaluating the case. He had left a trail of deceitful behavior: he was known to have manipulated college transcripts, he had burglarized both his parents’ home and that of his former employer, and he had fraudulently obtained loans using his parents as co-signers without their knowledge. During a six-hour police interview, he revealed further traits associated with psychopathy: lying, impulsivity, grandiosity, callousness, lack of remorse, and no emotional response to the murder (Porco, 2005).

Behavioral Distinctions between Red- and White-Collar Criminals Non-violent psychopathic white-collar criminals share similar psychopathic attributes with red-collar criminals, however, the distinction for the red-collar criminal lies in the factors that contributed to and defined their personalities and allowed them to perceive violence as a viable solution (Belmore & Quinsey, 1994). In an email to the lead author of this project, Dr. Willem Martens (2003) wrote, “the internal world of the psychopath is very complex and is determined by many dimensions.” Many whitecollar psychopaths exhibit antisocial traits, but not violent traits, as verified by their criminal histories. What might be an explanation for the distinction? Although not specifically referring to violent white-collar criminals, Martens’ (2003) research indicates that violent psychopaths may have determinants such as deep-rooted antisocial coping strategies as a result of past negative environmental factors. Thus, if an individual already harbors psychopathic traits, being raised in an extremely antisocial environment may solidify the use of violence as a solution. Violence is perceived as an effective strategy to reach goals, especially if the psychopath perceives the world as a snake pit where there are only winners and losers. Psychological restraints on their criminal behavior are weakened by their jungle view of society (Stotland, 1977). In addition, research has shown certain neurobiological factors to be linked to impulsivity, recklessness, and violence; further, violent psychopaths may also have a need to restore their sense of self by silencing the victim whom they believe is threatening to them in some manner (Martens, 2003). Dr. Martens' research is supported by other researchers who consider dysfunctional environment a factor to consider; however, one is compelled to examine cases where there is no evidence of a negative environment. Take, for example, the Porco case where all indicators pointed to anything but a poor environment. He came from an upper-middle class home, re-

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ceived quality parenting, and had siblings who were well-adjusted. Chris Porco had the upbringing of a privileged child. The Porcos of the world force researchers to consider that there are, perhaps, those who are simply born with psychopathic traits and who conceal them until the proper factors converge and reveal those traits.

Mal Animo: “Evil Mind” One must consider what lies at the core of the violent psychopath’s personality structure: redcollar criminals do not reject violence as a solution to a perceived problem, so killing is just as viable a solution as using deceptive and manipulative characteristics to satisfy their needs. At their core, they harbor a toxicity that does not exist in, or is not as pronounced in, the non-violent psychopathic white-collar criminal. The red-collar criminal is capable of hiding his or her “core” from others by relying on psychopathic traits such as charm and manipulation as an interpersonal strategy. A case (not included in the Perri-RCM as information is still being collected on the case) deserving of disclosure as a bona-fide frauddetection homicide case representative of the pure evil of the defendant’s “core” is the Fredric Tokars case. In this case, a prominent defense attorney in Atlanta, Georgia, hired one of his clients to kill his wife Sara because she had discovered documents concerning Fredric’s tax fraud and drug money laundering. Fredric told one of his associates, “[Sara] knows too much . . . I’m going to have to have her taken care of ” (McDonald, 1998). One of the prosecutors in the case stated that Sara could have destroyed Fredric with the fraud she had detected. “Sara," he said, “was a ticking time bomb” (McDonald, 1998). Consequently, one of the hired killers shot Sara with a shotgun blast to her head while she was in the family car—their two young sons were in the backseat. Fredric’s response to an associate who asked how his children would react to their mother’s death was, “They’ll be alright . . . they’re young, they’ll get over it.” Dr. Katherine Ramsland noted in the Larry King interview, “we don’t know this for sure yet, but it may be the case . . .[that some who commit evil] are born to be that [psychopaths]” (CNN, 2005). The non-violent psychopathic white-collar criminal also has a core that is destructive, but one could, perhaps, characterize it as bitter, rather than evil. According to Martens (2003), fraudsters sublimate their aggression into conning activities to avoid physical violence that might cause a negative consequence, such as (800) 423-9737

getting arrested. Moreover, the non-violent psychopath may be able to better assess the riskreward tradeoff associated with committing a violent act. Yet, Martens (2003) acknowledges that, although psychopathic white-collar criminals are non-violent, this does not imply that they are not destructive in their own way, but that they manifest their destruction differently. Their methods might be characterized as a “slow bleed.” Thus, we have psychopathic white-collar criminals who bring down organizations that are forced to claim bankruptcy, leaving hundreds without livelihoods and/or investments. In one white-collar crime study known as the Maxwell Scandal, Dr. Basia Spalek (1999) examines the impact of white-collar crime on the victims. In this case, the white-collar criminal, Robert Maxwell, had stolen countless millions of dollars from investors. In the study the author was able to reveal through interviews with the victims that they experienced psychological, emotional, physical, behavioral, and financial harm. The results of the study revealed that the harmful impact of fraud is similar in its force to the experience of victims of physical violence and property offenses. Some had, in fact, been the targets of other property and assault crimes unrelated to the fraud, and they stated that the impact the fraud had on their lives in terms of victimization was worse than the impact of assault and property crimes (Spalek, 1999). Too often the “non-violent” quality of whitecollar crime is what incorrectly distinguishes between types of criminals; that somehow whitecollar criminals are inherently different from other criminals. Yet, such may not be the case. A study by Walters and Geyer (2004) found that male white-collar criminals with a criminal background exhibited the same level of deviant criminal thinking as other criminals.

The Devil’s Trident Trying to categorize the seriousness of the criminal’s harms into violent versus non-violent is incomplete, overly simplistic, and ignores the true social harms that non-violent white-collar criminals perpetrate on society. Examining the level of aggression as a continuum of social harm offers a more well-rounded approach in observing the extent and depth of a person’s sense of malice, whether based on a violent crime or fraudulent crime. Interestingly, the legal concept of malicious injury as defined by Black’s Law Dictionary (1999) takes into account the evil aspect of one’s intent not only as it applies to violent acts, but also as it applies to fraudulent behavior. The essentially different forms of harm by which the

There are, perhaps, those who are simply born with psychopathic traits and who conceal them until the proper factors converge and reveal those traits.”

Exhibit 2: Fraud-Detection Homicide Investigation Profile I. Employment of victim II. Business owner or employee III. Victim occupational status: blue-collar or white-collar IV. Criminal history of victim A. White-collar crimes B. Violent crimes V. Victim’s source of income (tax returns, bank statements, etc.) VI. Fraud detection by victim A. Was the victim in a position to detect fraud? B. Notice to defendant of the detection by victim C. Did the victim cooperate and/or give notice to a third party concerning defendant’s fraud? VII. Third party detection of the defendant’s fraudulent behavior without victim’s assistance VIII. Fraudulent behavior of the victim A. Would the victim have had a reason to commit fraud? 1. Support lifestyle 2. Debt problems 3. Addiction issues B. How would the victim commit the fraud? IX. Type of fraud involved X. Potential fraud co-conspirators (examine computer evidence such as email) XI. Did the victim have reason to fear retaliation by the defendant for fraud detection or disclosures to witnesses? XII. History of business conflicts between victim, customers, or business associates XIII. Third party business records indicating fraudulent behavior (fraudulent loan applications, etc.)

Winter 2007 THE FORENSIC EXAMINER 25

Investor Turned Murderer: The Story of Albert Walker By Kristin Crowe, Associate Editor

his is a story of deception, denial, false identity, and murder—the stuff novels are made of. In fact, a book, movie, and play have all been created from this story. However, this trail of deception is more than a "good" story. It is the real account of a Canadian man whose tale is finally coming to a close after 17 years. In 1990, Albert Walker left Paris, Ontario, with his daughter and flew to Britain after embezzling between $2.5 and $3.2 million from his investment clients, many of whom were friends and fellow church members. After fleeing to Britain, he was charged in Canada with 18 counts of fraud, theft, and money laundering in 1993. However, in 1992 he had taken the identity of Ronald Platt, an Englishman who wanted to go back to Canada, where he had spent his youth. Walker paid for Platt’s move to Canada in exchange for Platt’s birth certificate and driving license. It seemed for a while that Walker had disappeared with the money and would get away with his fraudulent activity. However, Walker had not counted on Platt coming back to England. Dissatisfied with the Canadian economy, Platt returned to Britain in 1995, presenting Walker with a dilemma: now, there were two Ronald Platts in Britain. Further, the real Platt had decided to live near where Walker was living with his daughter, who was posing as his wife. In an effort to escape detection, police allege that Walker took Platt sailing, knocked him unconscious, and threw his body overboard after weighting it with an anchor, effectively murdering Platt to cover his fraudulent activity. Platt’s body was discovered when caught in some fishing nets, and police were able to identify the body through a serial number on the Rolex watch Platt was wearing. In the month between the time that Platt’s body was identified and Walker was found, Walker had bought over 67,000 pounds in gold bullion and seemed to be preparing to run again. British police interrupted his plans, however. He was sentenced to life in prison by a British court in 1998 for the murder of Ronald Platt, although he maintained his innocence of the murder throughout the trial. That same year the Canadian court charged Walker with 37 counts of fraud, which was to replace the 18 counts he had been charged with in 1993. After his conviction of murder, he was sent to a British facility in 1999. He requested transfer to a Canadian prison in 2005 to finish the remainder of his life sentence (without parole for at least 15 years), which was granted. Now 61 years old, he appeared in court again in April of 2007, pleading guilty to 20 theft and fraud-related charges. In July of 2007, Justice Rommel Masse sentenced Walker to 4 years for 19 fraud-related crimes and an additional year for violating the Bankruptcy Act. Fear of being caught in his fraud led Walker to flee to Britain, and fear of his fraud being uncovered led him to murder Platt. Fraudulent-investor-turned-murderer, Walker’s misdeeds were discovered, and $1 million of the at least $2.5 million has been recovered. It has, however, taken 17 years and almost half a million dollars to do so.

psychopath can manifest his or her aggression may be visualized in terms of a devil’s trident. There is a prong on the trident used to harm someone emotionally, another prong that can be used to harm someone financially, and another prong that can be used to harm someone physically. Some individuals use all the trident’s prongs to impale a victim. Some choose to impale a victim using only the emotional and financial prongs; such is reflective, for example, of a non-violent fraudster. The predatory quality of some whitecollar criminals resembles an exploitive nature analogous to a violent predatory criminal, yet manifested in a different form.

Ideation as an Influencing Factor It has yet to be determined in what ways ideation can be a factor in the acceleration of violence as a solution for red-collar criminals. Two of the cases in the Perri-RCM appear to represent redcollar criminals who harbored an idealization of extremely antisocial characters. In the Hansen case, the defendant appeared to romanticize the idea of the mob. He associated with members of the Chicago Mafia and enjoyed their company (People v. Hansen, 2004). Scott Dyleski enjoyed lifestyles associated with goth music, had a fascination with serial killers, idolized Jack the Ripper (Lee, 2006), drew “bloody death scenes” (Sweetingham, 2006c), and wrote dark poetry that included such troubled lines as “Live for the kill” (“Court TV News,” 2006). The behavioral data for the cases in the PerriRCM does not include movies, books, music, clothing, posters, or other symbolic items that might link the murderers to those whom they may have imitated as a form of hero worship, but such material may be of interest in future cases of fraud detection homicide. Ideation as idealization of mafia or Jack the Ripper legends may have further defined, solidified, and strengthened these killers’ core personality structures, where these types of symbols represent a form of empowerment. In Scott Dyleski’s mind, if Jack the Ripper had been a successful killer, then he too could emulate that success.

References

Societal Misconceptions of Murder

Babbage, M. (2007). Convicted killer Albert Walker pleads guilty to 20 theft, fraud-related charges. thespec. com. Retrieved October 3, 2007, from http://www.thespec.com/article/188093 Babbage, M. (2007). Former fugitive Albert Walker expected in Ontario court on fraud, theft charges. thespec.com. Retrieved October 3, 2007, from http://www.thespec.com/article/187485 Biography Channel, The. (n.d.). Biography: Albert Walker. Retrieved October 3, 2007, from http://www. thebiographychannel.co.uk/biogphy_story/978:1144/1/Albert_Walker.htm Canadian Press, The. (2007, July 24). Albert Walker gets four more years. thespec.com. Retrieved October 3, 2007, from http://www.thespec.com/article/223211 CBC News. (2007, April 26). ‘Fugitive financier’ turned killer pleads guilty to fraud, theft. CBC. Retrieved October 2, 2007, from http://www.cbc.ca/canada/ottawa/story/2007/04/26/walker-fraud.html n

The question surfaced in the scrutiny of the Dyleski case as to how his anger at the possibility of not receiving the goods he had fraudulently ordered could escalate to the degree that he would commit murder (Sweetingham, 2006b), and herein lays the misconception. For Scott Dyleski, the issue was not about anger, but about using murder as a solution to a problem. The fact that he performed the murder in a sadistic manner does not correlate the act to the amount of anger he felt. One observes how

26 THE FORENSIC EXAMINER Winter 2007

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societal perception incorrectly projects a nonpsychopathic explanation onto the murder by attempting to inure an emotion to the killer to suggest that, somehow, the defendant’s anger was the impetus for the killing. The data suggest that the killers had no doubt that the solution to their perceived problem of fraud detection would be successful, and like a reptile, emotions did not play a part in their decision-making process.

Fraud-Detection Homicide Case Studies The following case studies, which can be found in the Perri-RCM, provide detailed information concerning specific red-collar crimes that were committed. Sante and Ken Kimes After having detected that both Sante and Ken Kimes had committed mortgage fraud by attempting to obtain a loan in his name, the victim, David Kazdin, began to receive threatening telephone calls from the killers demanding that he cooperate with the fraud scheme. After speaking to Kazdin on several occasions, Sante told her son, “He knows too much and we got to do something about him” (Sweetingham, 2004a). “We’re gonna have to kill him” (Sweetingham, 2004b). As Kenny was heading out the door she said, “Good luck. Do a good job” (Sweetingham, 2004b). Ken Kimes said in a statement to authorities that he shot the victim in the back of the head because he and his mother believed that their fraud scheme to obtain $280,000 was about to be exposed and that the victim had, in fact, notified the lenders (Sweetingham, 2004b). George Hansen During the Christmas holiday season of 2004, 69-year-old Mary Anne Clibbery died, having been bludgeoned in the head with a hammer by her business partner George Hansen. According to both the court record and police reports, prior to the murder, Hansen had misappropriated more than $50,000 from the business that year. Throughout 2004, as Clibbery’s detection of financial irregularities increased, a series of incidents began to surface; apparent attempts at drug-laced food, arson, and tampering with car brakes lent support to Mary Anne Clibbery’s suspicion that George Hansen was trying to kill her. One of the toxicology reports had determined a pink substance found in her coffee to be a sleep aid known as Zolpidem, a generic form of Ambien. After the coffee incident, Clibbery revealed to her doctor and a police officer that she believed (800) 423-9737

her business partner had committed fraud and was trying to kill her. Witnesses who were interviewed after her murder stated that Clibbery had told them she suspected George Hansen was taking money from the business and that she had begun to fear for her safety (People v. Hansen, 2004). Eric Hanson In this case, the defendant, Eric Hanson was charged with the murder of his mother, father, sister, and brother-in-law. According to the prosecution, the defendant is responsible for the theft of tens of thousands of dollars from his parents through forgery and identity-theft schemes. After his sister discovered his fraud schemes, he threatened to kill her if she disclosed what she knew to their parents. The prosecution believes that the defendant killed as a means to avoid discovery for his fraudulent schemes. The parents had been shot in the head, and the prosecution claims that he carried the bodies to his sister’s home where he killed both his sister and brother-in-law (Rozek, 2007).

Comparison between the Russian Homicides and the American Homicides In contrast to the American murders (Cases 1–22), the Russian murders (Cases 23–27) were largely committed on a contract basis, also known as “murder-for-hire.” The contract killings are not to be confused with the criminal enterprise homicide sub-classification. It is the motive behind the contract killings that is the important differential. The motive for the Russian murders is no different than the American murders: all had fraud detection as the motive to kill. The difference lies in the fact that in the majority of American murders, the red-collar criminal was, him- or herself, willing to commit the murder, while in the Russian murders, the red-collar criminal hired someone to do the killing. The Russian murderers had the markings of skilled professionals who were capable of avoiding detection by developing and executing a murder plan with surgical precision. It is not a coincidence that such murders go unsolved. As stated by Russian prosecutors in the Klebnikov murder (Case 25), the killing was “carefully planned” (Yasmann, 2004). To date, there is not even sufficient circumstantial evidence to bring a suspect to trial. In contrast, all of the American defendants in the study were found guilty of murder. Furthermore, the foreign murderers go beyond silencing the victim that may have revealed their fraud. The murders were committed in such a way as to send a message to other potential vic-

s Mugshots of Sante Kimes and Kenneth Kimes

Both victims Klebnikov (Case 25) and Bolles (Adams and Dunlap, Cases 13 and 14), had been reporters investigating fraud; however, Bolles’ death resulted in a conviction of murder for the defendants. It is quite improbable that the reporter in Case 25, Paul Klebnikov, will receive justice, since no suspect, or suspects, have been held responsible for the July, 2004, murder. Today, the former Soviet Republic resembles a disorganized collection of organized crime fiefdoms, where it is highly unlikely that a contract killing would be properly investigated. Oleg Panfilov, director of the Moscow-based Center for Journalism in Extreme Situations stated, “When a journalist is threatened, he is threatened either in court or with death— either we will kill you or we will throw you in prison” (“Now, with Politovskaya’s blood in the water,” 2006).

Winter 2007 THE FORENSIC EXAMINER 27

The Role of Forensic Investigators in Uncovering Motive Forensic accountants or fraud investigators should be considered part of all homicide investigation teams where the evidence infers that fraud detection may have been the motive for the murder. Given that occupational fraud alone, according to a recent report, has exceeded $650 billion dollars (BackCheck, 2007), it is reasonable to infer that fraud-related murders are not an anomaly. Although other types of physical evidence may assist in developing possible suspects, these examiners may be in a unique position to uncover a motive that the physical evidence is unable to reveal.

tims who were in a position to detect and reveal fraud. The Perri-RCM notes that some of the Russian murders occurred in public, a distinction not evident in the American murders. The American murders appear to be restricted to silencing the intended victim without sending a message to anyone else (Perri & Lichtenwald, in press, b). In the Kozlov murder (Case 27), the victim was gunned down in public where he and other co-workers were playing soccer in a stadium. As the Deputy Chairman of the Russian Central Bank, Andrei Kozlov played a leading role in efforts to stamp out white-collar crime in Russian banks. In 2002, he was quoted as saying, “I am being observed very closely and very seriously right now” (Chazan, 2006). The Perri-RCM notes that three out of five Russian murders were perpetrated against government officials. The Perri-RCM further reveals the ineptitude of the American red-collar killers. The American murderers lacked skills in planning a murder that could not be connected to them (Perri & Lichtenwald, in press, b). For example, in both the Dyleski and Petrick cases, the prosecution uncovered written murder plans. Dyleski had written: “Knock-out/kidnap; Keep captive to confirm PINs; Dirty Work; Dispose of evidence; Cut up and bury” (“Court TV News,” 2006). And in the Petrick case, the prosecution recovered a murder plan from the defendant’s computer searches (Lewis, 2005b, c). 28 THE FORENSIC EXAMINER Winter 2007

Many of the cases revealed little in terms of motive until the Perri-RCM revealed evidence exposing an underlying fraud scheme that predated the murder. Furthermore, by uncovering fraudulent behavior that pre-dated the murder, forensic examiners may be able to narrow the potential field of suspects. Given the behavioral and accounting data presented in the Perri-RCM, the information presented in the Fraud Detection Homicide Investigation Profile (Appendix C) may prove beneficial to forensic accountants during an investigation. The link to fraud detection has been crucial in establishing a motive for murder where the prosecution has had weak direct evidence, but supportive circumstantial evidence of guilt. The case facts reveal that the victims were in a unique position to detect fraud, which explains why they were the homicide targets. It would behoove forensic accountants to examine what areas of the victim’s occupation or personal life would have placed them in a position to detect fraud. Forensic accountants must attempt to put themselves in the victim’s shoes and ask themselves what the victim knew that could have been considered threatening to someone; for example, “Did the victim do anything with his or her knowledge of the defendant’s fraud activity that increased the probability that he or she would be a target of violence?” For example, in the Hansen, Porco, Bernal, Barajas, Johnson, Kimes, and Hanson cases, the victims had gone, or threatened to go, to the authorities and expose the fraud upon detection of the defendant’s behavior. In the George Hansen case, the victimbookkeeper was in a unique position to observe financial irregularities. A forensic accountant would have discovered not only the fraud from the defendant’s bank statements

The data reveal certain behavioral traits that explain why red-collar criminals believe their white-collar crime skill-set can be duplicated as violent criminals, behavioral traits that are a result of their psychopathic natures. Most significantly, their illusions of grandeur hinder their ability to foresee the consequences of their behavior. The inability of the red-collar criminal to think through a plan that would take into account the potential risks of being caught and the evidence trail left behind is another hallmark of their behavior. The judge presiding over one of the Sante Kimes cases stated, “Sante Kimes had grossly overestimated her own cleverness. The stupidity of a criminal keeping a to-do list added one more extraordinary note to this bizarre case” (King, 2002). In further contrast to the American murders, the foreign killers left key forensic evidence behind to make it clear that the death was not an accident or some innocuous random act. In the Hovasapian murder (Case 26), the victim, the Head of the State Taxation Service, was in his vehicle when it exploded. The investigators found an explosive device planted under the passenger seat where the victim was seated (“Russia: High profile killings,” n.d.). In Case 24, the victim, Kholodov, was a journalist specializing in exposing white-collar crime in the Russian Defense Ministry. After receiving certain information, he had gone to the Moscow train station to pick up a suitcase. Upon returning to his office, the suitcase exploded (“Russia: High profile killings,” n.d.).

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and the company records, but also a correlation between the defendant’s fraud and attempts to silence the bookkeeper as her suspicions of fraud increased. In the Christopher Porco case, the family members would have been in a unique position to detect fraud because their personal financial positions were being used by the killer to advance his schemes. In the Bernal (Case 6 & 7) and Barajas (Case 8 & 9) cases, the business owners were in a unique position to detect the fraud of their agent. However, in the process of discovering a potential suspect, it may be necessary for the forensic investigator to consider whether the victim was involved in the underlying fraud. For example, in the Kimes and Johnson murders, the victims had been co-conspirators in the killers’ fraud schemes.

Establishing Motive in the Prosecution of Fraud-Detection Homicide Many of the homicide cases in the Perri-RCM indicate that the red-collar criminals harbored an inflated belief in their own competencies, and in fact, the majority of them left a trail of evidence that clearly identified them as the killer. However, the link to each fraud detection was crucial in establishing a motive for murder when the prosecution had weak direct evidence, but supportive circumstantial evidence of guilt. Establishing fraud detection as a motive is especially important when the psychopath will attempt to use his or her lack of violent criminality as an advantage when the case against him or her may be entirely circumstantial. For example, the defense attempted to use Scott Dyleski’s (Case 2) non-violent, even gentle, background to suggest that he was not capable of such brutality (Sweetingham, 2006a, c; “Court TV News,” 2006). Defendant Christopher Porco advanced the same philosophy: “A matter of dispute between my father and me was taken completely out of context and then multiplied by the police and the prosecution because they needed to invent a reason as to why a person who has never been violent in his entire life would randomly decide one day to partake in an unspeakable destruction of life” (“Transcript,” 2006). Some of the jurors in the Porco murder were hesitant to find the defendant guilty given that he had no documented history of violence (Lyons, 2006). Porco’s statement is demonstrative of how he tried to use his non-violent background as a strategy to convince others that he was not capable of such acts. Porco attempted to “blend in” by creating the perception that he was like most normal people who have no violence in their backgrounds and who lack the ability to (800) 423-9737

commit such unspeakable violence. He went on to say, “By caving in to public pressure to hold the most convenient suspect responsible, the police deprived all of us the justice we are entitled to” (“Transcript,” 2006). His ploy was clearly to craft the perception that if he had been denied justice, then all the people with whom he “blended in” would suffer the same fate, should they be charged with a crime. The red-collar criminal’s resort to chameleon strategy is not unexpected (Perri & Lichtenwald, in press, a). The prosecution must be cognizant of the fact that the defendant is attempting to bond with the jury by putting forward the message that “because I look like you, behave like you, and have no background in violence as you (the jury), I am not capable of such brutality.” Though motive is not necessary to prove a murder case, without motive, the jury may have only a sterile circumstantial evidence case, which is one of the most difficult types of cases to prosecute, even when the circumstantial evidence is strong. Establishing a motive for the murder neutralizes the defendant’s bonding strategy with the jury. A motive demonstrates the decision-making process that propelled the defendant to commit the heinous act.

Conclusion Exhaustive review of cases where white-collar criminals were arrested and convicted for murder reveals that in each of the murder cases, fraud either preceded or occurred at the same time as the murder. The data gathered from the murder cases did not support the position that the killer had merely experienced a ‘lapse’ in moral judgment. Although fraud detection may not be an apparent motive for a homicide, law enforcement and prosecutors would benefit from considering the detection of an underlying white-collar crime as a possible motive to commit homicide. It is suggested that homicide detectives consider either consulting with or including forensic accountants and certified fraud examiners as part of their investigation teams. Further, the FBI Crime Classification Manual should offer an appropriate system for categorizing these murders for profiling reasons. For descriptive purposes, the 27 murder cases have been given the general classification of frauddetection homicides and the perpetrators who meet the criteria of having committed a frauddetection homicide have been classified as redcollar criminals. Other forensic examiners are welcomed to submit further findings and additions to the Perri-RCM. This matrix should be viewed as a work in progress.

About the Authors Frank S. Perri, JD, MBA, CPA, lead author of this article, has been a trial attorney for over 12 years. Areas of concentration include white-collar crimes and homicide. Perri received his Juris Doctor from the University of Illinois. He received his master's degree in business administration from Case Western Reserve University and his bachelor's degree in economics from Union College. In addition, Perri is a licensed Certified Public Accountant. He frequently lectures on both whitecollar and red-collar crime issues. Contact Perri via email at fperri@ co.winnebago.il.us or frankperri@ hotmail.com Terrance G. Lichtenwald, PhD, is a Life Fellow of ACFEI, a Diplomate of the American Board of Forensic Medicine, a Diplomate of the American Board of Forensic Examiners, and a Diplomate of the American Board Psychological Specialties. He earned his Doctorate in Clinical Psychology from an American Psychological Association (APA) approved program and completed an APA approved internship. He has a master’s degree in clinical psychology and a second master’s in school psychology. He earned his bachelor’s degree in broad field social studies and psychology. Dr. Lichtenwald has spent 18 years completing forensic, behavioral, psychological, and security evaluations, as well as threat assessments. His research interests are smuggling, white-collar crime, and security/threat assessments.

Winter 2007 THE FORENSIC EXAMINER 29

References Addis, J. (1986). Techniques for interviewing white-collar criminals. The Union for Experimenting Colleges and Universities. BackCheck. (2007). Fraud staticstics. Retrieved September 10, 2007, from http://www.backcheck.net/fraudstats.htm Belmore, M. F., & Quinsey, V. L. (1994). Correlates of psychopathy in a noninstitutional sample. Journal of Interpersonal Violence, 9(3), 339–349. Bureau of Justice Statistics. (1981). Dictionary of Criminal Justice Data Terminology. Washinton DC: U.S. Department of Justice Statistics. Chazan, G. (2006, September 15). In Moscow, killing hurts bank reform. Wall Street Journal. CNN. (2005, May 4). Inside the mind of a psychopath. Transcript of Larry King Live. CNN.com. Retrieved from http://transcripts.cnn.com/TRANSCRIPTS 0505/ 04/lkl.01.html Court TV News. (2006, August 1). Testimony to begin in trial of ‘Goth’ teen accused of killing prominent lawyer’s wife. CNN. Retrieved September 6, 2007, from http://www.courttv.com/news/horowitz/072606_scott_ dyleski_ctv.html?page=2. Cullen, F. T., Clark, G. A., Mathers, R. A., & Cullen, J. B. (1983). Public support for punishing white-collar crime: Blaming the victim revisited? Journal of Criminal Justice, 11, 481–493. Douglas, J. E., Burgess, A. W., Burgess, A. G., & Ressler, R. K. (1992). Crime Classification Manual. Lanham, MD: Lexington Books. Garner, B. A., & Black, H. C. (Eds.). (1999). Black’s law dictionary. Eagan, MN: Westing Publishing Company. Hare, R. D. (1993). Without conscience: The disturbing world of the psychopaths among us. New York: Guilford Press. King, J. (2002). Dead end: The crime story of the decade—murder, incest, and high-tech thievery. New York: M. Evans. Lee, H. K. (2006, September 27). Teenage killer sentenced to life without parole—Dyleski imitated his idol, Jack the Ripper, Judge says. The San Francisco Chronicle. Lewis, J. (2005a, September 8). Robert Petrick indicted as habitual felon. WRAL.com. Retrieved from http:// www.wral.com/news/local/story/113054 Lewis, J. (2005b, November 28). Petrick prosecutors to reopen case with new computer evidence. WRAL.com. Retrieved from http:// www.wral.com/news/local/story/122105 Lewis, J. (2005c, November 14). Prosecution: Computers map out Petrick’s plan to kill wife. WRAL.com. Retrieved from http://www.wral.com/news/local/story/121815 Lyons, B. (2006, August 17). Timeline, vet’s words proved damning to Porco. TimesUnion.com. Retrieved from http://www.timesunion.com/AspStories/storyprint. asp?StoryID=509058 Lyons, B. (2005, November 18). Peter Porco slain and wife Joan critically injured. TimesUnion.com. Retrieved

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from http://www.timesunion.com/ASPStories/storyPrint. asp?StoryID=420939 McDonald, R. (1998). Secrets never lie. New York: Avon Books. Martens, W. H. J. (2003). Constructive functions of aggression in psychopaths. Priory Metical Journals. Retrieved from http://www.priory.com/psych/socio.htm “Now, with Politovskaya’s blood in the water, the feeding frenzy begins.” (2006, October 12). La RussoPhobe. People of the State of Illinois v. George Hansen, 04CF4214 (2004). Perri, F., & Lichtenwald, T. (in press, a). The arrogant chameleons: Exposing fraud detection Homicide. The Forensic Examiner. Perri, F., & Lichtenwald, T. (in press, b). A tale of two countries: International fraud-detection homicide. The Forensic Examiner. Porco, C. (2005, November 15). Video-tapped interview transcript. Ramsland, K. (n.d.) The bad and the ugly. Crime Library. Retrieved from www.crimelibrary.com Rozek, D. (2007, May 2). Suspect in family slayings allegedly threatened sister. Chicago Sun-Times. Retrieved from http://www.suntimes.com “Russia: High profile killings, attempted killings in the post-soviet period.” (n.d). The Russian Political Weekly. Spalek, B. (1999). Exploring the impact of financial crime: A study looking into the effects of the Maxwell scandal upon the Maxwell pensioners. International Review of Victimology, 6, 213–230. Stotland, E. (1977). White collar criminals. Journal of Social Issues, 33(4), 179–196. Sweetingham, L. (2006a, August 23). Prosecutor: ‘Insidious greed’ spurred Scott Dyleski to bludgeon his neighbor to death. Court TV News. Retrieved September 6, 2007, from http://www.courttv.com/news/horowitz/082206_ctv.html.

Sweetingham, L. (2006b, September 28). Neglected boy grows up to take pleasure in killing. Court TV News. Retrieved September 7, 2007, from http://www.cnn.com/ law center/ webarchive/ ctv.html. Sweetingham, L. (2006c, August 1). Jurors view horrendous crime-scene photos of the murder of prominent attorney’s wife. Court TV News. Retrieved September 6, 2007, from http://www.courttv.com/news/horowitz/073106_ctv.html?page=1. Sweetingham, L. (2004a, June 16). Witnesses recount being duped into bank loan scheme in Kimes murder trial. Court TV News. Retrieved from http://www.courttv. com/trials/kimes/061504_ctv.html Sweetingham, L. (2004b, June 18). Kenneth Kimes tells jurors his mother put him up to the murder. Court TV News. Transcript of Christopher Porco’s Interrogation. (2005, November, 16). TimesUnion.com. Retrieved from http:// www.timesunion.com/specialreports/porco. Transcript of Christopher Porco’s Sentencing. (2006, December 12). TimesUnion.com. Retrieved from http:// www.timesunion.com/specialreports/porco. Walters, G., & Geyer, M. (2004). Criminal thinking and identity in male white-collar offenders. Criminal Justice and Behavior, 31(3), 263–280. Weisburd, D., Chayet, E. F., & Waring, E. J. (1990). White-collar crime and criminal careers: Some preliminary findings. Crime and Delinquency, 36, 342–355. Wheeler, S., Mann, K., & Sarat, A. (1988). Sitting in Judgement. New Haven, CT: Yale University Press. Yasmann, V. (2004, July 13). Analysis: American journalist Klebnikov gunned down in Moscow. Radio Free Europe. Retrieved from http://www.rferl.org/featuresarticle/2004/07/ aa80f4b4-d6ff-4852-965e-ac93e39b1c16.html n Earn CE Credit To earn CE credit, complete the exam for this article on page 76 or complete the exam online at www.acfei.com (select “Online CE”).

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Books by ACFEI Members

Physical Abusers and Sexual Offenders

By Scott Allen Johnson, MA, LP The fields of sexual violence and domestic abuse have long been considered by professionals to be both separate and distinct. However, recent studies have indicated that these two fields are not as divided as previously thought. In his book Physical Abusers and Sexual Offenders, Scott Allen Johnson discusses the similarities between the two fields. Using the cognitive-behavioral approach, he presents issues important to mental health, as well as to investigative and forensic professionals when they assess, investigate, and treat abusers and sexual offenders. He discusses the psychological, emotional, physical, and sexual facets of the abuse cycle from name-calling to complete psychological deconstruction, rape, and homicide. In his book, Johnson also offers extensive advice on the differing interview methods relative to interrogation or treatment. Additional subjects include the profile of the offender and different types of offenders, the influence of drugs and alcohol, pornography, and genuine mental incapacity. Highly detailed in subject matter, Physical Abusers and Sexual Offenders is the most comprehensive and exhaustive work on the subject to date. Scott Allen Johnson, MA, LP, is a counseling and forensic psychologist, with extensive experience working with abusers, sexual offenders, and victims of violence. He is a Diplomate of the American Board of Psychological Specialties in Forensic Psychology and an Academy Certified Diplomate of the American Academy of Certified Consultants and Experts. He has been a member of ACFEI since 1998.

Offender Profiling

By George B. Palermo, MD, and Richard N. Kocsis, PhD The controversial topic of criminal profiling brings to mind mixed reactions, as the field seems to lack a working model on which profiling decisions are based. In their book, Offender Profiling, George B. Palermo and Richard N. Kocsis explore a holistic approach to profiling as they delve into historical, social, and psychological factors. The book is comprised of three parts. The first part discusses the psychosocial substrate of criminal profiling and includes historical views on the topic. The second part addresses the crime scene and the crime investigator. This section also includes a special chapter on staged crime scenes written by former FBI agents Robert R. Hazelwood and Michael R. Napier. The third (800) 423-9737

part discusses the main approaches to profiling and includes criticisms of the major theoretical research on profiling. Offender Profiling is easy to read, and the depth of knowledge the authors present is enlightening and of use to any professional involved in criminal work. George B. Palermo, MD, is a clinical professor of psychiatry and neurology at the Medical College of Wisconsin and an adjunct professor of criminology and law studies at Marquette University. He is the director of the Center for Forensic Psychiatry and Risk Assessment in Milwaukee, Wisconsin. Dr. Palermo is a Fellow of the American College of Forensic Examiners and has been a member since 1994. Richard N. Kocsis, PhD, is a forensic psychologist in Sydney, Australia where he is active in clinical and research work.

Handwriting & Drawings of Death Row Prisoners

By Kimon Iannetta, DABFE, FACFEI Careful evaluation of the handwriting of serial killers and other violent offenders can lead to a better understanding of the criminal mind. Kimon Iannetta reviews this theory and explains it in further detail in her book, Handwriting & Drawings of Death Row Prisoners. Iannetta's premise is that no one is born bad or evil. The author's research would indicate that violent criminals may have a combination of causes for their behavior, including genetic makeup and emotional trauma. By studying the handwriting of these criminals, the minute details can reveal much about the inner-workings of their brains. Analysis can shed light on the self-image and motivation of offenders. Iannetta even asserts that handwriting can give clues as to what type of murderer the person is. She provides handwriting samples and case studies of criminals throughout her book. The book includes analyses of various criminalsâ&#x20AC;&#x2122; handwriting along with what kinds of answers each sample can provide. Criminals include serial killer Christine Falling and Oklahoma City bomber Timothy McVeigh. Additional sections include a project study and a review of literature on psychopathology in handwriting by three major authorities. The intriguing subject matter Iannetta takes on makes this book an interesting read for a variety of audiences. Kimon Iannetta, DABFE, FACFEI, has been a member of ACFEI since 1996.

Winter 2007 THE FORENSIC EXAMINER 31

CE Article: (CERTIFIED FORENSIC ACCOUNTANT, Cr.FA) 1 CE credit for this article

What the 10 New Auditing Standards Mean for Forensic Accountants By Jan Colbert, PhD, CPA, DABFA, DABFE, Cr.FA

Abstract The American Institute of CPAs issued 10 new standards for external auditors. The standards address both documentation requirements for the audit and terminology used in professional mandates. Eight of the standards are collectively known as the Risk Assessment Standards; they focus on assessing the various risks in the audit engagement and on the procedures used by the auditor to address those risks. The forensic accountant should gain a thorough understanding of the requirements of these new external audit standards. The work completed by the external auditor will be substantially enhanced under these mandates and thus, will yield more information useful to forensic accountants.

Key Words: risk assessment standards, audit evidence, sufficient appropriate evidence

ecently, the American Institute of Certified Public Accountants (AICPA) issued 10 new Statements on Auditing Standards (SASs). One of the standards addresses audit documentation and another discusses professional requirements. The remaining eight are conceptually related and are known as the Risk Assessment Standards. Forensic accountants should become familiar with the new standards. While the SASs are issued for external auditors, the requirements in the SASs impact the work of forensic accountants as well. Forensic accountants should understand how the new mandates affect and expand the work performed by the external auditors in the examination of the financial statements. The enhanced work performed by the external audit team may unearth clues that forensic accountants can use in their work. 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. (Cr.FA) The American College of Forensic Examiners International provides this continuing education credit for Certified Forensic Accountants.

Overview The guidance in the standard addressing audit documentation expands and clarifies the items that must be memorialized by the auditor in the workpapers. Also, the time frame related to various documentation requirements is discussed. The verbiage used to indicate mandates versus recommendations is noted in another of the new SASs.

32 THE FORENSIC EXAMINER Winter 2007

The eight Risk Assessment Standards serve to enhance the assessment of risks that is performed on every audit engagement. A deep understanding of the client as well as the operational environment, including its internal control, is to be obtained. Using the understanding, the external auditor makes a rigorous assessment of the risks of material misstatements in the financial statements. Once the risks of material misstatements are assessed, the auditor develops a response to the risks. An overall response may be deemed appropriate. Another possibility is that the auditor might elect to adjust the nature, timing, and extent of audit procedures that are to be performed in response to the risks. The Risk Assessment Standards call for improved linkages between the assessed risks of material misstatements and the audit procedures planned in response to those risks. Each of the 10 new SASs is discussed in more detail below. Understanding the requirements in the standards will help forensic accountants comprehend the work performed by the external auditor and enable forensic accountants to more efficiently and effectively plan their own procedures. The titles of each standard, and their corresponding numbers, are shown in Exhibit 1. www.acfei.com

(800) 423-9737

Winter 2007 THE FORENSIC EXAMINER 33

Exhibit 1: New SAS Numbers and Titles SAS Number

Title

102

Defining Professional Requirements in Statements on Auditing Standards

103

Audit Documentation

104

Amendment to Statement on Auditing Standards No. 1, Codification of Auditing Standards and Procedures

105

Amendment to Statement on Auditing Standards No. 95, Generally Accepted Auditing Standards

106

Audit Evidence

107

Audit Risk and Materiality in Conducting an Audit

108

Planning and Supervision

109

Understanding the Entity and Its Environment and Assessing the Risks of Material Misstatement

110

Performing Audit Procedures in Response to Assessed Risks and Evaluating the Audit Evidence Obtained

111

Amendment to Statement on Auditing Standards No. 39, Audit Sampling

The Risk Assessment Standards call for improved linkages between the assessed risks of material misstatements and the audit procedures planned in response to those risks.”

SAS 102 SAS 102 is entitled “Defining Professional Requirements in Statements on Auditing Standards.” The standard explains that mandates in some SASs are unconditional, while others are presumed to be required. If the language in the standard reads “must” or “is required,” the auditor is unconditionally required to perform the procedure noted in situations in which it is relevant. When the language used includes the word “should,” the task discussed is a presumptively mandatory requirement. For the latter, the auditor may, in rare situations, depart from the mandate if alternative procedures can supply the needed evidence. Provided this is the case, the justification for the departure from the mandate must be documented. SAS 103 The standard discusses the contents of the documentation of the engagement. Also, several important dates related to documentation are noted. Per SAS 103, the auditor’s documentation must include a description of both the work performed and the evidence gathered. Also, the conclusions reached by the auditor should be noted. The standard discusses three important dates relative to audit documentation. They are the audit report date, the report release date, and the documentation completion date. The audit report should be dated no earlier than the date that sufficient and appropriate audit evidence has been obtained. At that time (or after), the auditor can release the report to the client. The date of release to the client is significant because the documentation completion date is dependent upon it. Specifically, audit docu-

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mentation is to be assembled within 60 days of the report release date.

Risk Assessment Standards SASs 104 through 111 were issued as a suite. They are interrelated and both the forensic accountant and auditor should consider their requirements together. SAS 104 SAS 104 is the first of the eight Risk Assessment Standards. The concepts of reasonable assurance and evidence are addressed in this statement. According to the standard, the auditor must obtain sufficient appropriate audit evidence in order to support the audit opinion. As the auditor gathers this evidence, audit risk must be restricted to an appropriately low level. The concept of reasonable assurance relates to this low level of audit risk. SAS 104 explains that the level of assurance corresponding to a low level of audit risk is that which is high enough to meet the minimum required for reasonable assurance. The standard explains that “reasonable” implies a high, although not an absolute, level of assurance. SAS 105 SAS 105 impacts the second standard of fieldwork. Also, the third standard of fieldwork is revised by this statement. Previously, the second standard of fieldwork required the external auditor to gain an understanding of internal control. The understanding was to be used for the purpose of planning the nature, timing, and extent of evidential matter to gather.

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With the issuance of SAS 105, the external auditor is broadening the understanding obtained. Under the new mandates, the entity and its environment, including its internal control, must be understood. The auditor then uses the understanding for two purposes. First, the auditor employs the expanded understanding to assess the risks of material misstatement. Further, the understanding is used to design audit procedures that address the risks of material misstatement. Under the previous third standard of fieldwork, the auditor was required to gather sufficient, competent evidential matter to support the opinion. That mandate is now amended by SAS 105. With the issuance of the new standard, the auditor is to gather sufficient appropriate audit evidence. The results of procedures used in obtaining such evidence form a reasonable basis for the audit opinion. SAS 106 The standard supersedes an earlier SAS, number 31, “Evidential Matter.” SAS 106 reiterates the concept of sufficient appropriate evidence introduced in other Risk Assessment SASs. Also, audit evidence is defined in the statement. Further, the topic of relevant assertions is discussed, as are the use of relevant assertions in the process of assessing risks and designing audit procedures. The SAS goes on to address the qualitative aspects of audit evidence. The two characteristics that make up the qualitative nature of audit evidence are sufficiency and appropriateness. Finally, descriptions of various audit procedures are provided and the purposes of performing each are discussed. Audit Evidence. All of the information used by the external auditor to arrive at the conclusions that support the opinion on the financial statements is audit evidence. Data underlying the financial statements are also part of audit evidence. Besides the evidence obtained during the current engagement, audit evidence may be obtained in several other ways. Work that had been performed on previous audits, as well as procedures completed during the acceptance or continuance decision process, are part of audit evidence. Finally, other sources may yield audit evidence. Assertions. As previous standards did, SAS 106 emphasizes the significance of gathering audit evidence to support management’s assertions regarding the financial statements. In the newer standard, the five management assertions presented in prior statements are expanded. Also, the enhanced assertions are organized into three groups: assertions applicable to the income statement, those related (800) 423-9737

Exhibit 2: Assertions

Income Statement

• • • • •

Occurrence Completeness Accuracy Cutoff Classification

Balance Sheet

• • • •

Presentation and Disclosure

Existence Rights & Obligations Completeness Valuation

to the balance sheet, and those addressing presentation and disclosure issues. Management makes five assertions related to the income statement and four assertions each relating to the balance sheet and to presentation and disclosure. The management assertions in each of the three categories are displayed in Exhibit 2. Sufficiency and Appropriateness of Evidence. As discussed, the external auditor is required to gather sufficient and appropriate audit evidence. Sufficiency measures the quantity of audit evidence, while appropriateness relates to the quality of the evidence. Two characteristics impact the appropriateness, or quality, of evidence. The first is relevance. To be considered appropriate, audit evidence must relate to management’s assertions. For example, the confirmation of a client’s accounts receivable balance relates well to both the existence and valuation assertions; it does not provide relevant evidence regarding completeness. The second aspect of appropriateness is reliability. This attribute is impacted by the source of the evidence. Also, the nature of the evidence has an effect on reliability.

• • • •

Occurrence & Rights & Obligations Completeness Classification & Understandability Accuracy & Valuation Classification

Exhibit 3: Audit Procedures Inspection of Records or Documents Inspection of Tangible Assets Observation Inquiry Confirmation Recalculation Reperformance Analytical Procedures

To Learn more about becoming a Certified Forensic Accountant, Cr.FA®, visit http:// www.acfei.com/programs_crfa.php

Audit Procedures. As noted, the external auditor performs audit procedures in order to reach conclusions on which to base the audit opinion. The procedures performed may be divided into three categories: risk assessment procedures, tests of controls, and substantive procedures. In the first category, risk assessment procedures, the external auditor obtains an understanding of the entity and its environment, including its internal control. The understanding is then used to assess the risks of material misstatements. Such risks occur at two levels, the financial statement level and the relevant assertion level. Test of controls is the second category of audit procedures. Such tests are performed at the relevant assertion level. There are two conditions under which testing of internal control occurs. First, if the external auditor expects internal controls to be effective and plans to place reliance on them, control tests must be performed. Further, in those circumstances in which subWinter 2007 THE FORENSIC EXAMINER 35

as a result of overlooking or misinterpreting facts, may give rise to known misstatements. There are two sources of likely misstatements. First, management’s estimate of a financial statement element may fall outside of the range the external auditor considers reasonable. The difference between management’s estimate and the nearest endpoint of the range developed by the external auditor is considered a likely misstatement. Extrapolation may also lead to a likely misstatement. For example, when sampling, the auditor projects the known misstatement to the population. The extrapolated amount, less the known misstatements, is the second type of misstatement classified as likely.

Exhibit 4: Modified Audit Risk Model AR=RMM x DR AR=(IR x CR) x (AP x TD) Where: AR=audit risk RMM=risk of material misstatements DR=detection risk IR=inherent risk CR=control risk AP=analytical procedures risk TD=test of details risk

stantive procedures alone do not provide sufficient appropriate audit evidence, testing the effectiveness of controls is necessary. The final category of audit procedures is substantive procedures. Like tests of controls, such tests are performed at the relevant assertion level. The focus of substantive procedures is the detection of material misstatements. Substantive analytical procedures are one of the two types of substantive procedures. The other involves tests of details. Classes of transactions, account balances, or disclosures might all be examined by using tests of details. SAS 106 presents eight specific procedures that the auditor might use. The external auditor may employ these procedures as risk assessment procedures, tests of controls, or substantive procedures. The eight audit procedures are displayed in Exhibit 3. SAS 107 SAS 107, “Audit Risk and Materiality in Conducting an Audit,” supersedes SAS 47, which bore the same title. The new statement groups misstatements into two types. Also, the audit risk model of SAS 47 is updated. Misstatements. Per SAS 107, misstatements are classified as either known misstatements or likely misstatements. The first category encompasses those misstatements arising from the incorrect selection of accounting principles. Further, misapplication of accounting principles may yield known misstatements. Also, misstatements of facts, including misstatements from mistakes in gathering or processing data, as well as those which occur

36 THE FORENSIC EXAMINER Winter 2007

Audit Risk Model. SAS 107 describes audit risk as a function of two other risks. These include the risk that the financial statements are materially misstated and the risk that the auditor will not detect the misstatements. The first is known as the risk of material misstatements (RMM), while the second is termed detection risk (DR). When performing an engagement, the external auditor considers audit risk at two levels. To aid in evaluating audit risk, risk assessment procedures should be performed at both the overall financial statement and the relevant assertion levels. The results of the risk assessment procedures are used by the external auditor as the RMM is assessed. At the level of the individual account balance, class of transactions, or disclosures, audit risk is composed of RMM and DR. In turn, each of these has two components. RMM is made up of inherent risk (IR) and control risk (CR). The entity owns these risks; the external auditor assesses them but cannot control them. Detection risk is comprised of substantive analytical procedures risk (AP) and tests of details risk (TD). The external auditor adjusts the nature, timing, and extent of analytical procedures and tests of details in response to the RMM. Exhibit 4 shows the audit risk model as presented in SAS 107. SAS 108 The standard supersedes the section in SAS 1 addressing the appointment of the auditor. Also, the newer statement supersedes standard SAS 22, which bore the same title as 108. Per SAS 108, the auditor is to develop an overall audit strategy when planning the engagement. Such a strategy is necessary to effectively organize, staff, and conduct the audit. The statement explains that a strategy is different than an

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audit plan. That is, a strategy is at a higher, more conceptual level than a plan; a plan is more detailed. The standard goes on to reiterate that the auditor is to obtain an understanding of the entity and its environment, including its internal control, during the planning stage. This requirement expands the previous mandate of the second standard of fieldwork, which had focused exclusively on internal control. SAS 108 reaffirms the requirement from previous standards that the auditor obtain an understanding with the client of the nature of the engagement. While formerly the understanding could be either in writing or made orally, this new standard states that a written understanding is mandated. While planning the engagement, the auditor may consider whether professionals possessing specialized skills will be needed. Such individuals may include those with information technology (IT) expertise. If such help is needed, the auditor should begin making arrangements and scheduling their work. SAS 109 SAS 55, “Consideration of Internal Control in a Financial Statement Audit,” is superseded by this standard together with SAS 110. The guidance regarding understanding the entity and its environment, including its internal control, is expanded upon in SAS 109. The standard explains that one objective of obtaining the understanding is to identify and assess the risk of material misstatement. A second objective is to use the understanding in designing and performing additional audit procedures that are responsive to the assessed risk. Audit procedures for obtaining the understanding are noted in SAS 109. The procedures to be used include inquiries and observation. Also, inspection and analytical procedures might be employed. This standard also explains that the auditor is to assess the risk of material misstatements at two levels, the financial statement level and the level of the relevant assertions. The assertions relate to classes of transactions, account balances, and disclosures. SAS 110 As noted, SAS 110, together with SAS 109, supersede SAS 55, which addressed internal control. Further, the section of SAS 45 entitled “Substantive Tests Prior to the Balance-Sheet Date” is superseded by 110. (800) 423-9737

Per the new standard, responses to the assessed risk of material misstatement are made at two levels. The auditor may choose to respond at the overall level. Also, responses may be made at the level of the assertion. When responding at the overall level, the auditor may elect to assign more experienced staff or individuals with specialized skills. Also, plans may be made to perform tests that are less predictable, the timing of the tests may be adjusted, or professional skepticism may be increased. Further, a decision on a substantive approach or a combined approach will be made. At the assertion level, the nature, timing, and extent of audit procedures can be adjusted in response to the risk of material misstatement. SAS 110 notes that inquiries and observation are audit procedures, as are confirmations and inspection of tangible assets. Also, recalculation, reperformance, analytical procedures, and inspection of records or documents are procedures the auditor might use to respond to the risk of material misstatement at the assertion level. SAS 110 emphasizes the importance of documentation, noting that the overall response as well as the nature, timing, and extent of audit procedures must be memorialized. Also, the linkage between the risk of material misstatements and the planned procedures should be recorded. Finally, both the results of the procedures and the conclusions reached are to be included in the audit documentation. SAS 111 SAS 111, updates the guidance regarding both statistical and nonstatistical sampling previously found in SAS 39, entitled “Audit Sampling.” The standard addresses tolerable misstatement, which is used in sampling models as well as components of the audit risk equation. Tolerable misstatement should be established at a level that is below materiality for the financial statements. By following this guidance, the auditor is allowing for the aggregation of the tolerable misstatements from the various accounts. Like other standards in the Risk Assessment group, SAS 111 discusses the risk of material misstatement (RMM). The statement reiterates that RMM is composed of inherent risk (IR) and control risk (CR). To facilitate the application of sampling models, the risks in the audit risk equation should be quantified. The auditor makes such quantifications subjectively.

For Forensic Accountants When performing their own procedures, forensic accountants must comprehend the work that has been performed by the independent auditor. One of the 10 new external auditing standards explains the documentation requirements to which auditors must adhere. Forensic accountants may well be privy to the auditor’s workpapers; thus, an understanding of the mandates for memorializing the engagement is essential to their work. Another SAS discusses terminology related to professional requirements—comprehending whether a certain procedure is unconditionally required of the auditor, is presumed mandatory, or is simply discussed in the statement as critical for the forensic accountant. The remaining standards, those known as the Risk Assessment Standards, are conceptually related. The audit work resulting from the requirements of these eight SASs should be particularly useful to forensic accountants as they consider areas that are especially prone to misstatements and the results of the procedures already performed by the external audit team. An understanding of the procedures completed aids the forensic accountant both in interpreting the auditor’s findings, and in planning forensic work that delves deeper into the financial aspects of the entity. n

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

About the Author Jan Colbert, PhD, CPA, DABFA, DABFE, Cr.FA, is a Professor of Accounting at Eastern Kentucky University in Richmond. She teaches Auditing and Assurance Services and various courses in the MBA program. Dr. Colbert chairs the Audit Committee for the CPA exam and has published over 90 articles on forensic, corporate governance, and audit topics.

Winter 2007 THE FORENSIC EXAMINER 37

CE Article: (CERTIFIED FORENSIC CONSULTANT, CFC) 1 CE credit for this article

Experience Versus Education in Forensic Engineering By Joseph E. Bonadiman, PhD, PE

Abstract Attorneys need to know if the expert witnesses they select are competent professionals. Two criteria attorneys commonly assess are education and experience. This article puts into perspective the positive and negative aspects of both education and experience when choosing an expert witness, and an example is presented to demonstrate each argument. Although directed toward forensic engineers, this article can be applied to other forensic fields.

Key Words: civil engineering, experience, education, expert witness

M Who is informed? Who would go in the right direction in an investigation? Who would provide the most appropriate testimony for the client?” This article is approved by the following for continuing education credit: (ACFEI) The American College of Forensic Examiners International provides this continuing education credit for Diplomates. (CFC) The American College of Forensic Examiners International provides this continuing education credit for Certified Forensic Consultants.

uch like the argument for nature versus nurture in determining the outcome of an individual’s personality, experience versus education in forensic engineering is a subject of contention when it comes to choosing an expert witness. This article defines education as academic education from study and schooling where bachelor’s, master’s, and doctorate degrees are earned. Experience is defined as education derived from persistence in an occupation that has resulted in the accumulation of wisdom gained from observation and insight. So, what is more important, experience or education, when choosing an expert witness? When considering a bridge failure, for instance, is it more beneficial to know the modulus of elasticity of steel and vector dynamics or why a similar bridge failed 10 years ago under similar conditions? Who is informed? Who would go in the right direction in an investigation? Who would provide the most appropriate testimony for the client? A purely academic expert, one whose accomplishments in a discipline are represented by reports in journals or a doctoral dissertation is, on the surface, a good choice for an expert witness. This expert may be a professor at a university supplementing his or her income with expert work. He or she would be highly familiar with stateof-the-art procedures in the field and would be very competent at conveying this information to an audience like a class, jury, or judge. He or she may appear, and rightly so, highly knowledgeable and capable, but is a Professor Jones on campus equivalent to an Indiana Jones in the field?

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The practicing engineer, that professional who keeps a pair of work boots in the back of his sedan and who has hands-on experience with every stage of a project, might at first seem a distant second choice to the gilded aura of the academic expert. This individual would have less experience presenting or discussing complex engineering concepts with anyone except other engineers who already grasp the subject. Technical terms might be difficult for an engineer to convey in a way a layman would understand; on the other hand, it is not impossible to conceive of a practicing engineer as having attained sufficient social qualities that enable him to competently relay complicated information in an understandable way. For example, he may be a principal in an engineering firm where he makes presentations to private and public entities. Regardless of the way he comes about his mixture of qualifications, is that mix enough to make him the best choice for an expert witness? Maybe one of the first concepts to consider is the professional responsibility of two potential candidates. Experts A and B are sample experts. Expert A is responsible for preparing students for the technical world of professional engineering. He has limited experience with actual production design and, besides some laboratory work, has spent little time in the field. His information is handed out to his students, who accept it as infallible and almost without question. In his class, his word is law. Where a classroom peer review is non-existent, any errors in judgment by Expert A would be unlikely to be noticed by his students.

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Winter 2007 THE FORENSIC EXAMINER 39

Barriers to Forensic Engineering Education By Leann Long, Editor in Chief

s Dr. Bonadiman mentions in his article, there are not many universities that offer classes in forensic engineering. Failure investigation is an important aspect of the field, so why does this void in engineering education exist? A brief review of scholarship on this subject reveals a complex and multi-faceted issue. There is no disagreement that forensic engineering courses would be beneficial to include in engineering curriculum. With no experience or instruction on how to solve engineering failures, students are not able to realistically grasp problems that arise in engineering. Exposing students to the implications of engineering failures provides them with an increased awareness of technical, ethical, and profes-

Highest Engineering Degree

Less than a BS: (2.5%) PhD: 22/80 (27.5%) MS: 24/80 (30%) BS: 32/80 (40%)

Highest engineering degree achieved as reported by failure analysis expert witnesses registered at jursispro.com. Sample size: 80

Number of Years of Experience

None: 1 (1.25%) 1-10: 2 (2.5%) 11-20: 9 (11.25%) 21-30: 27 (33.75%) 31-40: 26 (32.5%) 41-50: 13 (16.25%) 51-60: 2 (2.5%)

Number of years of experience in the engineering industry as reported by failure analysis expert witnesses registered at jurispro.com. (Only expert witnesses who listed specific companies and dates on their CVs were included.) Sample size: 80

sional issues they likely will not otherwise encounter before entering the field (Delatte & Rens, 2002). Unfortunately, few universities offer such courses, and the ones that do usually reserve them for master’s degree programs, making them unavailable to undergraduate students who already have each semester crammed with other engineering classes (Delatte & Rens). Not having adequate or appropriate teaching materials has also been repeatedly given as a reason engineering programs neglect failure analysis courses (Bosela, 1993; Rens et al., 2000). And, many instructors have difficulty adequately planning real-world assignments to fit into one semester (Hanna & Sullivan, 2005). Hiring experienced forensic engineers as instructors would eliminate the assignment-related problems, but such instructors are rare. Typically, forensic engineers are individuals with many years of experience, and of those experts, only the ones with extensive forensic skills and understanding have the practical knowledge to effectively

Now consider Expert B. Every day of her life, her hand stamps documents from parcel maps to construction drawings for million dollar projects. Everything she creates is reviewed from top to bottom by other engineers, experienced contractors, municipal agencies, and sometimes even lawyers. Her economic wellbeing, as well as the risk of malpractice suits, constantly looms. It is only through constant vigilance that she is able to keep her doors open. Put a zero in the wrong None: 1 (1.25%) place and she might lose her license. 1-10: 2 (2.5%) Expert B may or may not have a bachelor’s de9 (11.25%) necessary to be a profesgree, usually11-20: considered 21-30: 27 (33.75%) sional engineer, but may have extensive experi31-40: 26 (32.5%) ence instead. Expert A has much more education 41-50: 13 (16.25%) and, likely, the ability to accomplish a certain level 51-60: 2 (2.5%) of expertise. Given the chance, undoubtedly he could rapidly gain the experience necessary to become a competent expert witness. In both cases, we still have experience as the basic contributing factor in being a good forensic expert. The equation of what makes up a good forensic engineer varies. There are variables that can enter an equation and sometimes change it substantially. For example, if Expert A has some of his education in forensic engineering, this may give him a better understanding of legal procedures, investigative methods, and communication skills than may be available to Expert B; with this added “forensic factor” he may have an advantage even if his experience falls somewhat below that of Expert B. However, there are only a few universities offering classes in forensic engineering that will enable the additional “forensic factor.” Hopefully, in the future, more academic classes will be readily available to engineers interested in forensics. An engineer working as an expert witness must be able to recognize his attributes and limitations and honestly portray himself to his or her attorney. This not only allows the attorney to make a proper choice when it comes to choosing an expert, it saves the attorney the embarrassment of a courtroom debacle. A recent civil case highlights

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the differences in education versus experience. Experts A and B are used again for clarity. Expert B had a bachelor’s degree in civil engineering with many years of related experience. Expert A had a PhD in civil engineering with virtually no infield, design, or supervision experience. The case involved the flooding of a property, the development of several subdivisions of land upstream, and the associated change in the flow patterns of storm water from upstream to downstream. A “10-year” storm event (a storm of such a magnitude of rainfall that it occurs only once every 10 years) took place, the downstream property flooded, and the owner (plaintiff) theorized that it had to have been caused by the new upstream developments. The plaintiff hired an attorney who filed a suit against the upstream property owners and developers, the engineers who designed the subdivisions, and the county that approved the developments. During the course of the lawsuit, the county was dropped as a litigant, and all but one of the engineers settled. The remaining engineer, facing possible malpractice, would not settle. He felt that not only was he not culpable, but also that he had provided excellent professional services. The plaintiff secured an expert witness, Expert A. At the time, Expert A was an instructor in hydrology (the earth science of the distribution and quantification of water) and hydraulics (the study of the conveyance of water) in a large, well-respected California university. He had completed his undergraduate and graduate work at the same university. His curriculum vita was impressive, showing expert witness work throughout the western United States. He was a licensed civil engineer and belonged to all of the appropriate engineering and professional societies. The defense hired Expert B. He was an engineer as well as an engineering contractor and had completed numerous designs and studies relating to hydrology and hydraulics. He was a design principal in his firm where he had designed, constructed, and supervised multiple projects.

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teach the subject matter (Delatte & Rens, 2002; Yeung, 2006). Not surprisingly, faculty members rarely meet the requirements to teach forensic engineering courses (Baer, 1996). Madhavan and Malasri (2003) found that a mere 30% of engineering professors in the United States are registered professional engineers. And even being a registered professional engineer is no guarantee that an educator has field experience, as teaching qualifies as practical experience (Yeung). The dilemma is further complicated by funding problems at the university level. Most universities recruit young faculty members to perform publishable research rather than experienced engineers whose practical knowledge is not always innovative, and therefore, of little value to engineering journals (Yeung, 2006). Compounding the issue, experienced engineers are more likely to have families and financial obligations than fresh doctoral graduates, and industry jobs tend to pay more than university jobs (Yeung). Hopefully the need for such courses will soon overcome the barriers. Readers interested in

Experts A and B were pitted against each other, and it was Expert A's responsibility to prove that the remaining defendant engineer produced designs and, ultimately, a constructed project that harmed the plaintiff. In order to accomplish this task, Expert A decided a hydrology and hydraulics study and report were necessary. This encompassed visiting the site, gathering topographic data, as well as viewing and recording the drainage patterns and conveyance facilities (culverts, pipes, and catch basins). He would need to contact the local flood control agency to get any information available on the developments/subdivisions, the surrounding properties, and the agency’s accepted hydrology and hydraulic procedures. Expert A easily accomplished the first three items but failed to contact or meet with the flood control agency and thereby produced a report that would not have been accepted, much less approved, by said agency. For example, his lack of experience with actual, realworld hydrology and hydraulic reports was evident when he presented the quantities in his report in cubic inches. Civil engineering standards dictate the use of cubic feet, as opposed to cubic inches, in these reports. Secondly, he was unable to correctly define the drainage paths during three separate inspections because he could not accurately locate the contributing areas. Lastly, he conveyed that all the drainage from the upstream developments flowed to the plaintiff’s property. This was a gigantic error, owing to the fact that the remaining engineer (Expert B’s client) had diverted 40% of the upstream drainage into a separate flood control channel that directed flow away from the plaintiff’s property. When Expert A was asked why he did not recognize the diversion, it was discovered that he thought the catch basins (underground concrete structures used to collect water flows) used to divert the flow were used merely to collect and route water around a street intersection. It was later discovered that Expert A had used graduate students to do much of his work. Here, the lack of experience of the students, multiplied by his inexperience in the matter, proved disas(800) 423-9737

solutions are encouraged to consult the referenced articles.

References Bosela, P. A. (1993). Failure of engineered facilities: Academia responds to the challenge. Journal of Performance of Constructed Facilities, 7(2), 140–144. Delatte, N. J., & Rens, K. L. (2002) Forensics and case studies in civil engineering education: State of the art. Journal of Performance of Constructed Facilities, 16(3), 98–109. Hanna, A. S., & Sullivan, K. T. (2005). Bridging the gap between academics and practice: A capstone design experience. Journal of Professional Issues in Engineering Education and Practice, 131(1), 59–62. Madhavan, K., & Malasri, S. (2003). Forum: Professional registration of engineering faculty. Journal of Professional Issues in Engineering Education and Practice, 129(3), 122–124. Rens, K. L., Rendon-Herrero, O., & Clark, M. J. (2000). Failure of constructed facilities in the civil engineering curricula. Journal of Performance of Constructed Facilities, 4(1), 27–37. Yeung, A. T. (2006). Reappraisal of university-level engineering education. Journal of Professional Issues in Engineering Education and Practice, 132(2), 103–111.

trous for the plaintiff. If Expert A had recognized what was going on, he could have instructed his client to terminate the lawsuit, since there was no culpability by the defendant. The plaintiff lost the lawsuit, and because an offer of settlement had been made, he was forced to pay both the defense attorney’s fees and the expert’s fees. One way an attorney can make a proper choice when choosing an expert is to hire a reputable engineer who can evaluate the qualifications of proposed experts and render a decision on their appropriateness. This reputable engineer should not be an expert in the case, for if he were, all of his discussions, observations, recommendations, etc., would be discoverable (discoverable items include work products of an expert witness relative to the case on which he is working, required to be made available to the opposing side). Hiring this engineer may be the most prudently spent dollars on the case. His fees help guarantee that the fees paid to the expert witness will be most profitable. The importance of education cannot be underestimated. However, an expert witness must have a balance of education and experience. It is the nature of educated people to be nurtured by their experience.

Summary Substantial experience, with minimum education, will usually win over advanced education with minimum experience. Usually, the best expert is an engineer with practical design experience, construction supervision experience, and management and client relation experience. An engineer with similar experience and advanced degrees will be the preferred witness. An engineer must be able to honestly recognize both his strengths and weaknesses and relate these to his attorney. Many times it is wise for the attorney to select a senior engineer to assist in selecting experts for a case. Earn CE Credit To earn CE credit, complete the exam for this article on page 77 or complete the exam online at www.acfei.com (select “Online CE”).

References Carper, L. K., (1986). Forensic engineering: Learning from failure. New York: American Society of Civil Engineers. Carper, L. K. (1998). Forensic engineering. Washington DC: CRC Press LLC. Rens, L. K. (1997). Forensic engineering: Proceedings of the first Congress. MN: American Society of Civil Engineers, Minnesota. Shuirman, G., & Slosson, E. J. (1992). Forensic engineering: Environmental case histories for civil engineers and geologists. Burlington, MA: Academic Press, Inc. Specter, M. M. (2000). Journal of the National Academy of Forensic Engineers, XVII(1). New York: National Academy of Forensic Engineers Journal. n

About the Author Joseph Bonadiman, PhD, PE, is an ACFEI member, a Fellow in the American Society of Civil Engineers, a Fellow of the National Academy of Forensic Engineers, and a member of the National Society of Professional Engineers. He is a licensed Professional Engineer in California, Nevada, and Colorado, and the CEO of a 66-year-old engineering firm located in Southern California. He is the editor of CIVILDESIGN/ CIVILCADD Pipe Network Analysis and CIVILDESIGN Computer Aided Design and Drafting. He is actively involved in providing forensic services in civil engineering and construction cases.

Winter 2007 THE FORENSIC EXAMINER 41

CE Article: (CERTIFIED MEDICAL INVESTIGATOR, CMI) 1 CE credit for this article

Necrotic Spider or Tick Bite? Hobo Spider Venom or Ehrlichial Bacteria?

By Cornelia Richardson-Boedler, NMD, MA, DABFE, DABFM

Abstract Diagnosing spider or tick bites, which is often difficult because the culprit species escapes identification, is urgent in cases where there is a serious risk of systemic poisoning. This article compares signs, symptoms, and regional/seasonal circumstances of suspected bites by Tegenaria agrestis of the family agelenidae with the zoonotic hematological illness, ehrlichiosis, thus aiding clinicians and forensic investigators. A differential diagnosis is suggested in a suspected Tegenaria agrestis (“hobo spider” of the Pacific Northwest) bite associated with severe, even fatal, systemic symptoms in some victims, and the “myth of necrotic arachnidism” is discussed.

Key Words: arachnidism, necrosis, symptoms, comparative, zoonoses

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 provides this continuing education credit for Certified Medical Investigators. (ACCME) The American College of Forensic Examiners International is accredited by the Accreditation Council for Continuing Medical Education to provide continuing medical education for physicians. This activity has been planned and implemented in accordance with the Essential Areas and Policies of the Accreditation Council for Continuing Medical Education (ACCME). The American College of Forensic Examiners International designates this educational activity for a maximum of 1 hour AMA PRA Category 1 Credits TM. Physicians should only claim credit commensurate with the extent of their participation in the activity.

oxic, harmful, environmental influences threaten human existence. Backyards, parks, and wilderness areas, so inviting and natural, also pose dangers to humans in the form of toxic spider bites or illnesses spread from animals to humans. In forensic medicine, when causes of morbidity and mortality have to be uncovered, circumstantial evidence may point to a toxic or infective arthropod bite, and knowledge of the victim’s signs and symptoms and of the suspected culprit determines the course of the investigation. Patients and doctors alike are known to quickly blame severe ulcers and other consequences of alleged bites on the brown recluse spider; however, incorrect diagnosis and litigation can result from such a presumption (Kunkel, 1985; Vetter, Cushing, Crawford, & Royce, 2003). Yet, warnings against over-diagnosing have led some to under-recognize the spider’s potentially lethal bite, should it actually occur.

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Spider Bite Cash-in The claim of the brown recluse spider’s presence in a hospital, followed by the diagnosis of systemic poisoning by this spider, led a Tennessee Supreme Court jury to rule in the favor of the 22-year-old patient who lost the use of her feet after allegedly being bitten in the hospital (Kunkel, 1985).

Clinically, the causes of skin ulcers are often unknown and as a consequence, appropriate therapies are delayed (Isbister & Whyte, 2004; Weenig, Davis, Dahl, & Su, 2002). In assumed arthropod bites or stings, the dermal and systemic effects from arachnids and insects of the order hymenoptera (bees, wasps, ants) have to be differentiated. Only a few spider genera inflict necrotizing lesions (Vetter & Visscher, 1998).

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Lone Star Tick. Transmits Rocky Mountain Spotted Fever, Lyme disease, and Ehrlichiosis. Typical questing pose atop grass stem. Credit: Robert Noonan/ Photo Researchers, Inc

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Winter 2007 THE FORENSIC EXAMINER 43

Credit: Scott Camazine / Photo Researchers, Inc s Black-legged or Deer tick (Ixodes dammini). It transmits Lyme disease to humans. Nymphal and adult ticks can feed on human blood, and in the process may transmit the bacterium Borrelia burgdorferi, cause of Lyme disease. Symptoms of this disease include skin lesions, cardiac and neurological abnormalities, and arthritis. Lyme disease is carried by I. dammini in north and midwest USA and in Europe by the tick I. ricinus.

Spider Families Whose Bites can Cause Necrotic Arachnidism Sicariidae: Venomous, with six eyes, rather than eight. Brown spiders, genus Loxosceles, including the brown recluse spider, and six-eyed crab spiders, genus Sicarius, belong to this family. Necrotic ulcers are deep and slow-healing. Clubionidae: Mildly venomous, named “sac spiders” due to weaving a resting tube. The genus Cheiracanthium rarely causes small necrotic lesions. Bites inflicted tend to be painful. Agelenidae: Harmless, named “funnel weavers” due to building a funnelshaped web. Only the hobo spider, Tegenaria agrestis, may cause necrosis. A proven bite with ulcer formation is on record (U.S. Department of Health and Human Services, 1996), though the ulcer was blamed on the victim’s pre-bite venous disease (Vetter & Isbister, 2004).

Ticks, also grouped with the arachnids, not only transmit infections, but can secrete toxins of danger to humans. A bite by an Ornithodoros coriaceus (“pajahuello”) of California, a venomous soft tick, is associated with necrotic lesions resembling those produced by brown spiders, including the brown recluse, genus Loxosceles (Dooley, 1967; Lewis, 1967; Russell & Waldron, 1967; Vetter & Visscher). Infectious tick bites can be confused with other arthropod bites before serological testing is completed. Such confusion has occurred in cases where Lyme disease is masquerading as a brown recluse (Osterhoudt, Zaoutis, & Zorc, 2002; Rosenstein & Kramer, 1987) or hobo spider bite (Vest, 1993a). Further, suspected Cheiracanthium spider bites have mimicked African tick-bite fever (Newlands & Atkinson, 1990). The skin-tissue damage, which resembles that of a brown recluse spider bite, as well as the systemic effects of being bitten by the hobo spider in the United States, are described below. Note that the spider’s toxicity to humans is not proven (Binford, 2001; Isbister & White, 2004). The diversity of bite symptoms attributed to this spider (Akre & Myhre, 1991) and the particularly severe systemic reactions (Fisher, Kelly, Krober, Weir, & Jones, 1994; U.S. Department of Health and Human Services, 1996; Vest, 1989, 1993b) known worldwide to stem from agelenids, suggest other possible causes, such as tick exposure.

The Myth of Necrotic Arachnidism The brown recluse spider bite is often erroneously linked to cases of dying skin tissue, even in geographical areas of the United States where the spider is not found, which has hindered or confused diagnostic accuracy (Russell, 1986;

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Swanson & Vetter, 2005; Vetter, 2000, 2005; Vetter & Barger, 2002; Vetter & Bush, 2002a, b; Vetter, Cushing, et al., 2003; Vetter, Edwards, & James, 2004). The hobo spider also falls victim to false accusations (Bennett & Vetter, 2004; Vetter, 2000; Vetter & Isbister, 2004; Vetter,Roe, et al., 2003). Local infections, skin cancers, plant poisoning (i.e., poison ivy), Lyme disease, tularemia, pyoderma gangrenosum, and other conditions have been known to masquerade as necrotizing spider bites (Bennett & Vetter, 2004; Swanson & Vetter, 2005) or as the tick-borne illness Rocky Mountain spotted fever (Erickson, Hryhorezuk, Lipscomb, Burda, & Greenberg, 1990; Vetter, Cushing, et al., 2003). Necrotic arachnidism, when diagnosed without substantiated proof of a spider bite and when obscuring other reasonable causes, has been viewed as a modern myth (Isbister, 2004; Kunkel, 1985; Vetter, 2004; Vetter & Bush, 2002a; White, 1999). The alleged skin-tissue death caused by the Brazilian wolf spider (a Lycosa species), the Australian white-tail spider (a Lampona species), and the hobo spider of northwestern Pacific regions provides examples of the myth (Isbister, 2004; Vetter, 2004; Vetter & Bush, 2002a). Verified envenomation case studies have shown that the Brazilian wolf spider (Ribeiro, Jorge, Piesco, & De Andrade Nishioka, 1990) and the white-tail spider (Isbister & Gray, 2003) do not cause necrosis. In alternative medicine, prevailing historical myths about wolf spiders regarding their alleged neurotoxic (Richardson-Boedler, 2001) and severe necrotic effects (Richardson-Boedler, 2002) have been discredited. For the purposes of clinical descriptions and the establishment of diagnostic guidelines, only verified cases of spider bites, when the culprit species are identified, are acceptable (Anderson, 1991; Bennett & Vetter, 2004; Binford, 2001; Isbister, 2002; Isbister & White, 2004; Vetter & Bush, 2002a, b; Vetter & Isbister, 2004). Documentation, study, and comparison of case data of probable envenomation enhance understanding of whether and what other etiologies may be involved.

Agelenidae Family Tegenaria agrestis, or the Hobo spider, of the Agelenidae family, came to the United States from Europe in the early 1900s and was first collected in 1930 in Seattle, Washington (Exline, 1936). The species has become established in the Pacific Northwest and bordering regions: Oregon, Washington, Idaho, northern Utah, western Montana, western Wyoming, Colorado (isolated populations), and southern British Columbia

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(Vetter, Roe, et al., 2003). These regions do not overlap with the geographical regions endemic for spiders in the Loxosceles genus, though recently, as reported by Vetter (2005), a specimen of Loxosceles rufescens was submitted from Colorado. Of the genus Cheiracanthium in the Agelenidae family, rarely associated with dermal necrosis, C. mildei and C. inclusum occur in the Pacific Northwest, as well (Akre and Myhre, 1991). Yet, Vest (1987b) has noted that Cheiracanthium spiders were only rarely found in areas infested with T. agrestis spiders, and where necrotic arachnidism had occurred, victims did not report painful bites, as are caused by Cheiracanthium spiders. Symptoms of Probable T. agrestis (Hobo Spider) Envenomation Despite decades of cohabitation with T. agrestis, only a few suspected bites between the 1980s and 1990s have been documented, casting doubt on the spiderâ&#x20AC;&#x2122;s implication (Vetter & Isbister, 2004), though the bites generally occurred in or around dwellings where T. agrestis spiders were found (Fisher et al., 1994; Sadler, Force, Solbrig, & Sommer, 2001; U.S. Department of Health and Human Services, 1996; Vest, 1987b). Local and systemic reactions typically include absence of strong pain; formation of a skin inflammation, with small central area of induration (a hardened mass or formation); and blistering at the bite site (15â&#x20AC;&#x201C;35 hours post-bite). A day later, symptoms include sloughing of blistering skin and serumal oozing, followed by eschar formation (observed in dried lesions) and development of sub-scab necrosis (Fisher et al.; Vest, 1987b). Local edema may occur (Akre & Myrhe, 1991; Vest, 1987b), and lesions may be oblong or elliptical due to gravitational drift (Vest, 1987b). The necrosis has been observed to be severe in fatty areas, and healing has taken up to 2 or 3 years (Vest, 1993b). Local reactions that diverge from the typical course have been attributed to the T. agrestis bite. These reactions include both local edema spreading to the affected limb or part (Akre & Myhre, 1991; U.S. Department of Health and Human Services, 1996) and delayed onset of edema (within weeks or months post-bite) (Akre & Myhre). Systemic symptoms, such as headache, nausea, influenza-like aches and pains (including arthralgia), weakness, and dizziness/mental confusion, may occur on the day of the bite or on the first or second day post-bite, possibly persisting for several days (Akre & Myhre, 1991; Vest, 1987b). Fever has occurred during the days following the bite (Akre & Myhre) and up to 7 days post-bite (U.S. Department of Health and Human Services, 1996). (800) 423-9737

Symptoms may be insidious and protracted, developing within days or weeks of the bite (Akre & Myhre, 1991; U.S. Department of Health and Human Services, 1996; Vest, 1993b) and may be serious in nature, leading to chronic vomiting with secretory diarrhea and even aplastic anemia (Vest, 1993b). Such severe symptoms and/or others may manifest in only 5% of victims (the group with severe systemic reactions), though aplastic anemia occurrences are even rarer; 15% of victims, however, show hematological symptoms such as reduced number of platelets, erythrocyte spherocytosis, or hemolysis (Fisher et al., 1994). A platelet count below 150x103/ mm3, observed circa 36 hours after a probable bite with a rather benign course, recovers within several days (Akre & Myhre; Vest, 1987b). Vomiting with uncontrollable diarrhea may last for several months, lead to aplastic anemia 2 to 4 weeks post-bite, and even death (Vest, 1993b). A case of aplastic anemia and thrombocytopenia, admitted to medical care circa 3 weeks post-bite and ending fatally (Vest, 1989), was described by the U.S. Department of Health and Human Services (1996): Aplastic anemia, thrombocytopenia, and pancytopenia were present on hospital admission. Headache, nausea, and mental changes developed within 24 hours post-bite; also, the bite had caused a local scab. The female victim was bitten in late January of 1988 in Spokane, Washington, and died in early March of 1988. Vest (1989) noted seasonal patterns of probable T. agrestis envenomation: Bites are most common between August and September when necrotic lesions and some systemic symptoms are observed and associated with wandering adult male spiders; during late October and early November, adult female spiders enter homes, and victims note mere local reactions (erythema, minor vesication). The most serious necrotic and potentially fatal systemic effects appear to occur during winter and spring when only immature spiders are likely to be present. Medical Importance T. agrestis has not caused notable envenoming in Europe, perhaps because it has not been observed to seek proximity to human habitations. It was not medically important in the United States until the mid 1980s, when an entomological investigation, which included probable dermal and systemic toxicity in humans and animals, was initiated (Akre & Myhre, 1991) and detailed human cases of probable envenomation were published (Vest, 1987b). In Europe, the genus Tegenaria is associated with inflicting mere localized symptoms in a degree of severity comparable to those of oth-

Vocabulary Terms Aplastic anemia: a condition in which the blood is deficient in red blood cells, in hemoglobin, or in total volume and that is characterized by defective function of the blood-forming organs (as the bone marrow) and is caused by toxic agents Arachnidism: poisoning caused by the bite or sting of an arachnid (as a spider, tick, or scorpion) Dermal: of or relating to skin and especially to the sensitive vascular inner mesodermic layer of the skin Edema: an abnormal excess accumulation of serous fluid in connective tissue or in a serous cavity Encephalopathy: any disorder of the brain Erythrocyte spherocytosis: presence of sphere-shaped red blood cells in the blood Eschar: a scab Excoriation: the act of abrading or wearing off the skin (chafing and excoriation of the skin) Hematological: pertaining to the blood Hemolysis: the process of disintegration or dissolution of red blood cells with liberation of hemoglobin Loxoscelism: a painful condition resulting from the bite of a spider of the genus Loxosceles and especially the brown recluse spider (L. reclusa) that is characterized by local necrosis of tissue and sometimes systemic symptoms of poisoning Monocytic leukocyte: a large white blood cell Necrotic: affected with, characterized by, or producing death of living tissue; specifically: death of a portion of tissue differentially affected by local injury (as loss of blood supply, corrosion, burning, or the local lesion of a disease) Pancytopenia: an abnormal reduction in the number of red blood cells, white blood cells, and blood platelets Systemic: affecting the body generally Thrombocytopenia: persistent decrease in the number of blood platelets that is often associated with hemorrhagic conditions Zoonotic: a disease communicable from animals to humans under natural conditions

Winter 2007 THE FORENSIC EXAMINER 45

The brown recluse spider bite is often erroneously linked to cases of dying skin tissue, even in geographical areas where the spider is not found, which has hindered or confused diagnostic accuracy.” The Hobo Spider The species T. agrestis, or Hobo spider, is brown-colored, and recognized by its dorsal herringbone pattern, large size (body length of 12.7 mm in the female, 10.7 mm in the male), and fast crawling ability. (See Figure 1.) Webs are built at ground level and tunnels are woven as part of the web and anchored in holes in the ground. Small-sized prey may be collected, formed into a rounded mass, and stored in the web. The spider seeks the lower levels of domestic dwellings and frequently comes in contact with humans. The young spiders hatch in early June and do not reach adulthood until the summer of the following year. The first molt occurs while in the egg sac, the second molt 1 week after emergence, and all subsequent molts at 1- month intervals. From June through September of the second year, males and females reach maturity after their final molt. Mature males may enter homes as they wander in search of females. The males will die in late fall, but females, in fall, will deposit the egg sac in the web and die during the winter, or sometimes in early spring (Akre & Myhre, 1991).

Photo credit: Dr. Lee Ostrom

er genera considered mildly poisonous, such as Aranea, Lycosa, Argiope, or Nephila (Habermehl, 1976). Of the Agelenidae family, Coelotes obesus and Agelena labyrinthica were briefly noted in a review as having caused human envenomation (Bettini & Brignoli, 1978). Contrasting reports of symptoms have emerged: Berland (1927) received two consecutive bites by C. obesus in the right index finger and no local swelling or irritation occurred, but immediate shooting pains and paralysis and insensitivity of the affected finger were present for 4 or 5 hours. Bonnet (1966) described the reaction to assumed A. labyrinthica bites in a 55-year-old female who saw a spider bite her index and middle fingers when cleaning geranium pots; lesions were visible, and her hand swelled with sharp, almost unbearable, local pain. Trembling, spasms, and stiffening of the affected limb also occurred. She sought medical treatment 2 hours post-bite, and the symptoms disappeared the next morning. Yet, 15 days postbite, stiffness and itching still affected the bitten fingers, not fully resolving until 1 month postbite. Near the geranium pots, a female A. labyrinthica guarding her egg sac was later found. In the United States, in southern California, Agelenopsis aperta (Agelenidae family) bites triggered local pain in two victims, one developing local edema, a black-blue lesion of 15 mm diameter, and a local hardened mass lasting for 1 week. The other victim, a child who had been bitten on the neck, experienced a stiff neck, a painful papule (1 mm diameter) locally, and nausea. Other systemic symptoms included a strong headache that was unresponsive to pain medication, unsteadiness, mental disorientation, and malaise, all noted as resembling symptoms of (probable) T. agrestis bite. The next day, the child reported a slight headache, which dissipated. By the fourth day, the local pain had abated (Vetter, 1998). T. agrestis has caused necrosis in experimental animals. Male spiders triggered more serious venomous effects in rabbits than did female spiders (Vest, 1987a, 1993b) when only adult spiders were tested (Vest, 1987a), though adult females produce more venom than adult males and carry more insecticidally potent venom (Binford, 2001). The rabbits experienced lesions with gravitational drift, necrosis with subcutaneous hemorrhaging, and petechial hemorrhage of internal organs when bitten by male spiders, while the bites of female spiders produced mere localized dermal lesions (cyanotic patches) in one strain of rabbits tested (Vest, 1987a). Gomez, Krywko, and Stoecker (2002) noted that in their laboratory investigations with physiological doses of T. agrestis venom, dermonecrotic lesions in rabbits did not develop.

46 THE FORENSIC EXAMINER Winter 2007

Binford (2001) found no outstanding chemical differences in the venoms of U.S. and European adult T. agrestis spiders, which may help explain the unusual toxicity associated with what have been believed to be bites from T. agrestis of the Pacific Northwest. In view of these findings, Vetter, Roe, et al. (2003) suggested the occasional dermonecrosis in humans credited to T. agrestis in the United States as stemming from T. agrestis specimens possibly transmitting infection. Thus, other etiologies needed investigation (Isbister & White, 2004), and the spider’s dermal virulence to humans needed verification and examination (Vetter & Isbister, 2004). (The alleged systemic effects have recently been ignored.)

Differential Dermal Diagnoses in Spider Bites Agents other than spider venom can effect skin tissue. Bacterial Contamination The external bacterial contamination of T. agrestis (United States)—Mycobacterium ulcerans (Mycobacteriaceae)—known to trigger necrosis—has been found unlikely due to lack of supportive evidence (Binford, 2001). When the fangs and digestive system of the wolf spider Lycosa godeffroyi were experimentally contaminated with M. ulcerans, colonization did not occur and, unless laboratory tests were positive, the prescription of antimycobacterial antibiotics to the suspected spider bite was discouraged. The bacterium has a known latent period of circa 2 months in skin, following which it produces persistent and aggressive necrosis (Atkinson, Farrell, & Leis, 1995). Following a spider bite occurring in Australia, Photorhabdus luminescens (Enterobacteriaceae) has been isolated from developing necrotic lesions. The infection was locally acute on the first day post-bite and resurfaced over the next 2 months producing additional lesions (Peel et al., 1999). In Brazil, Clostridium perfringens (Bacillaceae), found present in the venom and on the fangs of Loxosceles intermedia, was suggested to worsen the necrosis from brown spider bite in humans. Injected intradermally with L. intermedia venom, it induced more severe dermonecrosis in rabbits compared to venom alone, though the venom was counteracted by antibiotic therapy (G-penicillin). Inoculation with C. perfringens alone did not cause dermonecrosis. Potent exotoxins produced by the bacterium, known to cause renal failure and death, were suggested to contribute also to systemic loxoscelism in humans (Monteiro et al., 2002).

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Brown Recluse (Loxosceles reclusa), a venomous spider. Dallas, Texas.

Zoonotic Hematological Illnesses

Credit: Nature's Images / Photo Researchers, Inc

Pyoderma gangrenosum Pyoderma gangrenosum, a chronic, noninfectious ulceration, may be confused with dermal loxoscelism. It has been over-diagnosed in patients who were suffering from the following conditions: vascular occlusive or venous disease, vasculitis, cancer, primary infection, drug-induced or exogenous tissue injury, and other inflammatory disorders (Weenig et al., 2002). Pincus, Winkel, Hawdon, and Sutherland (1999) gathered clinical evidence indicating the development of pyoderma after a spider bite, aggravated by local surgery. Rees, Fields, and King (1985) observed alarming recurrent lesions consistent with pyoderma gangrenosum, developing adjacent to or at bite sites after one proven and three probable brown recluse bites; the lesions refused to heal, resisting grafting and other therapies. Fungal Infection Sporotrichosis, caused by the fungal species Sporothrix schenckii, has been diagnosed after extended incubation of a culture harvested from an ulcerous lesion, which had developed with lymphangitis after a bite by an unidentified “large hairy” Australian spider. The victim was bitten on the wrist while picking mandarins (Moaven, Altman, & Newnham, 1999). (Note that flies, the spider’s prey, draw to soil, waste, and decay products and may contaminate spiders.) Tick-Caused Lesions Clinically, pyoderma gangrenosum-like lesions resembling those produced by L. reclusa have been caused by ticks (King, 1987). Certain zoonotic illnesses are associated with dermal lesions at sites of tick attachment: Tularemia, a poten(800) 423-9737

tially fatal plague-like illness transmitted to humans by ticks or rodents infected with Francisella (Pasteurella) tularensis, is characterized by ulceration/suppuration at the site of inoculation and also at sites of regional lymph nodes (Evans, 1969). African tick-bite fever is characterized by a small inoculation scab (Raoult et al., 2001), and Lyme disease by a spreading annular lesion (erythema migrans), which is seldomly vesicular or necrotic in the center (Osterhoudt et al., 2002; Rosenstein & Kramer, 1987). Ehrlichiosis has caused a residual local excoriation (Pearce, Conrad, Nolan, Fishbein, & Dawson, 1988). Squashed Spider Contents or Abdominal Digestive Contents of Spiders Spider contents other than venom may trigger harmful effects in humans, as when contacting eyes after a squashing and causing conjunctival inflammation (reviewed in Isbister & White, 2004). Moreover, it has been shown that abdominal fluids rather than venom fluids of some species, such as the Australian species Badumna insignis and Lampona cylindrata, contain the enzyme sphingomyelinase, the necrotizing component of Loxosceles venom. Its presence was shown in both venom and abdominal extracts of L. rufescens (Young & Pincus, 2001a). Spiders positively known to have caused necrosis in a few cases, such as Badumna (Macmillan, 1989; Pincus et al., 1999) and Lampona spp. (Pincus et al.), were suggested to have contaminated bite sites with digestive fluids containing sphingomyelinase, which may add to some minor effects derived from the venom (Young & Pincus, 2001a, b). In addition to the venom, stomach enzymes may also affect L. reclusa bite sites and augment the necrosis, as suggested by Sams et al. (2001).

Ehrlichiosis: a potentially serious ticktransmitted illness caused by intracellular gram-negative rickettsial bacteria (genera Ehrlichia and Anaplasma) that parasitize leukocytes. Symptoms include headache, fever, vomiting and diarrhea, possibly thrombocytopenia and aplastic anemia. Babesiosis: Babesiosis is a serious and rare, tick-borne disease that can be fatal. It is caused by various types of Babesia, a microscopic parasite that infects red blood cells. The disease can cause fever, fatigue, and hemolytic anemia lasting from several days to several months. Infections can occur without producing symptoms. (Information retrieved from New York State Department of Health: http://www.health.state. ny.us/diseases/communicable/babesiosis/fact_sheet.htm) Lyme disease: An illness characterized initially by a skin lesion (erythema migrans), fatigue, fever, chills, joint pain. If left untreated, it may later manifest itself in cardiac and neurological disorders and arthritis. It is caused by a spirochete of the genus Borrelia (B. burgdorferi). It is transmitted by the bite of a tick, especially of the genus Ixodes (I. dammini) in the eastern and midwestern United States; I. pacificus, especially in some parts of the Pacific coastal states of the United States; and I. ricinus in Europe)—also called Lyme borreliosis. Tularemia: an infectious disease especially of wild rabbits, rodents, humans, and some domestic animals that is caused by a bacterium (Francisella tularensis). It is transmitted especially by the bites of insects and in humans is marked by symptoms (fever) of toxemia—called also rabbit fever. Ebola hemorrhagic fever: often fatal fever in humans and nonhuman primates produced by the Ebola virus, which is any of several singlestranded RNA viruses of the family Filoviridae (especially species Zaire Ebola virus) of African origin. African tick-bite fever: an illness of sub-Saharan Africa characterized by a rash and fever and caused by a tick-borne rickettsia.

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Human Ehrlichiosis in the United States and Europe Previous to becoming established in the United States, human ehrlichiosis had been observed only in Asia, under the name of “Sennetsu fever,” caused by the pathogen Ehrlichia sennetsu, which targets monocytic leukocytes (McDade, 1990). In the United States, human ehrlichiosis was first noted in 1986 in the state of Arkansas (Maeda et al., 1987). Thereafter, Fishbein et al. (1987) described six cases: four from Georgia, one from South Carolina, and one from Missouri, and Pearce et al. (1988) describe a case from Alabama. In the reports, the victims’ tick-transmitted illnesses were caused by Ehrlichia canis or a closely related species. E. canis was originally discovered in Algeria in the monocytes of tick-exposed dogs (Donatien & Lestoquard, 1935). In 1994, Chen, Dumler, Bakken, and Walker reported the first human cases worldwide infected with granulocytic ehrlichiosis, previously observed only in animals. The newly presented pathogenic Ehrlichia species and the two already known granulocytic species, Ehrlichia phagocytophila and Ehrlichia equi, were closely related, and their genetic data was virtually identical. The 6 human cases observed, with 2 fatalities, had occurred between 1990 and 1993 in northern Minnesota and Wisconsin. The three related Ehrlichia species were subsequently designated as a single species, namely Anaplasma phagocytophilum (Dumler et al., 2001). Between 1997 and 2001, human monocytic ehrlichiosis (HME), caused by Ehrlichia chaffeensis [first thought to have been E. canis (Maeda et al., 1987)], was dominant in the southeast, and human granulocytic ehrlichiosis (HGE), caused by A. phagocytophilum, was dominant in the northeastern United States and northern Midwest. Ehrlichia ewingii ehrlichiosis (EWE) is also known to occur in humans in the United States; HGE is observed in the states of Oregon and Washington, and HME is observed in Washington as well (Gardner et al., 2003). E. ewingii is a known granulocytic pathogen (Chen et al., 1994). In humans in Europe, a monocytic case was first noted in Portugal in 1991 (Morais et al., 1991), and a granulocytic case (tick-transmitted) was first noted in Slovenia in 1996 (Petrovec et al., 1997), although antibodies against the agent of granulocytic ehrlichiosis were noted previously in northern Switzerland in patients bitten by ticks and showing antibodies against Borrelia burgdorferi (the spirochete causing Lyme disease) (Brouqui, Dumler, Lienhard, Brossard, & Raoult, 1995). Victims may not always be aware of a tick bite, as in the case described by Morais et al. and in another monocytic case (Belgium) (Pierard, Levtchenko, Dawson, & Lauwers, 1995), where both victims had fallen ill after a trip to the country or wilderness.

s Etiologic Agents of Ehrlichioses Photomicrographs of human white blood cells infected with the agent of human granulocytic ehrlichiosis (not specified) and the agent of human monocytic ehrlichiosis (Ehrlichia chaffeensis). Content Provider: CDC/NCID

Infected Dogs In dogs infected with E. canis, hyperplasia was linked with the acute, hypoplasia with the chronic phase of illness (Eng et al.). Comparably, of 4 dogs treated intravenously, 2 died at 28 and 30 hours, respectively, after receiving L. reclusa venom in amounts equivalent to those from 1 spider; both dogs showed, postmortem, hypocellular bone marrow sections; yet, L. reclusa body extracts were harmless (Denny, Dillaha, & Morgan, 1964).

Ehrlichiosis as Differential Diagnosis For a (necrotizing) spider bite in general and, in particular, for the severe systemic illness related to probable T. agrestis bite in humans encountered during winter and spring (Vest, 1989), the differential diagnosis includes ehrlichiosis, which also emerged in the United States in the 1980s—sooner than in Europe. Winter and spring are also the active questing seasons for the Ixodes pacificus tick (Burkot, Clover, Happ, DeBess, & Maupin, 1999; Kain, Sperling, & Lane, 1997). Vomiting, diarrhea, and aplastic anemia with pancytopenia—the latter present around 3 weeks post-bite (reviewed in Fisher et al., 1994)—are paralleled in ehrlichiosis, including the timing (for those symptoms, see Eng et al., 1990; Goldman, Artenstein, & Bolan, 1992; Pearce et al., 1988). A platelet count below 150x103/mm3 upon clinical presentation, not necessarily related to serious illness, is common (Eng et al.; Wormser, Horowitz, Dumler, Schwartz, & Aguero-Rosenfeld, 1996), seen also in assumed T. agrestis bite. Maeda et al. (1987), describing the first case of human ehrlichiosis in the United States, suggested we ought to suspect this illness in some patients exhibiting pancytopenia. Unidentified tick exposure in victims of probable T. agrestis bite or a contamination/ vector role of (immature) T. agrestis spiders with ehrlichial bacteria may be possible.

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Human ehrlichiosis, present in the Pacific Northwest and other regions of the United States (Gardner, Holman, Krebs, Berkelman, & Childs, 2003; Goldman et al., 1992), can occur either as a transient and mild affliction, or as a life-threatening hematological illness (Goldman et al.; McDade, 1990). Though it is usually spotless, it can be confused with the rickettsial illness of Rocky Mountain spotted fever (Fischer, 1990; McDade; Maeda et al., 1987; U.S. Department of Health and Human Services, 1990). Ehrlichiosis is caused by ticktransmitted intracellular gram-negative rickettsial bacteria (genera Ehrlichia and Anaplasma) that parasitize leukocytes of both people and animals. Transmission in horses is also known to occur by accidental ingestion of infected insects such as caddisflies, as has been noted in northern California (Madigan et al., 2000). (Note that spiders trap insects and ingest their body fluids.) Trematodes obtained from Elimia livescens snails of diverse geographical regions (Ohio, Kentucky, California, Oregon) have been identified as carriers as well (Kanter et al., 2000). In ehrlichiosis, the incubation time is 1 to 21 days, with a median of 7 days. Symptoms include fever, headache, musculoskeletal pains, nausea, vomiting, elevated aminotransferase levels, and sometimes a rash. Within the first week of illness, leukopenia and thrombocytopenia are

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usually observed, sooner than anemia, and disseminated intravascular coagulation may also occur (Eng et al., 1990; Goldman et al., 1992; McDade, 1990). Acute respiratory failure, encephalopathy leading to coma, renal failure (Eng et al.), pharyngitis, diarrhea, and pancytopenia with bone marrow abnormalities such as hypoplasia or hyperplasia have been noted (Eng et al.; Goldman et al.). Hypoplasia of the bone marrow and related maximal thrombocytopenia (82x103/mm3) and leukopenia were observed on the day following hospital entry of an ehrlichiosis victim already ill for 2 weeks. The onset of illness, attributed to E. canis, had occurred circa 1 week after tick exposure. The last 3 days before admission were marked by nausea, vomiting, and loose stools (Pearce et al., 1988). Of six victims with serological evidence of infection with E. canis or a closely related species, five suffered headache, nausea, anorexia, myalgia, and rigors; all six were feverish, with five also showing relative bradycardia and leucopenia. Platelet counts were done for four victims, with maximal thrombocytopenia (median, 68x103/mm3) apparent later during the first week of illness. Two of those four patients were also tested for bone marrow abnormalities and showed hypocellularity and noncaseating granulomas. All six patients had a recent history of tick attachment, with a median of 11.5 days until the onset of illness (Fishbein et al., 1987). In Europe, after an incubation time of 12 days, human granulocytic ehrlichiosis has produced the following influenza-like symptoms for the period of 5 days: malaise, fever, headache, nausea, vomiting, and strong myalgic and arthralgic pains; a low platelet count (118x103/ mm3) was diagnosed 14 days post-bite (Petrovec et al., 1997). For ehrlichiosis, Eng et al. (1990) reported of laboratory findings pointing to a platelet count below 130x103/mm3, observed usually during the first week of illness for the median duration of 4 days. In New York State, of the first 10 patients with granulocytic ehrlichiosis diagnosed in 1995, 70% had a platelet count below 150x103/ mm3 (Wormser et al., 1996). The ehrlichiosis victim described by Pearce et al. (1988) showed residual excoriation and erythema at several sites of the extremities where tick bites had occurred 3 weeks previously. Erythematous zones surrounding sites where attached ticks were found were reported by two other victims (Fishbein et al., 1987); one zone had measured 30 mm. In Lyme disease, thrombocytopenia and leukopenia are noted, but very rarely (Goldman (800) 423-9737

Photo credit: James Gathany

et al., 1992; Wormser et al., 1996). Rash, fever, joint pain, and headache commonly occur, and anemia is seen in 12% of the patients, versus the 33%–62% seen in ehrlichiosis patients (Goldman et al.). A victim of an assumed T. agrestis bite inflicted in mid-January of 1989 in Boise, Idaho, suffered adverse effects for several weeks, including dizzy spells, weight loss, and fatigue. In May of that year, the bite site became severely swollen and irritated, and tests for Lyme disease were negative, but anemia was noted. The local swelling and irritation did not abate until February of 1990; from June 1989, it had recurred circa every 3 months (Akre and Myhre, 1991). Tetracycline or doxycycline effectively treats ehrlichiosis (Goldman et al., 1992) and is also prescribed for Lyme disease, Rocky Mountain spotted fever, relapsing fever (caused by several species of Borrelia spirochetes, transmitted by soft ticks; incubation period of circa 1 week), Q fever (caused by Coxiella burnetii, aerosolized from aborted animal placenta or, rarely, transmitted by the tick Dermacentor andersoni; in-

s This photograph depicts a dorsal view of an adult female western blacklegged tick, Ixodes pacificus, which has been shown to transmit Borrelia burgdorferi, the agent of Lyme disease, and Anaplasma phagocytophilum, the agent of “human granulocytic anaplasmosis” (HGA), which was previously known as “human granulocytic ehrlichiosis” (HGE), in the western United States. The small scutum, or tough, chitinous dorsal abdominal plate, does not cover its entire abdomen, thereby allowing the abdomen to expand many times when this tick ingests its blood meal, and which identified this specimen as a female. The four pairs of jointed legs places these ticks in the Phylum Arthropoda and the Class Arachnida. Content Provider: CDC/ Dr. Amanda Loftis, Dr. William Nicholson, Dr. Will Reeves, Dr. Chris Paddock

Winter 2007 THE FORENSIC EXAMINER 49

Toxic Shock Syndrome or Rocky Mountain Spotted Fever? By Kristin Crowe, Associate Editor

any illnesses manifest themselves in similar ways, making it hard for clinicians to diagnose and treat patients accurately; two of these infections are Toxic Shock Syndrome and Rocky Mountain Spotted Fever. It is important that clinicians, toxicologists, and expert witnesses are able to recognize the possibility of either of these infections and their overlapping symptoms. There is such an overlap that misdiagnosis of one infection for the other must be carefully guarded against and always regarded as a possibility. In 1978, Todd, Fishaut, Kapral, and Welch first reported and named Toxic Shock Syndrome (TSS) after treating seven children aged 8–17, of which one died and one developed gangrene of the toes. There was an outbreak of Toxic Shock Syndrome in 1981 found to be associated with menstruating women and tampon use. Since then, much has been discovered about TSS, but there is much left unknown. Many people associate Toxic Shock Syndrome exclusively with tampon use, however, “the incidence of nonmenstrual TSS now exceeds that of menstrual TSS” (Issa & Thompson, 2001). Non-menstrual TSS may come from multiple different “surgical procedures (e.g., rhinoplasty, nasal packing, postpartum procedures) and medical conditions (e.g., pneumonia, influenza, infection)” (Issa & Thompson). TSS may affect men, children, and non-menstruating women, contrary to popular belief. The disorder “is now recognized as a toxin-mediated, multisystem illness that strikes primarily in healthy people of any age” (Issa & Thompson). This infection may attack anywhere the bacterium Staphylococcus aureus enters the blood stream, from the smallest prick

Spider contents other than venom may trigger harmful effects in humans, as when contacting eyes after a squashing and causing conjunctival inflammation.”

to a surgical site and, as it is a systemic illness, it affects the entire body (Nemours Foundation, 2007). The bacterium S. aureus causes TSS “by release of superantigens into the blood stream” (Todar, 2005). S. aureus “secretes two types of toxin with superantigen activity, enterotoxins, of which there are six antigenic types (SE-A, B, C, D, E and G), and toxic shock syndrome toxin (TSST-1). . . . TSST-1 is expressed systemically and is the cause of toxic shock syndrome (TSS). When expressed systemically, enterotoxins can also cause toxic shock syndrome. In fact, enterotoxins B and C cause 50% of non-menstrual cases of TSS. . . . TSST-1 is responsible for 75% of TSS, including all menstrual cases. TSS can occur as a sequel to any staphylococcal infection if an enterotoxin or TSST-1 is released systemically and the host lacks appropriate neutralizing antibodies” (Todar). Ninety percent of the population has these neutralizing antibodies preventing them from being infected because S. aureus may be a part of the body’s normal bacteria, existing in the nose or vagina (University of Utah Health Sciences Center, 2003). “S. aureus can be transmitted by direct contact with infected persons. Individuals who develop TSS usually have not developed antibodies against S. aureus. Therefore, it is not usually considered a contagious infection” (University of Utah Health Sciences Center). Although the proportion of menstrual-related TSS cases has declined in recent years, “the proportion of postsurgical TSS cases has been increasing” (Salandy & Brenner, 2005). S. aureus may enter a person’s body during a surgical procedure, causing the person to suddenly experience TSS, although “the wound appears relatively benign” and “is usually not grossly suppurative and not initially identified as the site of infection” (Kreiswirth, Kravitz, Schlievert, & Novick, 1986). Making a clinical diagnosis in this instance is challenging because the surgical site may not present the classical signs of infection (Issa & Thompson, 2001). At that stage, “reopening the surgical wound may be the only way to confirm the diagnosis and may also provide therapeutic benefit by minimizing systemic absorption of toxin” (Kreiswirth et al., 1986). Symptoms of TSS include a fever greater than 102 degrees Fahrenheit;

cubation period of circa 3 weeks) (Anonymous, 1986), and African tick-bite fever (Newlands & Atkinson, 1990).

Seasonal Tick Transmission and Possible Coinfections Tick species infected with ehrlichial pathogens include: I. pacificus, Dermacentor variabilis, and Dermacentor occidentalis, all collected as adult species from January to May in northern California (Holden, Boothby, Anand, & Massung, 2003); Amblyomma americanum, collected as adult species along with unspecified infected nymphal ticks during summer in Missouri (DeShields et al., 2004); Ixodes dammini, infective agent in the northeastern United States and the northern Midwest (Krause et al., 2002; Thompson, Spielman, & Krause, 2001); Ixodes ricinus of Europe (Von Loewenich et al., 2003); and Rhipicephalus sanguineus (Donatien & Lestoquard, 1935).

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Ehrlichiosis has occurred seasonally. According to Madigan and Gribble (1987), equine ehrlichiosis is observed in northern California particularly during late fall, winter, and spring; it has also been noted in Washington. The granulocytic agent, first known as E. equi, targets sheep, goats, dogs, cats, monkeys, baboons, horses, and burros—severely affecting the latter two. Symptoms include fever, depression/malaise, anorexia, limb edema, ataxia, petechiae, leukopenia, thrombocytopenia, icterus, and anemia. In the United States, most HGE and HME cases are associated with the warm season, mainly June and July, yet cases occurring during fall, winter, and spring are statistically noted (Gardner et al., 2003). Europe’s first recognized human case of ehrlichiosis occurred in January in southern Portugal (Morais et al., 1991). Seasonal vector activity, as determined by geographical region, influences this pattern. I. pacificus is viewed as the primary vector of ehrlichiosis in California

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a flat rash, called a TSS Rash, similar in appearance to a sunburn that covers most of the body; strawberry tongue, in which red bumps rise above a yellow/white coating covering the tongue; headache; muscle aches; sore throat; cough; nausea and vomiting; profuse diarrhea; abdominal pain; fainting; confusion and disorientation; low blood pressure (systolic less than 90 mm Hg); and in women with menstrual related TSS, vaginal inflammation and discharge (HCG, 2007). TSS can mirror other diseases or infections, making it difficult for clinicians to diagnose. It is extremely important for clinicians to rule out other infections with similar symptoms, such as Rocky Mountain Spotted Fever, when diagnosing and treating a patient (University of Utah Health Sciences Center, 2003). To be diagnosed with TSS, a patient must present with the fever, low blood pressure, and rash described above. The infection must involve 3 or more organ systems, and there must be an absence of evidence of other infections or diseases (Salandy & Brenner, 2005). Fluid resuscitation and oxygen administration should begin before the patient arrives at the hospital if an ambulance has been called. Emergency room personnel should continue administration of fluid and oxygen at the hospital and begin cardiac and urine-output monitoring. All packing materials and tampons should be removed and the patient should begin antibiotic treatment as soon as TSS is confirmed. It is recommended that doctors closely follow-up with patients, as TSS reoccurs in 40%–50% of patients (Salandy & Brenner, 2005). One of the most difficult aspects of treating TSS is accurately diagnosing the illness. There are no definitive tests that provide complete assurance the patient has TSS, and many of the symptoms mimic or are mimicked by other diseases. A primary focus of clinicians is to “rule out” other possible diseases that may cause the patient to present with similar symptoms. One of these diseases is Rocky Mountain Spotted Fever. Like TSS, Rocky Mountain Spotted Fever (RMSF) is a potentially fatal disease caused by Rickettsia rickettsii and treated with antibiotics. It can be found in 47 of the 48 contiguous states, excluding

and shows peak adult activity during the winter and spring months, when almost half of the cases with erythema migrans (essential symptom of Lyme disease) are known to occur (Holden et al., 2003). Among I. pacificus ticks collected from January to May in a northern California coastal region, Holden et al. (2003) found specimens infected with either A. phagocytophilum, E. chaffeensis, or B. burgdorferi; the latter agent was also found associated with either one of the former in single ticks. In Europe, of 70 human cases with antibodies to Ixodes-transmitted B. burgdorferi, 12 also showed antibodies to E. equi (Brouqui et al., 1995). In the United States, Wormser et al. (1996) found laboratory evidence that raised the possibility of inapparent coinfection with B. burgdorferi in patients diagnosed with ehrlichiosis. Later studies showed that concurrent or sequential infection with B. burgdorferi and either Babesia microti (agent of babesiosis) or the agent (800) 423-9737

s Bacterial cells of Staphylococcus aureus, the most common cause of staph infections, is a spherical bacterium, frequently living on the skin or in the nose of a person, that can cause a range of illnesses from minor skin infections to toxic shock syndrome. Photo credit: Agricultural Research Service

Maine, and is carried by ticks infected with Rickettsia rickettsii, who transmit the infection to humans. Spread by the American dog tick, the lone-star tick, and the wood tick (Directors of Health Promotion and Education), RMSF is the “most common fatal tick-borne disease in the United States” (Amitai, Sinert, & Medlin, 2006). Some sources report that an infected tick must feed for more than 6 hours before the Rickettsia rickettsii bacteria are introduced into the human, “enter[ing] the skin and spread[ing] via lymphatics to the bloodstream and attach[ing] to their target cells, vascular endothelial cells” (Amitai

Top left: Adult deer tick, Ixodes dammini. Photo credit: Scott Bauer Bottom left: Bull's eye rash (Erythema migrans), an early symptom of Lyme Disease. Photo credit: Larry Mulvehill / Photo Researchers, Inc Bottom right: A male sac spider of the family Clubionidae, genus Chiracanthium. Ellis County, TX.

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et al., 2006). Although not all sources agree on the number of hours, all agree that the longer the infected tick is attached, the greater the chance of infection. Conversely, if the fluid from an infected tick comes into contact with broken skin, possibly through squeezing or crushing, the person may become infected because s Gimenez stain of tick hemolymph cells infected Rickettsia circulates in tick with Rickettsia rickettsii, the causative agent of Rocky bodily fluids (Mayo Clinic Mountain spotted fever. Staff, 2005). The patient Photo credit: Center for Disease Control and will develop symptoms Prevention (clinical manifestations) of the infection typically 3–12 days after being bitten or infected, during which time the Rickettsia is replicating intracellularly (Amitai et al.). RMSF is not transmitted between people (Directors of Health Promotion and Education, n.d.). Between 1998 and 2004, the number of reported cases of RMSF multiplied by more than four. Outbreaks are often seasonal, happening in warm weather with peaks in May and June (Amitai et al., 2006). Although a case of RMSF is “usually fairly mild” if treated promptly (Mayo Clinic Staff, 2005), RMSF has been reported to have a 4% mortality rate, and “patients treated 5 or more days after onset of symptoms experienced thee times the mortality rate of patients treated earlier” (Amitai et al.). It is believed that “a significant portion of this persistent mortality likely is due to delay in diagnosis and treatment” (Amitai et al.). Symptoms of RMSF include a sudden fever typically greater than 102 degrees Fahrenheit that may last 2–3 weeks, a severe headache, tiredness, deep muscle pain or myalgias, and may include chills, nau-

s Top left & right: Female Hobo Spider, bottom left: male Hobo Spider, bottom right: Hobo Spider & egg sac

sea, anorexia, vomiting, diarrhea, abdominal pain, hypotension (abnormally low blood pressure), confusion, lethargy, stupor, delirium, and seizures. A rash that often begins on the legs and/or arms appears on the first day of symptoms for about 15% of patients, and appears by the third day for about 50% of patients. The rash may include the soles and palms and then rapidly spread to the trunk, and typically appears after the fever, headache, myalgias, and GI symptoms. A form of spotless fever, in which patients do not present with a rash, occurs in 10%–15% of patients. This is not a milder form, as the mortality rate is higher for spotless fever than for spotted fever. According to Freiman, Borsuk, and Sasseville, “multiorgan involvement may lead to a variety of symptoms, which makes the diagnosis challenging” (2005). As with TSS, there is not a specific test for RMSF, and “making an accurate clinical diagnosis of RMSF is not easy, even for experienced physicians who practice in areas where the disease is endemic” (Eloubeidi & Burton, 1997). This symptomatic disease mirrors other diseases, is easily confused because of the diversity of its symptoms, and “can occur simultaneously with other disease processes,” causing it to be easily “misdiagnosed as a hospital-acquired infection,” such as surgical TSS (Eloubeidi & Burton). “Because of its diverse clinical features, RMSF has been confused with community-acquired illnesses such as meningococcemia, numerous viral exanthems, hypersensitivity reactions to drugs, thrombotic thrombocytopenic purpura, S. aureus bacteremia, acute appendicits, and even acute cholocytitis,” according to Eloubeidi and Burton (emphasis added). Serology tests are usually done to confirm RMSF; however, those tests are “only useful after acute infection,” leaving patients at higher risk (Amitai et al., 2006). Eloubeidi and Burton state that “RMSF is a disease that can be a ‘wolf in sheep’s clothing,’ and it also can act as a ‘great imitator’ of other disease processes.” It has been stated that, “a high index of suspicion is the most important aspect of diagnosing RMSF” (Amitai et al.). Much RMSF treatment is treating of the symptoms, such as intravenous hydration and supplemental oxygen, along with antibiotics for the infection. If the tick is still present, it is removed. Of the confirmed cases of RMSF, 72% required

of HGE frequently occurs in the United States, particularly in the northeastern regions and in the northern Midwest, where a patient may also be affected by all three pathogens (Krause et al., 2002; Thompson et al., 2001). In those regions, pathogens are transmitted by I. dammini, mostly by nymphs, which, after feeding off reservoir rodents (white-footed mouse, Peromyscus leucopus), infect hosts such as the white-tailed deer (Odocoileus virginianus) or humans (Thompson et al.). I. pacificus activity, observed during winter and spring in northern California (Holden et al., 2003), extends to the northwestern Pacific regions, possibly contributing to the severe envenomation effects attributed to T. agrestis during winter and spring, which have been pointed out by Vest (1989). Actively questing adult I. pacificus ticks are present in spring in Oregon (Burkot et al., 1999; Kain et al., 1997) and in

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British Columbia and have been collected in winter and spring in Utah (Kain et al.). I. pacificus has been identified as a vector of B. burgdorferi in Oregon, and the northern range of I. pacificus extends through parts of Washington State into Canada (Burkot et al.).

Conclusion The seriousness of systemic arachnidism and zoonotic hematological illnesses calls for clinicians and forensic investigators to make sure victims are given the correct diagnosis. Ehrlichiosis arose about the same time as probable T. agrestis bites emerged. Bite victims, if showing protraced reactions, due to the systemic symptom similarities between the two conditions, should be tested for ehrlichiosis. In clinical and forensic investigation, knowledge of the victim’s signs and symptoms can guide to the quick application of the pertinent laboratory tests.

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s A Rocky Mountain Spotted Fever rash Photo credit: Centers for Disease Control and Prevention

hospitalization (Amitai et al.). Initial symptoms of RMSF are often nonspecific, and TSS and RMSF share many of the same symptoms, such as fever over 102 degrees, hypotension, headache, multiorgan involvement, and rash. It is imperative that clinicians discover quickly which disease the patient is manifesting, as different treatment modes are required. Both TSS and RMSF are potentially life-threatening diseases that should be taken seriously and understood to the best of the expert’s abilities and resources, as a misdiagnosis may result in loss of life.

mountain spotted fever. emedicine. Retrieved August 27, 2007, from http://www.emedicine.com/EMERG/topic510.htm Directors of Health Promotion and Education. (n.d.). Rocky mountain spotted fever. Retrieved August 27, 2007, from http://www.astdhpphe.org/infect/rms.html Eloubeidi, M. A. S., & Burton, C. S. (1997, September). The great imitator: Rocky mountain spotted fever occurring after hospitalization for unrelated illnesses. Southern Medical Journal, 90(9), 943–946. Freiman, A., Borsuk, D., & Sasseville, D. (2005, November 22). Dermatologic emergencies. Canadian Medical Association Journal, 173(11), 1317¬–1319. HCG. (2007). Common bacterias can cause quite a toxic shock! Staphylococcus & Streptococcus. Associated Content. Retrieved August 28, 2007, from http://www.associatedcontent.com/pop_print.shtml?content_type=article&content_type_id=12459 Issa, N. C., & Thompson, R. L. (2001, October). Staphylococcal toxic shock syndrome: Suspicion and prevention are keys to control. Postgraduate Medicine, 110(4), 55–62. Retrieved August 28, 2007, from http://www.postgradmed.com/issues/2001/10_01/issa.htm Kreiswirth, B. N., Kravitz, G. R., Schlievert, P. M., & Novick, R. P. (1986, November). Nosocomial transmission of a strain of Staphylococcus aureus causing toxic shock syndrome. Annals of Internal Medicine, 105(5), 704–707. Mayo Clinic Staff. (2005, September 9). Rocky mountain spotted fever. Retrieved September 4, 2007, from http://www.mayoclinic.com/print/rocky-mountain-spottedfever/DS00600/DSECTION=all&METHOD=print Nemours Foundation. (2007, January). TeensHealth: Toxic shock syndrome. Retrieved August 27, 2007, from http://kidshealth.org/PageManager. jsp?dn=KidsHealth&lic=1&ps=207&cat_id=20015&article_set=20277 Salandy, D., & Brenner, B. E. (2005, December 5). Toxic shock syndrome. emedicine. Retrieved August 27, 2007, from http://www.emedicine.com/emerg/topic600.htm Todar, K. (2005). Staphylococcus. Todar’s Online Textbook of Bacteriology. Retrieved August 28, 2007, from http://www.textbookofbacteriology.net/staph.html University of Utah Health Services Center. (2003). Infectious diseases: Toxic shock syndrome. Retrieved August 27, 2007, from http://healthcare.utah.edu/healthinfo/adult/ infectious/toxic.htm

Amitai, A., Sinert, R., & Medlin, R. Jr. (2006, January 3). Tick-borne diseases, rocky

Acknowledgments I wish to thank Drs. Alicia Anderson and Gregory Dasch at the Centers for Disease Control and Prevention, Atlanta, Georgia, and Dr. Richard Zack, Chair of the Department of Entomology at Washington State University (Pullman), for supportive interest in my researched suggestion of a possible link between suspected hobo spider envenomation and ehrlichiosis. The pictures of the ticks were ordered from Photo Researchers, Inc. I thank Dr. Zack for providing the Tegenaria agrestis picture.

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About the Author Cornelia Richardson-Boedler, NMD, MA, DABFE, DABFM, German-born, lives in the United States, where she works as a naturopathic doctor and psychotherapist in private practice. She holds an MA in Psychology, as well as a license in Marriage, Family, and Child Therapy and is a faculty member of the British Institute of Homeopathy. She researches and writes on topics in homeopathic and standard medicine. Recent work has focused on occupational and public health issues (metal carcinogenesis and spider/tick bite). Richardson-Boedler has been a member of ACFEI since 1995, and a Life Fellow since 2003. She is a Diplomate of the American Board of Forensic Examiners, a Diplomate of the American Board of Forensic Medicine, and a Certified Clinical Psychopathologist and holds a Doctoral Addictions Counselor endorsement.

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Isbister, G. (2001). Necrotic arachnidism in Australia [Letter to the editor]. Toxicon, 39, 1941–1942 Isbister, G. K. (2002). Data collection in clinical toxinology: Debunking myths and developing diagnostic algorithms. Journal of Toxicology—Clinical Toxicology, 40, 231–237. Isbister, G. K. (2004). Necrotic arachnidism: The mythology of a modern plague. Lancet, 364, 549–553. Isbister, G. K., & Gray, M. R. (2003). White-tail spider bite: A prospective study of 130 definite bites by Lampona species. Medical Journal of Australia, 179, 199–202. Isbister, G. K., & White, J. (2004). Clinical consequences of spider bites: Recent advances in our understanding. Toxicon, 43, 477–492. Isbister, G. K., & Whyte, I. M. (2004). Suspected white-tail spider bite and necrotic ulcers. Internal Medicine Journal, 34, 38–44. Kain, D. E., Sperling, F. A. H., & Lane, R. S. (1997). Population genetic structure of Ixodes pacificus (Acari: Ixodidae) using allozymes. Journal of Medical Entomology, 34, 441–450. Kanter, M., Mott, J., Ohashi, N., Fried, B., Reed, S., Lin, Y. C., et al. (2000). Analysis of 16S rRNA and 51kilodalton antigen gene and transmission in mice of Ehrlichia risticii in virgulate trematodes from Elimia livescens snails in Ohio. Journal of Clinical Microbiology, 38, 3349–3358. King, L. E., Jr. (1987). Spider bites. Archives of Dermatology, 123, 41–43. Krause, P. J., McKay, K., Thompson, C. A., Sikand, V. K., Lentz, R., Lepore, T., et al. (2002). Disease-specific diagnosis of coinfecting tickborne zoonoses: Babesiosis, human granulocytic ehrlichiosis, and Lyme disease. Clinical InfectiousDiseases, 34, 1184–1191. Kunkel, D. B. (1984). Arthropod envenomations. Emergency Medicine Clinics of North America, 2, 579–586. Kunkel, D. B. (1985). The toxic emergency. The myth of the brown recluse spider. Emergency Medicine, 17(5), 124–128. Lewis, M. I. (1967). Spider bites, tick bites [Letter to the editor]. California Medicine, 106, 247–248. McDade, J. E. (1990). Ehrlichiosis—A disease of animals and humans. Journal of Infectious Diseases, 161, 609–617. Macmillan, D. L. (1989). Envenomation by a window spider [Letter to the editor]. Medical Journal of Australia, 150, 163. Madigan, J. E., & Gribble, D. (1987). Equine ehrlichiosis in northern California: 49 cases (1968–1981). Journal of the American Veterinary Medical Association, 190, 445–448. Madigan, J. E., Pusterla, N., Johnson, E., Chae, J. S., Pusterla, J. B., Derock, E., et al. (2000). Transmission of Ehrlichia risticii, the agent of Potomac horse fever, using naturally infected aquatic insects and helminth vectors: Preliminary report. Equine Veterinary Journal, 32, 275–279. Maeda, K., Markowitz, N., Hawley, R. C., Ristic, M., Cox, D., & McDade, J. E. (1987). Human infection with Ehrlichia canis, a leukocytic rickettsia. New England Journal of Medicine, 316, 853–856.

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Moaven, L. D., Altman, S. A., & Newnham, A. R. (1999). Sporotrichosis mimicking necrotising arachnidism [Letter to the editor]. Medical Journal of Australia, 171, 685–686. Monteiro, C. L. B., Rubel, R., Cogo, L. L., Mangili, O. C., Gremski, W., & Veiga, S. S. (2002). Isolation and identification of Clostridium perfringens in the venom and fangs of Loxosceles intermedia (brown spider): Enhancement of the dermonecrotic lesion in loxoscelism. Toxicon, 40, 409–418. Morais, J. D., Dawson, J. E., Greene, C., Filipe, A. R., Galhardas, L. C., & Bacellar, F. (1991). First European case of ehrlichiosis. Lancet, 338, 633–634. Newlands, G., & Atkinson, P. (1990). A key for the clinical diagnosis of araneism in Africa south of the equator. South African Medical Journal, 77, 96–97. Osterhoudt, K. C., Zaoutis, T., & Zorc, J. J. (2002). Lyme disease masquerading as brown recluse spider bite. Annals of Emergency Medicine, 39, 558–561. Pearce, C. J., Conrad, M. E., Nolan, P. E., Fishbein, D. B., & Dawson, J. E. (1988). Ehrlichiosis: A cause of bone marrow hypoplasia in humans. American Journal of Hematology, 28, 53–55. Peel, M. M., Alfredson, D. A., Gerrard, J. G., Davis, J. M., Robson, J. M., McDougall, R. J., et al. (1999). Isolation, identification, and molecular characterization of strains of Photorhabdus luminescens from infected humans in Australia. Journal of Clinical Microbiology, 37, 3647–3653. Petrovec, M., Lotric Furlan, S., Avsic Zupanc, T., Strle, F., Brouqui, P., Roux, V., et al. (1997). Human disease in Europe caused by a granulocytic Ehrlichia species. Journal of Clinical Microbiology, 35, 1556–1559. Pierard, D., Levtchenko, E., Dawson, J. E., & Lauwers, S. (1995). Ehrlichiosis in Belgium. Lancet, 346, 1233–1234. Pincus, S. J., Winkel, K. D., Hawdon, G. M., & Sutherland, S. K. (1999). Acute and recurrent skin ulceration after spider bite. Medical Journal of Australia, 171, 99–102. Raoult, D., Fournier, P. E., Fenollar, F., Jensenius, M., Prioe, T., De Pina, J. J., et al. (2001). Rickettsia africae, a tick-borne pathogen in travelers to sub-saharan Africa. New England Journal of Medicine, 344, 1504–1510. Rees, R. S., Fields, J. P., & King, L. E., Jr. (1985). Do brown recluse spider bites induce pyoderma gangrenosum? Southern Medical Journal, 78, 283–287. Ribeiro, L. A., Jorge, M. T., Piesco, R. V., & De Andrade Nishioka, S. (1990). Wolf spider bites in São Paulo, Brazil: A clinical and epidemiological study of 515 cases. Toxicon, 28, 715–717. Richardson-Boedler, C. (2001). The widow spider Latrodectus tredecimguttatus: Source of the remedy Tarentula hispanica? British Homeopathic Journal, 90, 44–49. Richardson-Boedler, C. (2002). The brown spider Loxosceles laeta: Source of the remedy Tarentula cubensis? Homeopathy, 91, 166–170. Rosenstein, E. D., & Kramer, N. (1987). Lyme disease misdiagnosed as a brown recluse spider bite [Letter to the editor]. Annals of Internal Medicine, 107, 782. Russell, F. E. (1986). A confusion of spiders [Letter to the editor]. Emergency Medicine, 18(11), 8–9, 13.

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Russell, F. E., & Waldron, W. G. (1967). Spider bites, tick bites [Letter to the editor]. California Medicine, 106, 248– 249. Sadler, M. A., Force, R. W., Solbrig, R. M., & Sommer, S. (2001). Suspected Tegenaria agrestis envenomation. Annals of Pharmacotherapy, 35, 1490–1491. Sams, H. H., Hearth, S. B., Long, L. L., Wilson, D. C., Sanders, D. H., & King, L. E., Jr. (2001). Nineteen documented cases of Loxosceles reclusa envenomation. Journal of the American Academy of Dermatology, 44, 603–608. Skinner, M. W., & Butler, C. S. (1995). Necrotising arachnidism treated with hyperbaric oxygen. Medical Journal of Australia, 162, 372–373. Swanson, D. L., & Vetter, R. S. (2005). Bites of brown recluse spiders and suspected necrotic arachnidism. New England Journal of Medicine, 352, 700–707. Thompson, C., Spielman, A., & Krause, P. J. (2001). Coinfecting deer-associated zoonoses: Lyme disease, babesiosis, and ehrlichiosis. Clinical Infectious Diseases, 33, 676–685. U.S. Department of Health and Human Services. (1990). Rocky Mountain spotted fever and human ehrlichiosis—United States, 1989. MMWR Morbidity and Mortality Weekly Report, 39, 281–284. U.S. Department of Health and Human Services. (1996). Necrotic arachnidism—Pacific Northwest, 1988– 1996. MMWR Morbidity and Mortality Weekly Report, 45, 433–436. Vest, D. K. (1987a). Envenomation by Tegenaria agrestis (Walckenaer) spiders in rabbits. Toxicon, 25, 221–224. Vest, D. K. (1987b). Necrotic arachnidism in the northwest United States and its probable relationship to Tegenaria agrestis (Walckenaer) spiders. Toxicon, 25, 175–184. Vest, D. K. (1989). Emergent patterns in the occurrence and severity of probable hobo spider (Tegenaria agrestis) envenomation in humans. Toxicon 27, 84 (abstract). Vest, D. K. (1993a). Differential diagnosis of necrotic arachnidism in the northwestern United States. American Arachnology, 48, 10 (abstract). Vest, D. K. (1993b). Protracted reactions following probable hobo spider (Tegenaria agrestis) envenomation. American Arachnology, 48, 10 (abstract). Vetter, R. S. (1998). Envenomation by a spider, Agelenopsis aperta (Family: Agelenidae) previously considered harmless. Annals of Emergency Medicine, 32, 739–741. Vetter, R. S. (2000). Myth: Idiopathic wounds are often due to brown recluse or other spider bites throughout the United States. Western Journal of Medicine, 173, 357–358. Vetter, R. S. (2004). Myths about spider envenomations and necrotic skin lesions. Lancet, 364, 484–485. Vetter, R. S. (2005). Arachnids submitted as suspected brown recluse spiders (Araneae: Sicariidae): Loxosceles spiders are virtually restricted to their known distribution but are perceived to exist throughout the United States. Journal of Medical Entomology, 42, 512–521. Vetter, R. S., & Barger, D. K. (2002). An infestation of 2,055 brown recluse spiders (Araneae: Sicariidae) and no envenomation in a Kansas home: Implications for bite

diagnoses in nonendemic areas. Journal of Medical Entomology, 39, 948–951. Vetter, R. S., & Bush, S. P. (2002a). Reports of presumptive brown recluse spider bites reinforce improbable diagnosis in regions of North America where the spider is not endemic. Clinical Infectious Diseases, 35, 442–445. Vetter, R. S., & Bush, S. P. (2002b). The diagnosis of brown recluse spider bite is overused for dermonecrotic wounds of uncertain etiology [Editorial letter]. Annals of Emergency Medicine, 39, 544–546. Vetter, R. S., Cushing, P. E., Crawford, R. L., & Royce, L. A. (2003). Diagnoses of brown recluse spider bites (loxoscelism) greatly outnumber actual verificaspider in four western American states. Toxicon, 42, 413–418. Vetter, R. S., Edwards, G. B., & James, L. P. (2004). Reports of envenomation of brown recluse spiders (Araneae: Sicariidae) outnumber verifications of Loxosceles spiders in Florida. Journal of Medical Entomology, 41, 593–597. Vetter, R. S., & Isbister, G. K. (2004). Do hobo spider bites cause dermonecrotic injuries [Editorial letter]? Annals of Emergency Medicine, 44, 605–607. Vetter, R. S., Roe, A. H., Bennett, R. G., Baird, C. R., Royce, L. A., Lanier, W. T., et al. (2003). Distribution of the medically-implicated hobo spider (Araneae: Agelenidae) and a benign congener, Tegenaria duellica, in the United States and Canada. Journal of Medical Entomology, 40, 159–164. Vetter, R. S., & Visscher, P. K. (1998). Bites and stings of medically important arthropods. International Journal of Dermatology, 37, 481–496. Von Loewenich, F. D., Stumpf, G., Baumgarten, B. U., Röllinghoff, M., Dumler, J. S., & Bogdan, C. (2003). Human granulocytic ehrlichiosis in Germany. Evidence from serological studies, tick analyses, and a case of equine ehrlichiosis. Annals New York Academy of Sciences, 990, 116–117. Weenig, R. H., Davis, M. D. P., Dahl, P. R., & Su, W. P. D. (2002). Skin ulcers misdiagnosed as pyoderma gangrenosum. New England Journal of Medicine, 347, 1412–1418. White, J. (1998). Recurrent necrotising arachnidism [Letter to the editor]. Medical Journal of Australia, 169, 643. White, J. (1999). Necrotising arachnidism: Does the white-tailed spider deserve its bad name [Editorial letter]? Medical Journal of Australia, 171, 98. Wormser, G. P., Horowitz, H. W., Dumler, J. S., Schwartz, I., & Aguero-Rosenfeld, M. (1996). Falsepositive Lyme disease serology in human granulocytic ehrlichiosis. Lancet, 347, 981–982. Young, A. R., & Pincus, S. J. (2001a). Comparison of enzymatic activity from three species of necrotising arachnids in Australia: Loxosceles rufescens, Badumna insignis and Lampona cylindrata. Toxicon, 39, 391–400. Young, A. R., & Pincus, S. J. (2001b). Necrotic arachnidism in Australia [Letter to the editor]. Toxicon, 39, 1943. n Earn CE Credit To earn CE credit, complete the exam for this article on page 78 or complete the exam online at www.acfei.com (select “Online CE”).

Winter 2007 THE FORENSIC EXAMINER 55

Case Study

Victim Impact Evidence:

People in Payne

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

Under no circumstance is the fine line between reason and emotion more difficult to hold than when considering victim impact evidence.”

n 1976, the United States Supreme Court reasserted the constitutionality of capital punishment with its decision in Gregg v. Georgia. In doing so, the Court cautioned that juries must have “as much information as possible” for consideration when making such a grave sentencing decision. One year later the Court emphasized the importance of every sentencing decision being based on “reason rather than emotion” (Gardner v. Florida, 1977). That is, to ensure justice (for the defendant and for society) jurors are explicitly instructed not to let emotion influence their consideration of the facts and circumstances in evidence. A juror’s obligation to make a non-arbitrary, unemotional, and unbiased decision is nowhere as great as in a capital case. And under no circumstance is the fine line between reason and emotion more difficult to hold than when considering “victim impact” (VI) evidence.

Giving Voice to Victims The same year Gregg was decided, the first VI statement was read into evidence in a Fresno, California, court by then Chief Probation Officer, James Rowland. Subsequently, at his urging, such statements were included in all pre-sentence reports in Kern County. This was well before the Victim and Witness Protection Act of 1982 made VI statements a required component of pre-sentence reports nationwide. Amending Rule 32 of the Federal Rules of Criminal Procedure, the Act included VI evidence in all sentencing proceedings. By 1988, 4 years after the Victim and Witness Protection Act was enacted, 44 states and the federal government allowed VI evidence during the sentencing or penalty phase of capital trials. The purpose of VI evidence is to humanize the victim in the eyes of the trier of fact, be it judge or jury. It is typically presented by one or more of the survivors of the homicide: family members or close friends of the decedent. It may include a written statement that is read to the jury, oral testimony by a survivor, writings of the decedent, items in the possession of the decedent at the time of death, and/or audiovi-

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sual presentations. VI evidence may also be entered by an independent representative of the survivors or by the prosecutor during closing arguments. Regardless of the format, VI evidence typically fits into one of two categories: that which includes personal information about the homicide victim, demonstrating his or her unique nature and value; or, that which includes the emotional, physical, and/or financial impact of the loss on the survivor(s). Consistent with Gregg, it is information the jury is to consider when deciding whether to render a sentence of death. Occasionally, a VI testimony includes the survivor’s thoughts about the depravity of the defendant as manifest in the crime and their own thoughts and even perceived “need” for the defendant to receive a particular sentence. Participation by victims and survivors in the criminal justice system was supported by many, if not most. It was believed that VI testimony would provide balance to the process. Mitigating evidence, or that presented during the penalty phase of capital trials in order to “humanize” the defendant, would be offset or balanced by evidence “humanizing” the victim. On a more emotional level, it was hoped that the opportunity to be heard would offer some degree of remedy and relief to survivors. On the other side of the issue were critics who asserted that VI evidence violated the rights of the defendant.

The Harm of “Victim Impact” Evidence The U.S. Supreme Court did not address VI evidence in capital cases until 1987, when the Court decided Booth v. Maryland. During the penalty phase of Booth’s trial, a probation officer read a VI statement to the jury (against defense objections) based on interviews with the victim’s surviving family members. The statement was a highly detailed and exceptionally moving account of the consequences of the murder on the victim’s family. Sentenced to death, Booth appealed on the grounds the VI statements unduly influenced or biased the jury.

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Winter 2007 THE FORENSIC EXAMINER 57

Timeline of Cases 1976 Gregg v. Georgia—United States Supreme Court reasserted the constitutionality of capital punishment. 1976 First VI statement read into evidence in a Fresno, California, court. 1977 Gardner v. Florida—Emphasized the importance of basing every sentencing decision on “reason rather than emotion.” 1982 Victim and Witness Protection Act—Requires VI statements in pre-sentence reports nationwide. 1987 Booth v. Maryland—Declared VI evidence unconstitutional in capital trials. 1988 Forty-four states and the federal government allowed VI evidence during the sentencing or penalty phase of capital trials. 1989 Carolina v. Gathers—VI evidence was universally inadmissible under the Eighth Amendment during the sentencing phase of capital trials. 1991 Payne v. Tennessee—Held that the Eighth Amendment does not represent a per se ban on VI in capital trials. 1996; 1997 United States v. Kaczynski—Allowed VI testimony from prior, uncharged offenses committed by the defendant. 1997 United States v. McVeigh—Allowed between 35 and 40 rescue worker “indirect victims” to give testimony. 1998 United States v. Nichols—Allowed only VI witnesses called by the prosecution to express their opinions regarding a specific sentence for the defendant.

If society believes victims have a right to be heard, should they not be heard regardless of their stance on the death penalty?”

While the appeals court affirmed the sentence, in a 5–4 decision, the U.S. Supreme Court held that the introduction of VI evidence in capital cases was unconstitutional. The Court clarified that “only the defendant’s personal responsibility and moral guilt” may be considered in capital sentencing. VI testimony was deemed irrelevant to the defendant’s culpability. The introduction of survivors’ feelings (legitimized by the setting and for which the defendant may not be “blameworthy”) risks shifting juror focus from the defendant to the victim and from reason to emotion. As VI evidence places defendants at increased risk of receiving an arbitrary sentence, thereby violating the “cruel and unusual punishment” clause of the Eighth Amendment, the Court prohibited such testimony from capital sentencing. Although Booth was clear that VI evidence was unconstitutional in the context of capital trials, some jurisdictions interpreted the Court’s ruling only to exclude survivor testimony, not references to “victim impact” made by the prosecutor during direct examination, cross, or closing arguments. For example, in the South Carolina capital trial of Demetrius Gathers, the prosecu-

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tor made numerous and extensive references to personal items found in the possession of the mentally disabled decedent at the time of his death. During the penalty phase, the prosecutor read from religious materials found on the decedent, concluding he was a spiritual and moral man. Noting a voter registration card among the decedent’s property, the prosecutor identified the victim as a concerned, responsible citizen. The jury returned a sentence of death, which was subsequently reversed on appeal to the South Carolina Supreme Court, in part because the VI evidence suggested the jury compare the convicted murderer with the “religious” and “responsible” decedent when deciding a sentence. In another 5–4 decision, the U.S. Supreme Court that decided Booth the year before affirmed the reversal in South Carolina v. Gathers (1989). The Court held that the VI evidence introduced by the prosecutor did not inform the jury as to the circumstances of the crime nor the defendant’s culpability. The Court ruled that whether presented by a survivor (as in Booth) or a prosecutor (as in Gathers), VI evidence only served to bias the jury in its determination of an appropriate sentence and was, therefore, not to be considered. With Booth and Gathers, the Court found that VI evidence was universally (or per se) inadmissible under the Eighth Amendment during the sentencing phase of capital trials. This included tangible evidence, survivor testimony, and prosecutor argument. Reluctant to completely exclude VI evidence during capital sentencing hearings, some jurisdictions continued to allow it in situations determined to fall outside the limits set by Booth and Gathers. For example, such evidence would be entered in cases heard by a judge rather than a jury. “Victim impact” evidence was regularly allowed when it could be directly related to circumstances of the crime. Such was the case in Payne v. Tennessee (1991).

The Onset of Payne On June 27, 1987, Pervis Tyrone Payne spent the morning drinking malt liquor (at least three cans), injecting cocaine, and viewing pornography while waiting for his girlfriend to return from out of town. In the afternoon, Payne entered the apartment across the hall from that of his girlfriend and began making sexual advances towards the resident, Charisse Christopher, who attempted to fight him off. In an especially vicious attack, which reportedly included “blood curdling screams,” Payne stabbed Christopher 41 times with a butcher knife. Though none of the individual injuries (which included an additional 42 defensive wounds on her hands and arms) were fatal, she died as a result of bleeding to death.

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Christopher was a single mother of two young children who were home at the time of the attack. Her two-year-old daughter Lacie also bled to death after being stabbed multiple times in the stomach, chest, head, and back. Although suffering several “through-and-through” stab wounds, Christopher’s three-year-old son, Nicolas, survived after over seven hours of surgery, including a transfusion of significantly more blood than his estimated normal volume. Neighbors who heard the sudden and horrendous outburst of violence called the police, and Payne was arrested soon after the crime. At the end of the guilt phase of Payne’s capital trial, he was convicted of two first-degree murders and of one first-degree assault with intent to murder. During the sentencing phase of his trial, Payne presented four witnesses who provided mitigating testimony regarding his background and personality. His parents and girlfriend testified as to the goodness and meekness of his character and how the crime was uniquely atypical of Payne’s general law-abiding behavior and peaceful nature. An expert specializing in forensic psychology testified that, based on his testing, Payne was “mentally handicapped” and had no Axis I diagnosis. The prosecution called Charisse Christopher’s mother, who spoke on behalf of Nicolas. During his closing arguments, the prosecutor informed the jury that Charisse, Lacie, and Nicolas were all in the same room when attacked; that while injured, Nicolas was alive and conscious; that Nicolas had seen what happened to his mother and sister; and that Nicolas was able to respond to paramedics, follow their directions, and “hold his intestines” while being carried to the ambulance. Payne received a sentence of death for each of the murders and a prison term of 30 years for the assault with intent. In 1991, in a 6-3 decision, the Supreme Court (with two new members on the bench) reversed Booth and Gathers in their ruling in Payne v. Tennessee. While leaving the decision of whether to allow VI evidence up to state courts, the Payne Court held that the Eighth Amendment does not represent a per se ban on its admission. The Court moved its analysis of the constitutionality of VI evidence from the Eighth Amendment to the Fourteenth Amendment, from a “cruel and unusual punishment” to a procedural “due process” standard. In other words, VI evidence is admissible, provided it is not unduly prejudicial and does not violate the defendant’s right to a “fair” trial. With Payne, the Court explicitly sanctioned VI evidence and the humanization of the victim during capital sentencing. In seeking a “balanced” justice, the Court went so far as to say that if (800) 423-9737

the defendant is allowed to introduce mitigating character evidence (as did Payne), then the prosecution should have the same right to introduce evidence regarding the victim’s character and the related loss to the victim’s family and society. The Court ruled that an evaluation of the full scope of harm caused by the defendant is pointedly relevant in deciding a fit and just punishment. Where the Booth Court found it unconstitutional for the defendant to be penalized for harm or negative consequences resulting from the crime but unknown at the time, the Payne Court noted that penalties have traditionally been based, in part, on the known and unknown consequences of the crime. The same crime, perpetrated by different offenders, often results in different degrees of harm and, in turn, different sentences for the defendants. The Court pointed out that harm unforeseen by the defendant is often presented to the jury during the guilt phase, making the question of its admissibility during the sentencing phase irrelevant.

The Range of Payne While clear on the constitutionality of VI evidence, Payne set forth no parameters on what constituted VI evidence and provided no guidelines as to how it should be used. The Court did say that VI statements should provide a “quick glimpse of the life which a defendant chose to extinguish,” but offered nothing further as to the scope of allowable testimony. Questions such as who may be considered a “victim,” how many victims may testify in a given case, and how detailed statements may be, among others, remained unanswered. The breadth of Payne was tested in United States v. McVeigh (1997), in which prosecutors were allowed to introduce the testimony of somewhere between 35 to 40 rescue worker “victims.” These witnesses were neither direct victims of the bombing, nor were they “secondary victims,” or survivors of loved ones who died as a result of the crime. Rather, all were “indirect victims,” who gave extremely moving, often graphic and gruesome accounts of their experiences in trying to rescue victims trapped in the rubble and debris. The testimony was allowed under the premise that it helped the jury better understand the suffering of the direct victim. Having received a unanimous death sentence, McVeigh moved for a new trial on the grounds that the sheer number of witnesses and the nature of their testimony so “inflamed” the jury that his Fourteenth Amendment “due process” rights were violated. While Booth and Payne dealt only with direct and secondary/survivor “victim impact” testimony, the Colorado district court denied McVeigh’s request, thereby allowing “in-

States that Allow Victim Impact Statements at the Sentencing Phase of Capital Trials (2003) Undecided Connecticut Montana New Hampshire New York Wyoming Limited Admissibility Indiana Mississippi Admissible Alabama Arizona Arkansas California Colorado Delaware Florida Georgia Idaho Illinois Kansas Kentucky Louisiana Maryland Missouri Nebraska Nevada New Jersey New Mexico North Carolina Ohio Oklahoma Oregon Pennsylvania South Carolina South Dakota Tennessee Texas Utah Virginia Washington

Winter 2007 THE FORENSIC EXAMINER 59

s In United States v. McVeigh, the court allowed indirect-victim impact evidence, setting a precedent for other jurisdictions.

s In United States v. McVeigh, 35–40 rescue worker victims were permitted to testify about their experiences trying to rescue victims trapped in the rubble and debris.

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direct-victim impact” evidence. A non-binding opinion, McVeigh is clearly significant in the precedent it sets for other jurisdictions. The trial of McVeigh’s co-conspirator, Terry Nichols, brought another twist to Payne. During the penalty phase of Nichols’ capital trial, the prosecution presented VI testimony in which survivors claimed the harm done to them would be unremitting unless, and until, the defendant was put to death. As Payne provides the right for a defendant to rebut VI evidence, Nichols attempted to call victims who would testify that while they were harmed by the crime, a death sentence would exacerbate the harm. While the trial court allowed Nichols to present VI testimony, the witnesses were prohibited from saying they did not want Nichols put to death. The post-Payne definition of who qualifies as an admissible victim was stretched even further in United States v. Kaczynski (1996; 1997). It was known that Kaczynski was involved in 16 separate bombings, but due to expiring statutes of limitation and other legal restrictions, he could only be charged with four. Based in part on the strength of VI evidence, the prosecution intended to seek the death penalty. In order to avoid the possibility of capital punishment, Kaczynski pled guilty to 16 bombings in exchange for a life sentence. Despite the plea, during the formal sentencing hearing, the judge heard VI testimony from two victims who were direct victims in bombings for which Kaczynski was not to have been tried. In other words, testimony was allowed in from the prior, uncharged offenses committed by the defendant. Prior crimes are only admissible during capital trials in certain jurisdictions. The defendant’s criminal history is raised (in whole or part) during sentencing as a factor in aggravation, in the context of providing the jury with information regarding “future dangerousness.” Such admission is considered consistent with Gregg and relevant to the defendant’s culpability, character, and potential for rehabilitation. Kaczynski took this issue one step further, to allow not just prior crimes, but unadjudicated crimes in the form of VI evidence. Payne did not expressly identify or define admissible witnesses for the purpose of providing VI evidence. Booth, Gathers, and Payne included secondary victims or survivors of the decedent and agents (probation officers and prosecutors) who testified/argued on behalf of the victim and/or survivors. Subsequent non-binding but precedent-setting cases included indirect victims and victims of not just prior offenses but of unadjudicated crimes. How the definition of “victim” is stretched, or if and where limits are set, remains to be seen.

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Where Does Payne End? Aside from the question of who qualifies as an admissible “victim,” Payne left many other questions related to VI evidence unanswered, including what constitutes admissible content in VI testimony. The VI evidence dealt with in Booth and in Payne included testimony and argument regarding the character of the victim and the impact the victim’s death had on survivors. Unlike Payne, Booth also included the opinions of survivors regarding the crime, the defendant, and an appropriate sentence. As no such evidence was introduced, the Payne Court expressly declined to opine on this issue. Therefore, such “victim opinion” testimony remains unconstitutional under Booth, although some jurisdictions still permit it. On the federal level, in Nichols, only those VI witnesses called by the prosecution were allowed to express their opinion regarding a specific sentence for the defendant (all were pro-death). Yet, if the goal of including VI evidence is to provide “balanced justice,” should not VI witnesses called by the defense be allowed to express an opposite (or anti-death) opinion? If society believes victims have a right to be heard, should they not be heard regardless of their stance on the death penalty? In accord with Gregg and Payne, juries should have all relevant information when rendering a sentence; that is, all information pertaining to the crime and its impact, the defendant’s responsibility and moral culpability, and the defendant’s character and potential for rehabilitation. Yet, does the victim’s opinion regarding capital punishment inform the jury regarding the impact of the defendant’s crime, or merely “inflame” the jury? People’s reaction to violent loss varies greatly; is one person’s reaction any more admissible than another? Take, for instance, a victim’s statement that “as long as the defendant’s alive, I won’t heal, I won’t feel that justice has been served,” or “I was harmed by the murder of my loved one, but it’ll hurt even worse if the state executes the defendant.” While the desired sentence may provide a degree of closure for the victim, are the victim’s feelings regarding sentencing associated with the harm done by the defendant, or the anticipated harm that may be done by the jury depending on the sentence they return? Payne allowed VI evidence for the purpose of showing the harm done to the survivors and to provide a “quick glimpse” into the uniqueness of the victim. While the Payne Court did not provide guidelines as to how that evidence is to be considered, the Court specifically rejected the use of VI evidence for “comparative judgments.” That is, sentences are expressly not to be based

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on the comparative worth of the defendant and/ or the victim. Opponents of VI evidence raise the concern that such evidence will result in biased and arbitrary sentences. Rather than being based on a thoughtful weighing of the evidence relevant to the defendant’s culpability, sentences may be based on a jury’s perception of the victim’s character and “worth.” If a victim is perceived as less “valuable,” might the crime seem less horrific and the defendant less culpable? On the state level, cases that included the presentation of direct comparisons between the defendant and the victim to the jury have not been deemed “unfair” or in violation of the defendant’s constitutional rights [see, for example, State v. Haselden, 577 S.E.2d 594 (N.C. 2003) and Humphries v. Ozmint, 366 F.3d 266, 268 (4th Cir. 2004)]. In all of the cases discussed, the VI evidence was well presented, profoundly moving, and included graphic details. However, the perceived character of the relatives of both the victim and the defendant can influence juries. For example, relatives my either be perceived as generally unappealing, poorly spoken, or unemotive or as well-educated, “likeable” people who hold valued positions in the community. As noted in Payne, the number of witnesses necessary to demonstrate the victims’ “uniqueness” may vary from case to case. Beyond that, the Court offered no specific guidelines as to how many witnesses may testify in a given case, or at what point the evidence becomes cumulative or prejudicial. In McVeigh, there were 168 direct victims of the bombings, all of whom had an unknown number of loved ones who suffered their loss and could speak to their uniqueness. Aside from those survivors, approximately 40 of the rescue workers (800) 423-9737

were permitted to provide explicit and graphic details under the guise of allowing the jury to gain an understanding of the victims and their personal characteristics. At what point does rational decision-making become grossly or even completely compromised by accounts of victim-survivor suffering?

The End of Payne The overriding risk of VI evidence, which is always emotional in nature, is that jurors will base a defendant’s sentence on emotion rather than reason. In an effort to prevent such “unguided consideration” of the emotional content of VI evidence, judicial instruction is given to juries regarding how to weigh aggravating and mitigating evidence. Opponents of capital punishment question whether any human-made decision can be based on reason, uninfluenced by emotion, especially one surrounded by such emotional investment. Making weighty decisions free of emotion is seen as an ability more characteristic of the pool of defendants than of the average jury pool. Regardless, with the introduction of VI evidence in capital trials, society has seemingly determined that while “the punishment should fit the crime,” the crime includes its consequences. As long as there are no clear guidelines and parameters for VI evidence, courts must exercise extreme caution and discretion when considering its submission. The rights of the victim must be carefully balanced against the rights of the defendant to ensure justice is served.

References Booth v. Maryland, 482 U.S. 496 (1987). Gardner v. Florida, 430 U.S. 349 (1977). Gregg v. Georgia, 428 U.S. 153 (1976). Payne v. Tennessee, 501 U.S. 808 (1991). South Carolina v. Gathers, 490 U.S. 805 (1989). United States v. Kaczynski, Doc. No. S-96-0259 (E.D.Cal. 1996). United States v. Kaczynski. (1998). Daily trail transcripts. Available online: http://www.courttv. com/trials/unabomber/transcripts/. United States v. McVeigh. Appeal from the United States District Court for the District of Colorado. No. 97-1287. (Doc. No. 96-CR-68-M (D.Colo. 1997)). United States v. McVeigh. (1997). Daily trial transcripts. Available online: http://courttv. com/archive/casefiles/oklahoma/transcripts/ United States v. Nichols. (1998). United States Court of Appeals, Tenth Circuit Case No. 98-1231. (D.C. No. 96-CR-68-M). Uniform Victims of Crime Act of 1992. Victim and Witness Protection Act of 1982, Pub. L. No. 97-291, §2(a)(1), 96 Stat. 1248. n

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

Winter 2007 THE FORENSIC EXAMINER 61

Interview

Nonverbal Indicators of Motivation: An Interview with Dr. Barry Goodfield By Leann Long, Editor in Chief

Goodfield’s Background Dr. Barry Goodfield has an extraordinary background. In addition to being a professor, international lecturer, and author, he has advised presidents, prime ministers, and other top leaders. He helped negotiate the Baltic crisis and the conflict between Chechnyan leaders and former Russian President Boris Yelstin. He developed the only patented psychotherapeutic process and has used it to profile war criminals for law enforcement, prosecutors, and international courts and to help senior corporate executives, attorneys, ranking international civic servants, and cabinet-level officials on five continents. He’s even published two articles in the prestigious journal, The Forensic Examiner! So it was my honor to be able to interview Dr. Goodfield and find out more about his career and the Goodfield Method. s Check out The Summer 2006 and Summer 2007 issues of The Forensic Examiner to read about Dr. Goodfield's analysis of the Non-Verbal Leaks of Slobodan Milosevic and Saddam Hussein.

The Non-Verbal Leak brings together, in a geometric way, the power of the conscious and the unconscious to see, understand, and solve what was only felt before.”

Leann Long: You have analyzed the non-verbal behaviors of some of the world’s most notorious criminals, including Slobodan Milosevic and Saddam Hussein. Please describe your professional background and experience and how you got to be where you are today. Barry Goodfield: I trained in general semantics and communication theory with S. I. Hayakawa [psychologist, semanticist, teacher, writer, and former U. S. senator]. My educational background includes a PhD from Alliant University in professional psychology, leadership, and human behavior. Before that I did doctoral work at U.C. Berkeley and Rutgers University. Later I spent many years working in Europe conducting workshops and training sessions with international organizations. I’ve also done work for the United Nations, European Union, and NATO. The Goodfield Institute was formed in 1974, but our primary objective still remains the same. We teach, train, and treat people interested in learning about the non-verbal messages from the unconscious, or as I call it, the Non-Verbal Leak. Of course, there is a clear application for anyone interested in understanding their own deep motivations or those of others. I advised cabinet-level officials from the former East Block countries on ways of rethink-

62 THE FORENSIC EXAMINER Winter 2007

ing their strategies so that they could overcome the challenges they would face when trying to meet the criteria to become a full member of the North Atlantic Treaty Organization. During this time I began to use my clinical skills developed during years of training psychotherapists and treating clients in Europe, Africa, and the United States. In time I began to analyze some of the main players on the world stage for governments and international organizations and senior state officials. I worked with companies transitioning to a new direction or structure. After 9/11, these skills became useful to many who wanted know the inner workings of the terrorist’s mind. This led to an appointment at Henley-Putman University as senior professor. The University, located in San Jose, California, offers courses online to the intelligence, law enforcement, and military communities. The facility is composed mostly of former senior Secret Service and CIA officials. LL: The Non-Verbal Leak you just mentioned was referenced extensively in both of your articles in The Forensic Examiner (Summer 2006 and Vol. 16 No. 2 Summer 2007). Can you explain a Non-Verbal Leak in more depth? BG: The NVL is a repetitive, patterned movement from the shoulders up, reflecting an unresolved perceived trauma and manifesting an old decision or strategy from the past. It is a way of looking at the strategies that the individual presents in his or her total non-verbal behavior. LL: It’s pretty remarkable that you can determine how an individual coped with past, unresolved traumas from studying his or her shoulder, head, neck, and facial movements. What are the specific implications of being able to read the Non-Verbal Leak? BG: It brings together, in a geometric way, the power of the conscious and the unconscious to see, understand, and solve what was only felt before. Many questions previously obscured by the unconscious become clear when this method of analysis and evaluation is employed. The NonVerbal Leak is the other half of the message in a communication. When a person recognizes these organized unconscious messages, he or she is then able to clarify behaviors of which he or she

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was previously unaware. When the Non-Verbal Leak of an individual is accurately deduced, his or her underlying motivation in almost all situations becomes apparent. LL: You organized this ground-breaking information [the evaluation of Non-Verbal Leaks] and developed the patented Goodfield Method. Could you briefly describe the method and its development? BG: In the 70s it was mood rings and “Oh, you have changed so much.” This comes from weekend workshops, 24-hour marathons, and what was referred to as “The Growth Movement.” I generally saw this as nonsense. There was, however, some change that seemed genuine. I wanted to discover if it could be measured. I decided to explore this question at the University of California Medical School. We used the same thermographic equipment used during the school’s breast cancer research project. I was able to establish a positive relationship between a person’s external naturally emitted infrared radiation from the surface of his or her body and his or her psychological state. In 1976 the United States Patent Office granted the first patent for a psychotherapeutic process. The findings demonstrated that when a person experiences contact with an old traumatic event, his or her body shows it in unique radiation patterns. On May 21, 2007, we filed in the United States Patent Office for a second patent— “Process for Diagnosing and Treating a Psychological Condition for Assigning a Personality Classification to an Individual.” This ties the individual’s NVL to a specific personality type, making the process of predicting behavior based upon specific observable behavior easier. LL: So how successful has the Goodfield Method proven to be?

BG: Much of this information is classified or privileged. What can be said is that the skill to read the message behind the message in conflict or crisis can save lives and be instrumental in the development of more effective strategies and governmental policy. I can say without reservation that some potentially dangerous situations were averted. People endangering the lives of others have been stopped, and children being held hostage have been freed. LL: The Goodfield Method’s ability to contribute to events of national and international importance is quite impressive, but what about individuals who aren’t interested in working in such extreme situations? You also have a clinical practice. To what capacity can the method be applied in a clinical setting? BG: The wonderful thing about the Goodfield Method is that there is a variety of activities associated with its application: reading NVLs and personality types, conducting psychotherapy with individuals or groups, or even performing intensive psychoanalysis over a 5-day period. There are training programs for the law enforcement field, such as interrogation and witness evaluation, offered regularly as well as training programs for human resource departments, management, etc.

The Goodfield Method It has long been acknowledged that if we could identify, see, and know an individual's hidden motivations, we could help that person grow and improve as an individual and improve how he or she interacts with others. Now, with assurance, we can. What's more, we can know with certainty that what we are seeing is right because our findings are predictable, repeatable, and, finally, testable. These findings are based on a phenomenon I call the Non-Verbal Leak. To master the identification and significance of the Non-Verbal Leak is to arm oneself with an incredibly powerful tool. Understanding how the Non-Verbal Leak can be used in therapy, business, and law enforcement is called The Goodfield Method.

LL: Thank you, Dr. Goodfield, for taking the time to share information about the Goodfield Method. How can our readers find out more about the Goodfield Institute?

I proudly invite you to join me in the education, mastery, and application of this enlightened and enlightening technique.

BG: Interested individuals should go to our website at www.goodfieldinstitute.com, or they may contact me directly at bgoodfield@aol.com. We offer courses that help professionals develop skills that will enable them to read unconscious messages or NVLs. n

-- Dr. Barry A. Goodfield

t Visit The Goodfield Institute webpage, www. goodfieldinstitute.com, to learn more about The Goodfield Method.

BG: There has been no longitudinal research to demonstrate its effectiveness. What has been clear, however, is that the thousands of therapists (primarily in Europe) trained in and using this method have presented anecdotal evidence that the method has been helpful and lasting for their patients. LL: I’d say the fact that you’ve been selected to advise some of the world’s leading authorities in crisis management and conflict resolution is a testament to the success of the method. Can you share any information about how your ability to analyze non-verbal leaks contributed to these major affairs, or am I asking too much? (800) 423-9737

Winter 2007 THE FORENSIC EXAMINER 63

ACFEI News

ACFEI's 2007 National Conference Recap

“Teaching those attending my class recharged my battery. The students were smart and hungry to learn more.” ~ John Douglas

The American College of Forensic Examiners’ 2007 National Conference held in Kansas City, Missouri, will not soon be forgotten by those who attend-

ed. Legendary criminal profiler John Douglas’ dynamic presentation was accompanied by many other exceptional presentations, as well as the mock crime scene, the mock trial,

4 s 1. During the conference, members had the opportunity to analyze the mock crime scene and identify who they believed to be the murderer. 2. Conference attendees stayed busy between sessions by visiting the exhibitor area. 3. John Douglas maintained a captive audience during his full-day presentation on criminal profiling. 4. Former FBI agent Greg Cooper presented "The Ten Filters of Profiling" to a room full of attendees.

and the banquet dinner. In addition to having a wide variety of presentations and events to attend, members were able to network with one another and gain valuable contacts.

64 THE FORENSIC EXAMINER Winter 2007

John Douglas’ full-day presentation included inside information about his experiences with many of the world’s most notorious serial killers and assassins. His knowledge-base and career history enabled him to provide attendees with invaluable information about behavioral analysis. Michael Karagiozis, DO, put together an excellent mock trial, which included facts and evidence from a real case and not one, but two juries! Although the defendant in the actual trial was found guilty of murder, both of the mock juries found the defendant not guilty on the charge of manslaughter and not guilty on the charge of murder. Both participants and attendees agreed that the mock trial served as a valuable learning experience for expert witnesses. Congratulations to Carol Cagno, who won a free logo product by having her name drawn from the large pool of members who correctly identified the mock crime scene murderer, Desmond Howard, the victim’s boyfriend. The ACFEI staff thanks all of the 2007 conference attendees and cannot wait to see everyone again next year in San Diego. If you missed this year’s conference, put next year’s conference on your calendar now!

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All requests for cancellation of conference registration must be made to Association Headquarters in writing by fax, mail, or email. Phone cancellations will not be accepted. All cancelled/refunded registrations will be assessed a $50 administrative fee. All refunds will be issued in the form of credit vouchers and are pro-rated as follows: cancellations received 4 or more weeks prior to the conference=100% refund (less $50 administrative fee); cancellations received less than 4 weeks but more than 1 week prior to the conference=50% refund (less $50 administrative fee); cancellations received 1 week or less prior to the conference=no refund. For more information on administrative policies, such as grievances, call (800) 423-9737. The performance of this conference is subject to the acts of God, war, government regulation, disaster, strikes, civil disorder, curtailment of transportation facilities, or any other emergency making it impossible to hold the conference. In the event of such occurrences, credit vouchers will be issued in lieu of cash. Conference schedule is subject to change. Please be prepared to show photo identification upon arrival at the conference. Special Services: ❑ Please check here if you require special accommodations to participate in accordance with the Americans with Disabilities Act. Attach a written description of your needs.

Case Study

Murder—One Jurisdiction at a Time: The Case of Robert Ben Rhoades

By Greg Cooper, MPA, FBI (Retired), Chief of Police (Retired)

In the last issue, Greg Cooper wrote about the Violent Criminal Apprehension Program (VICAP), explaining its purpose and mission. In this issue, he presents a case study exemplifying how VICAP can help solve crimes.

he case of Robert Ben Rhoades serves as an excellent example of the type and nature of case to which VICAP’s services would provide critical assistance and support. Rhoades is considered one of the most dangerous and notorious serial sex offenders and killers in the United States. Some investigators believe that he is responsible for at least 50, but possibly hundreds, of deaths. However, he has only been convicted of one homicide, for which he is serving a life sentence. Rhoades was a professional long-haul truck driver, and his case dramatically demonstrates the sophistication of a criminal predator who can effectively defy law enforcement by taking advantage of fragmented law enforcement efforts, disconnected and detached data resources, and inconsistent investigative approaches. On April 1, 1990, Trooper Mike Miller, an Arizona highway patrolman, observed a semitractor-trailer parked on the shoulder of I-10. As Miller approached the vehicle to offer assistance, he looked inside the 18-wheeler and observed a bound, nude, white female in the sleeper berth of the cab. A horse-type bit and bridle was in the mouth of the terrified victim, who was chained to the interior of the truck. Also in the sleeper berth was Robert Ben Rhoades, who, when surprised by the trooper’s advance, immediately exited the truck and tried to convince Miller that nothing was wrong. Rhoades stated that the events being discovered were consensual and a private matter. While Miller tried to sort through the situation, he placed Rhoades under arrest, at which time he discovered Rhoades was in possession of a loaded .25 Caliber automatic pistol (Brandel, 1966). Rhoades was placed in the trooper’s vehicle and secured with a seat belt. By the time Miller had checked on the victim and returned to the squad car, Rhoades had managed to get the seat belt off and slip his handcuffed hands in front of him. Miller asked Rhoades if he had a handcuff key, to which Rhoades affirmatively replied. Miller took the key, re-cuffed Rhoades behind his back and through his belt, and stayed 66 THE FORENSIC EXAMINER Winter 2007

with him until backup officers arrived at the scene to assist. After the terrified victim (later identified as Lisa Pennal) was released, she recounted her story of abduction and torture. She stated that she had accepted a ride with Rhoades at a coffee shop in Buckeye, Arizona. Although Pennal was difficult to interview and spoke in fractured sentences, the investigators learned of her transient lifestyle and current drug abuse. The investigator noted that though she was dressed in a skirt and shirt, on her feet she wore only slippers designed like a cartoon tiger. The victim indicated that she had fallen asleep in the sleeper berth, only to awake as Rhoades was placing handcuffs on her wrists and ankles.

s Mugshot of Robert Ben Rhoades

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The Rhoades case has helped law enforcement agencies across the United States to see, in graphic detail, the value of cooperating, communicating, and coordinating their efforts in solving difficult criminal cases.”

In March of 1991, the Illinois State Police received this letter from Regina Walters’ mother: States in which Rhoades was a suspect in killings

Dear Sir:

Arizona: The only state in which Rhoades was convicted

In September 1990, the police in Illinois found the remains of Regina Kay Walters. She disappeared February 3, 1990, from Pasadena, Texas. She was only fourteen years old at the time, and my only daughter. At this time the police have not yet brought to justice the person who has done this to my child. Even though we did not live in Illinois, this case should still be kept open. No child’s death should be given up. It could happen again.

She stated that Rhoades beat her with a whip, attached a chain around her neck, and attached spring-type clips to her nipples and vagina. It was unclear how long Rhoades had kept Lisa Pennal in this torture chamber, but the physical injuries on her body indicated that several events of whipping and torture occurred. During this ordeal, Rhoades told Pennal that he had been doing this to girls and women for 15 years. Even though Rhoades was handcuffed and in custody, he remained calm. He made light of the mental capacity of the victim and tried to get the investigator to sympathize with him as he described her as the aggressor in the event, referring to her as a “lot lizard.” Alva Busch quotes Rhoades in the book Roadside Prey: “‘I can tell you, this girl is not playing with a full deck,’ laughed Rhoades, as if someone had told a joke . . ‘She ain’t wrapped too tight,’ chuckled Rhoades, ‘you don’t screw around with the women on the road. Not unless you want your dick to drop off, okay? . . . She wanted to go to bed. . . . I was dragging anchor. She was going back to bed.’ I said, ‘Go ahead.’ She started taking off her clothes, and I said, ‘What the $%^& and I let her’” (1996, pp. 58–62). The victim, who was hysterical at times, showed evidence of sustained physical and sexual abuse, corroborating her story of captivation. (800) 423-9737

Rhoades’ explanation began to fall apart as investigators discovered large amounts of bondagetype pornography and sexual assault materials in his truck. Rhoades' account was not supported by the clues. During the subsequent investigation, search warrants were executed on the cab of the semitractor truck and on Robert Ben Rhoades’ residence in Houston, Texas. The results of the searches revealed a briefcase containing whips, handcuffs, spring-type clips, a dildo, various items of women’s clothing, miscellaneous paperwork, and several photographs of a young white female in various poses, both nude and partially dressed. There were Polaroid photographs of several women inside “open-roofed” vehicles, apparently taken from inside the trucker’s cab as the women passed him on the highway. These photographs were seized from Rhoades’ Houston apartment. There were also photographs of one particular victim (a teenage girl) in the sleeper berth of the trucker’s cab, in the outdoors, and in an abandoned barn-type structure. In this particular set of photographs, the victim was handcuffed, chained, and posing with a dildo and had the spring-type clips attached to her nipples. The teenager in the photographs remained unidentified as far as the Robert Ben Rhoades case

At that time, the police in Illinois asked us to keep this out of the media. We have done that and more. Just because you haven’t heard from us doesn’t mean we don’t care. We were trying to give you time to find Regina’s killer. Please don’t give up. What if it was one of your children? You couldn’t rest, knowing there is someone out there who took someone you loved, and don’t ever think we didn’t love Regina, because she was very much loved. So please don’t quit looking for the killer of Regina Kay Walters. Sincerely, Carolyn S. Walters (Busch, 1996, pp. 137–138)

Winter 2007 THE FORENSIC EXAMINER 67

About the Author Greg Cooper, MPA, FBI (retired), Chief of Police (retired), started his criminal profiling career in 1986 with the FBI, Seattle Division. Just a couple of years later, he was promoted to field coordinator for the Criminal Profiling Unit at the FBI Academy in Quantico, VA, and then in Los Angeles, CA. In 1990 he was promoted to profiler with the Quantico unit, where he taught several classes at the FBI's prestigious National Academy and supervised VICAP. In 1995, Cooper became the chief of police in Provo. Currently, he enjoys instructing courses and serving as an expert witness.

ISBN 978-1-59102-506-1

was concerned. Then, on September 29, 1990, the decomposed body of a young female was found in an abandoned barn near Greenville, Illinois. The cause of death was determined to be ligature strangulation. The victim was later identified as 14-year-old Regina Walters. Walters was reported as a runaway from Pasadena, Texas, nearly 8 months before her remains were discovered. At the time of the initial missing persons report, Walters had been in the company of an 18-year-old white male named Ricky Lee Jones. The two were reportedly hitchhiking to New Mexico. Ricky Lee Jones has not been located as of this writing. Interestingly, the investigators working on the Rhoades case and the investigators working the Walters case in Texas and Illinois were each working independently of one another. Finally, through teletype and national databases, they started working together. Tragically, Robert Ben Rhoades would remain a “single episode” until September 28, 1991, when he would be tied to the death of Regina Kay Walters. There were no photos of Ricky Lee Jones in Rhoades’ collection, but there was a journal entry in a small notebook found in Rhoades’ possession at the time of his arrest that states, “Ricky is a dead man” (Evidence, 1990). Police also recovered several items of clothing that belonged to Walters in the possession of Robert Ben Rhoades (1990). Reflecting on the comment Rhoades had made that he had been “doing this for 15 years,” investigators looked more closely into his trucking records. They discovered that the murderous trucker had traveled extensively from the shores of the Pacific Ocean to the East Coast of New Jersey. He specifically traveled through Washington, Oregon, California, Arizona, Utah, New Mexico, Texas, Oklahoma, Missouri, Arkansas, Louisiana, Mississippi, Tennessee, Kentucky, Illinois, Indiana, Ohio, Pennsylvania, New Jersey, Virginia, Georgia, and Florida (Evidence, 1990). Suddenly, the many missing persons, unidentified bodies, and unsolved homicide cases in each of those states took on new meaning. Law enforcement agencies began to share information about similar crimes and victims more generously than at any time before the incident. Since the Rhoades case broke, there have been many missing persons and unsolved homicide cases that have been attributed to Rhoades, but he has only been prosecuted for the death of Regina Walters. This “single episode,” while not forgotten, joined the huge caseload of Detective Susan Trammell, receiving less investigative attention as leads cooled and time passed. During this same

68 THE FORENSIC EXAMINER Winter 2007

period of time, Rhoades continued to travel from one state to another. As the Rhoades saga progressed, information was discovered about another victim named Shana Holts, from January of 1990, who came into contact with Rhoades at a truck stop in San Bernardino, California. Shana Holts escaped Rhoades’ torture and reported the terrifying incident, mirroring the events that Trooper Miller uncovered. Holts was so terrified of Rhoades that when she was faced with the prospect of identifying him after fleeing his vehicle, and then of having to testify against him, she declined to cooperate any further and the case was dismissed. Other similar situations were discovered as time went on. Law enforcement agencies in many different parts of the United States had criminal abductions and possible homicide charges against Rhoades based on comparisons and travel routes. In each of those incidents, the individual agencies initially believed they were dealing with a single event, pertaining only to their jurisdiction. It was not until the final chapter of the Rhoades saga was written that each agency came to realize that its “single event” was the work of a sadistic serial rapist and murderer. The Rhoades case has helped law enforcement agencies across the United States to see, in graphic detail, the value of cooperating, communicating, and coordinating their efforts in solving difficult criminal cases. If better information sharing and coordination had occurred, it might have dramatically reduced the number of victims who fell prey to Robert Ben Rhoades (Cooper & King, 2001). This case is reviewed in more dramatic detail in the recently published book Predators: Who They Are and How to Stop Them (Cooper, King, & McHoes, 2007). Additionally, it is cited as a case methodology reference in the second edition of Analyzing Criminal Behavior II (Cooper & King, 2001). Another thorough review of the case is presented in the true crime novel Roadside Prey (Busch, 1996).

References Cooper, G. M, King, M. R., & McHoes, T. (2007). Predators: Who they are and how to stop them. Amherst, NY: Prometheus. Cooper, G. M. & King, M. R. (2001). Analyzing criminal behavior and victimology: Predators. Odgen, UT: IQ Design: Institute of Investigative Science. Busch, A. (1996). Roadside prey. New York: Pinnacle Books. The People of the State of Illinois v. Robert Ben Rhoades, No. 5-98-0821, (5th District Appellate Court of Illinois. July 13, 2001). n

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Interview

Stories of Murder and Invention:

An Interview with Erik Larson

By Katherine Ramsland, PhD, CMI-V

Larson’s Success

Larson's Background Erik Larson, who currently resides in Seattle with his family, graduated summa cum laude from the University of Pennsylvania, where he studied Russian history, language, and culture. He received a master’s degree in journalism from Columbia University and became a staff writer for The Wall Street Journal. Later, he was a staff and contributing writer for Time Magazine, publishing articles as well in The Atlantic, Harper’s, and The New Yorker. He moved on to writing books, the third of which is The Devil in the White City. In a note at the back of The Devil in the White City, Larson admits encountering some difficulty writing about H. H. Holmes because the Philadelphia trial transcripts were limited to a single crime—the murder in Philadelphia. Larson also found that many key sources about this scoundrel were inconsistent and influenced by Holmes’s own fantastic embellishments. In some instances, only Holmes knew what he had actually done, so the truth proved elusive. Fortunately for the investigative angle, the lead detective on the case, Frank Geyer, had published a comprehensive memoir of his movements as he tracked down three children Holmes had murdered. Larson agonized over recreating incidents for which there were no witnesses, and he admits that even with all the research he undertook, he still does not know exactly what motivated Holmes. He acquired a general grasp from contemporary work done on psychopaths and serial killers, but he could not pinpoint a clear and satisfying reason. Yet, despite the lack of detailed assessment a century ago, Larson did recognize one real advantage of some of the older records: “One of the most striking, and rather charming, aspects of criminal investigation in the 1890s is the extent to which the police gave reporters direct access to crime scenes, even while the investigations were in progress.” For Thunderstruck, about British “Cellar Murderer” Crippen, Larson conducted research in London, Munich, Rome, Nova Scotia, and Cape Cod, finding a wealth of documents. Along the way, to broaden his understanding of Marconi, he even studied Italian and, after more than 2 years, achieved both an elementary grasp of the language and, according to him, an advanced appreciation for Italian red wines.

Birth name: Herman Webster Mudgett Alias(es): Dr. Harry Howard Holmes Born: May 16, 1860 Location: Gilmanton, New Hampshire Died: May 7, 1896 (aged 35) Cause of death: Hanging Number of victims: Unknown Country where killings occurred: United States Penalty: Death

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H. H. Holmes was one of America’s earliest serial killers, operating at the end of the nineteenth century. Caught after the murder of a former partner while pulling off an insurance scam, Holmes was convicted in Philadelphia and executed in 1896. His fame grew from the discovery of a bizarre hotel he had built in Chicago, where he tortured, killed, and skinned numerous victims. While several writers have penned books about this sadistic offender, the author whose book topped the New York Times bestsellers list in both hardcover and paperback was Erik Larson, thanks both to his stylish writing and unique angle. Larson wrote Holmes’ story in parallel with that of Daniel Hudson Burnham, the chief architect and organizer of Chicago’s 1893 World’s Fair, also known as “the White City.” As readers learn about the difficulties and triumphs of setting up this impressive international attraction, they’re also exposed to one of its darkest sides: the Gilded Age was a new era, with young women exercising their independence and criminals like Holmes exploiting it. Larson’s book remained a bestseller for over 2 years, while he researched his next work, Thunderstruck, a similar parallel tale with a different type of criminal—the meek Hawley Harvey Crippen, who murdered his wife in 1910 so he could run off with his lover. Unfortunately for him, Guglielmo Marconi had invented wireless communication, which was used to catch Crippen as he fled. Both books fully develop the worlds in which these narratives unfold, requiring prodigious research and skillful writing. The Devil in the White City, optioned for film by Paramount, was a finalist for a National Book Award. Obviously, along with the technical inventions, Larson also had to grasp the diverse criminal minds of two principal characters and the strategies used by the investigators who brought them to ground. Thus, his narratives both intrigue and offer useful information to forensics professionals.

The Writing Process Larson agreed to answer a few questions about his research, which are compiled in this interview. Ramsland: What inspired you to write about H.H. Holmes in the context of the fair? Winter 2007 THE FORENSIC EXAMINER 69

A Quick Look at the World's Columbian Exposition of 1893 • The Exposition was named to cel• •

• •

• • •

ebrate the 400th anniversary of Columbus’ discovery It was also known as the 1893 World’s Fair and the White City People called The Exposition the White City because the buildings were made of white stucco and because street lights were used for the first time There were more than 200 buildings It attracted 27,539,000 visitors, which was almost ½ the total number of people living in the United States at the time This was the first World’s Fair with an area for amusements A primary focus of the Exposition was lights and electricity Mayor Carter Harrison Sr. was assassinated 2 days before the fair’s closing date

Chicago in the 1890s • Chicago grew more quickly in the

second half of the 19th century than any large city in the modern history of the Western world • Chicago’s population increased by 600,000 in the 1890s alone

Hawley Harvey Crippen • Hawley Har-

vey Crippen was the first criminal to be captured with the aid of wireless communication

• The captain of the ship on which Crippen sailed to Canada recognized Crippen from wireless descriptions

• If Crippen, a U. S. citizen, had

sailed to the United States instead of Canada, “an international arrest warrant followed by extradition proceedings would have been required to bring him to trial.”

Larson: Back in 1994 I read The Alienist by Caleb Carr and loved its evocation of old New York. So I thought, wouldn’t it be interesting to try to do a nonfiction book about a murder from the past and try to achieve the same kind of effect? Here’s the sausage being made: I took out a book called The Encyclopedia of Murder, and began reading from the As onward. I can’t remember where I came across Holmes—whether it was in the Hs or the Ms, for Mudgett, his real name. I was titillated of course, but had no desire to write about him—I didn’t want to do crime porn. I wanted a book full of mood and manner. So, I continued searching. I came across a different murder, which I pursued for a while, until I realized it wasn’t particularly compelling or mysterious. It did, however, have a hurricane, which had the effect of accelerating the murder plot. I got totally sidetracked. I became entranced with the hurricane, and that became the storm in Isaac’s Storm [the story of Isaac Cline in the Galveston Hurricane of 1900]. Once that was out and doing well, I again set about trying to find an idea. I went through probably a dozen ideas and again thought about a murder—and again dismissed Holmes as just too sleazy. But in thinking about Holmes, I also remembered a reference to the World’s Fair of 1893. I had known nothing about it, so on a whim I started reading. Immediately I was hooked. And in the next few moments, I knew what my book would be—the story of Holmes and the fair. I wouldn’t have wanted to do either by itself, but together they made something greater than the sum of their parts. It was so amazing that so dark a series of events would be juxtaposed in place and time against so brilliant an act of civic goodwill. The title came to me immediately as well: The Devil in the White City. And it stuck. But I had absolutely no confidence that the reading public would share my fascination. On the eve of the book’s appearance I was pretty convinced that my career was over because whoever heard of a nonfiction book with two narrative threads that never actually touch? Happily, I was proven wrong. [Larson had mentioned in another context that he had been impressed with Truman Capote’s nonfiction novel, In Cold Blood, and had perused it repeatedly to dissect how Capote had penned his disturbing account about the murder of the Clutter family.] Ramsland: So, what did you learn from Capote’s In Cold Blood?

70 THE FORENSIC EXAMINER Winter 2007

Larson: First of all, I’ve always loved the tone of In Cold Blood. It begins in an engaging, chatty manner that could almost be the beginning of a book about travel. Capote’s remove adds to the sinister quality of the book. But mostly I reread it to get a better sense of how he used facts to tell his story, without lapsing into the clunky style of a reporter or conventional historian. He broke the story into its DNA and simply retold it as it unfolded for the parties involved, and he did it brilliantly. I do wish he had left footnotes, however. I just can’t understand how he got all the material he got, and I don’t care how close he got to the defendants. One reason I have detailed source notes is so that anyone who has a similar question can flip to the back and find out all he or she needs to know. Ramsland: What, then, was the most difficult aspect of recreating the Holmes story? Larson: The main problem was that the judge in the Holmes case restricted the case to Holmes’ insurance scam and the death of his sidekick, Pitezel, even though the Philadelphia D. A. was prepared to bring in some 30 witnesses to talk about Holmes’ murders and his hotel. What a loss. So, I had to dig deeper and longer to get enough material to tell his side of the story in a rich and detailed way—and to triangulate his own accounts, including his autobiography and his multiple confessions, to try to tease out where he was lying and where he was telling the truth. [Larson consulted with professionals about the nature of a psychopath because he wanted to understand what sort of man Holmes was and what had driven him to con, torture, and murder people. If he hadn’t been arrested, Holmes likely would never have stopped, and even after his capture, he had no remorse for those he had harmed.] Ramsland: Who did you consult and what did you find out? Larson: After the first draft of the manuscript I still felt I had only a limited sense of what drove Holmes, so I gave a copy [of the draft] to a forensic psychiatrist in Seattle, James Raney (who also happens to be my wife’s brother’s father-inlaw). It was he who helped me understand what it really means to say that someone is a fullblown psychopath—infinitely more interesting and frightening than [the fictional] Hannibal Lecter, by the way. My subsequent research allowed me to give readers at least a stab at why Holmes was doing the things he did.

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[Holmes was clearly a psychopath, but Crippen was a different matter altogether. It seemed more likely that he used murder to get out from under a difficult situation so that he could be with the woman he truly loved.] Ramsland: What are some differences between the Holmes and Crippen cases? Larson: The biggest difference is that the Crippen case left a much richer contrail of detail, including a wonderful Scotland Yard file on the case that is now housed in Britain’s National Archives. It’s 1,000 pages or so of material that writers typically only dream of finding—full of all the little bits and pieces of things that help make a narrative move, such as telegrams, daily police reports, accounts of witness interviews, etc. I also found a different set of files from the Department of Public Prosecutions that contained several thousand pages of depositions of witnesses. Very cool stuff. It’s what allowed me, for example, to reconstruct the crucial last dinner party held by the Crippens at 39 Hilldrop Crescent and to know what they drank, what they ate, and how hard it was for Crippen to get his friends a cab. Ramsland: It’s clear from reading these books that you work hard to recreate the social surroundings and cultural mindset. More specifically, you must try to understand the perspective of a historical criminal. What was it like for you? Larson: I try to place the criminal in his appropriate historical context. For example, Holmes was able to do what he did and go undiscovered for so long, in part because of his nature, but also because of the character of Chicago at the time and of the forces at work in the nation at large. For the first time, young single women could expect to travel alone to big cities and live on their own and find work. And this gave Holmes an unprecedented pool of potential victims. Also, the fact that Chicago was growing so wildly and that communication was so fundamentally poor ensured that people could come to town and disappear, and no one back home would begin to worry for weeks, even months. It seems very strange today, now that we’re all in instantaneous contact by cell phone. Ramsland: You prefer to have physical contact with your sources, because visiting the places where the events occurred and reading the original texts offer something extra. Tell us about that. Larson: It’s like the difference between watching a film about Tuscany and traveling there yourself. (800) 423-9737

Larson's Books Devil in the White City

A thousand trains a day entered or left Chicago. Many of these trains brought single young women who had never even seen a city but who now hoped to make one of the biggest and toughest their home. Jane Addams, the urban reformer who founded Chicago’s Hull House, wrote, “Never before in civilization have such numbers of young girls been suddenly released from the protection of the home and permitted to walk unattended upon the city streets and to work under alien roofs.” The women sought work as typists, stenographers, seamstresses, and weavers. The men who hired them were for the most part moral citizens intent on efficiency and profit. But not always. In the first 6 months of 1892 the city experienced nearly 800 homicides—four a day. But things were changing. Everywhere one looked the boundary between morality and depravity seemed to be eroding. Elizabeth Cady Stanton argued in favor of divorce. Clarence Darrow advocated free love. A young woman named Borden killed her parents. And in Chicago, a young handsome doctor stepped from a train, his surgical valise in hand. He entered a world of clamor, smoke, and steam, pungent with the scents of butchered cattle and pigs. He found it to his liking. The letters came later, from the Cigrands, Williamses, Smythes, and untold others, addressed to that strange gloomy castle at 63rd and Wallace, pleading for the whereabouts of daughters and daughters’ children. It was so easy to disappear, so easy to deny knowledge, so very easy in the smoke and din to mask that something dark had taken root. This was Chicago, on the eve of the most extravagant exposition of all time. Through fraud and shady business dealings, Holmes became successful and was soon looking for property to expand his empire. The opportunity arrived when the undeveloped land across the street from the pharmacy went on sale. Holmes immediately began to plan his “castle”: a strange, ragged building with strange vaults, secret rooms, and a wooden chute that descended from the second floor all the way to the basement. Not even the workers he hired to build it understood the full design of the building. While Burnham and Root busied themselves with the preparation of their enchanting White City on the lake, Holmes was completing the construction of his dark castle at 63rd and Wallace. The upcoming fair presented itself to Holmes as the perfect opportunity. His castle would become a hotel for fairgoers.

Thunderstruck

What he [Marconi] hoped to do—expected to do—was send messages over long distances through the air using Hertz’s invisible waves. Nothing in the laws of physics as then understood even hinted that such a feat might be possible. Quite the opposite. To the rest of the scientific world what he proposed was the stuff of magic shows and séances, a kind of electric telepathy. His great advantage, as it happens, was his ignorance—and his mother’s aversion to priests.

That’s why I loathe—LOATHE—doing research via the web, because it’s about as desiccated, dreary, and drab a portal on the past as one could ever imagine—to say nothing about the fact that most of the material you find on the 'net is inaccurate. I find, too, that when I actually visit places and see and touch artifacts, I reassure myself that the events really did happen. I mean—I know they happened, but especially when one is dealing with a character as outlandish as Holmes, it’s nice to have concrete corroboration. Case in point: When I went to the cemetery where Holmes is buried and

s A view of the White City in 1893

Winter 2007 THE FORENSIC EXAMINER 71

Guglielmo Marconi Marconi was born April 25, 1874 in Italy. He was granted the world’s first patent for a system of wireless telegraphy in 1896 and formed The Wireless Telegraph & Signal Company Limited in 1897. In December 1901, he transmitted the first wireless signals 2100 miles across the Atlantic Ocean, demonstrating that the wireless waves were not affected by the curvature of the Earth. He opened the first transatlantic commercial service, between Glace Bay, Nova Scotia and Clifden, Ireland, in 1907 (Nobelprize.org).

About the Author Katherine Ramsland, PhD, CMI-V, has published 30 books and teaches forensic psychology at DeSales University. She contributes regular articles on historical forensics and writes for Court TV’s Crime Library.

finally persuaded the receptionist to look for the entry for his burial in her old log books, I felt this powerful sense of having reached back and touched the past—there in this creaky, leather-bound ledger from over 100 years ago was an entry for Holmes, detailing certain of the peculiar aspects of his burial. It was a very strange and very exciting moment. Another example: It was very important for me to visit the site of the World’s Fair and see the building that now houses the Museum of Science and Industry. It is, in effect, a permanent replica of the fair building that once stood in its place, so it’s by no means the real deal—but it does give a powerful sense of the overall scale of the fair. It’s a huge structure, but not the largest of the fair buildings. And all of them were erected and landscaped in a year and a half, mostly through hard labor, by hand. One of the most important background elements in the book is Lake Michigan, which formed the backdrop for all the actual action. It was vital for me to see the lake in all its many moods and to experience how it changes the ambient light in Chicago. Ramsland: You say that often when you go to the original sites you experience “strange moments of resonance” with the past. Larson: I don’t want to get terribly mystical about it, but there is something unquantifiable and perhaps indefinable that occurs at such moments. It’s as if the past is reaching out to tell me I’m on the right track—perhaps the kind of thing a medical examiner feels when he or she finds some crucial piece of evidence in a corpse or at a crime scene. While researching the Crippen side of Thunderstruck, I had a small but strange experience that underlines the point. I had gone to London at a time when the city was experiencing a bizarre heat wave, and my hotel had no air conditioning. So, after 2 sleepless nights, I found a new hotel, which was blissfully cool. They had one room left, on the third floor, in the back. I took it. The next day, as I went around London checking out crucial addresses to see what still existed and what had been bombed to oblivion by the Luftwaffe, I began hunting for the apartment where Crippen and his wife first stayed after moving to London. I found the address and was intrigued to discover that it was right behind my new hotel room—right there, in full view. Very, very strange. Another moment: When I first came to that Scotland Yard file, I turned back the folder jacket and right on top was a photograph that blew me away. This was no ordinary photograph. It was a brilliant, clear black-and-white shot that could have been taken yesterday—every line was clear,

72 THE FORENSIC EXAMINER Winter 2007

and the contrasts were sharp, as if Ansel Adams had done the developing. And in this photograph, grinning out smugly, I saw Inspector Dew, his partner, and several other constables, standing with shovels and a wheelbarrow, after excavating the corpse of Crippen’s wife. The look on all their faces was one of smug but assured pride, with just a hint of irony in the eyes and eyebrows of each. An amazing moment, though hard to convey. Ramsland: What, particularly, did you enjoy about working with parallel stories of criminals and inventors? Larson: Actually, it’s very difficult to make parallel stories work, and it is not particularly fun. I constructed a parallel narrative for the World’s Fair because the story demanded it—that was the only way I felt the story could be told. Afterward, I went stomping around my house vowing that I would never do another double narrative again because it was just too hard. It’s more like writing two books at the same time. But, then came the Crippen story, and the same thing seemed to happen. I didn’t want to just write about Crippen, and I certainly did not want to write only about Marconi. What appealed to me was the place where their lives intersected, during the great transatlantic chase orchestrated by wireless. So, once again I was doomed. I swear, swear, swear the next book will not be a double narrative. It’ll be a triple narrative . . . Ramsland: Can forensic investigators in the Twenty-first century learn something of benefit from the investigations of criminals who operated so long ago? Larson: I think what both the Holmes and Crippen cases show is that, while much has changed over the years, one crucial element of murder investigation has remained constant—and that is, in the end, what really counts is hard work, instinct, and persistence. Especially persistence. I was intrigued after Devil came out that whenever I gave a talk in Chicago I invariably had cops in the audience, and often they were homicide detectives. I think these guys see a timelessness in the work done by Frank Geyer in tracking Holmes across the countryside and finding those three dead children. Besides being compelling reads, Larson’s books also give readers a firm sense of what forensic investigation was like a century ago.

References Larson, E. (2003). The devil in the white city. New York: Crown. Larson, E. (2006). Thunderstruck. New York: Crown. n

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Forensics in the Future:

An Interview with Ian R. Tebbett

By Leann Long, Editor in Chief Leann Long: You started a successful program offering online master’s degrees in various forensic areas through the University of Florida. How did these online degrees originate? Ian R. Tebbett: In 2000, I was director of the racing laboratory for the state of Florida. This lab tests for drugs in about 100,000 biological specimens from racehorses and greyhounds around the state per year. Several of the staff asked to take time away from the bench to attend classes at the University of Florida to improve their knowledge and qualifications. While this was very commendable, as a lab director, I could not afford to lose these analysts while they were in class. As a compromise, I took two of my courses in forensic toxicology and put them online so that the lab personnel could study on their own time. To make that option more attractive, the lab paid their tuition. I soon received a call from the Florida Department of Law Enforcement in Orlando who had heard we offered an online master’s degree in forensic toxicology, and they were interested! My two online courses were far from constituting an online master’s degree program, so we got together and discussed what should go into such a program. The Master of Science in Forensic Toxicology was born and began in the fall of 2000 with 20 students. We subsequently added degrees in forensic drug chemistry, DNA and serology, and recently, a general forensic science program based on the same format as the original toxicology program. We also have graduate certificate programs (15 credits) in each of these areas as well as in death investigation and environmental forensics, with others in development. The program has grown to include around 400 students each semester, which, to my knowledge, makes it the largest graduatelevel forensic program in the world. LL: The irony of you being the director of this program is that you used to be extremely skeptical about online forensic education. Obviously, your experiences at the University of Florida have changed your mind. IRT: Forensic science is very much a hands-on subject. You have to examine evidence and use your senses as well as sophisticated instrumentation to interpret the data. I couldn’t see how that could be accomplished with an online format. However, when we started working with the (800) 423-9737

Tebbett's Background Dr. Ian R. Tebbett is no stranger to forensic education. In fact, he built the University of Florida’s online forensic science graduate program from the ground up and serves as the program’s director. And, having previously served as director of Analytical Toxicology and the director of the Racing Laboratory at the University of Florida, as well as having taught forensic science at the University of Strathclyde, Scotland, and the University of Illinois at Chicago, he is what one might consider a forensic toxicology expert. Dr. Tebbett is, in fact, an expert; he has served as a consultant for many international and national law enforcement agencies and has testified in courts in Florida, Illinois, and Europe. With a research interest in novel approaches to education and training in forensic science, combined with his breadth of experience, Dr. Tebbett is the perfect candidate to take charge of The Commission on Forensic Education, a free program the ACFEI started to promote forensic science education. We’re extremely proud to announce that Dr. Tebbett has agreed to be the chair of The Commission and are excited to see where his leadership will take the program. Dr. Tebbett took time to provide answers to a few questions concerning his strides in forensic science education as well as his vision for The Commission.

graphic designers, I was amazed at what could be presented via the Internet. Digital images of crime scenes and laboratory techniques, as well as animations showing everything from the formation of blood spatter patterns to the operation of a mass spectrometer, are far easier to present online than they are in a classroom. The most exciting thing for me, however, was the level of interaction we generated online. If I stand in front of a class and ask a question, few people will volunteer an answer for fear of being wrong. Students are more willing to offer their opinions and experiences online. And the fact that we now have students from all over the world, as well as from very different backgrounds, has made for some interesting discussions, many from which I personally have learned a lot.

s Visit the University of Florida's webpage.

LL: You’ve had many individuals from other countries express a serious interest in taking online courses through the University of Florida, and your program has successfully accommodated their needs. How were you able to break down cultural barriers, and what has been the resulting impact? Winter 2007 THE FORENSIC EXAMINER 73

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

View our online course catalog at https://secure.acfei.com/members/_catalog.php

For Individuals who might view online courses as an easy way to gain credit, online courses are not an easy option for either the student or the instructor—they are, in fact, far from it.”

IRT: I would say the language barrier and the cost of U.S. tuition were the greatest challenges. There are a lot of individuals all over the world eager to learn; unfortunately, many don’t have the facilities that we have in the United States. Those who have the English skills to pass the TOEFL and GRE exams and the finances to pay for U.S. graduate education are able to participate in our U.S.-based program along with our American students, and we have students from 27 different countries in that category. What is exciting, though, is that we have partnered with reputable institutions around the world, notably in Brazil and Chile, and they have translated our courses into Portuguese and Spanish and are teaching them with our help. We trained their instructors, but they teach entirely in their own language, and students pay the local tuition rate in those countries for a degree granted by the overseas institution. In return, we receive a percentage of the tuition paid in these countries. More importantly, the program promotes the University of Florida to students in those countries who may not have thought about studying here, and they can then explore that possibility. The goal is to eventually have a global network of academic providers in the forensic sciences with an “electronic bookshelf ” of materials in multiple languages available to anyone in the world. LL: Considering its widespread availability to individuals anywhere in the world, who exactly are ideal candidates for your degree programs? IRT: Most of our students are already working in crime labs, medical examiner’s offices, or other such businesses; have a bachelor’s degree and lab experience; and want to improve their qualifications and, in turn, their career prospects by studying for a master’s degree. They do not, however, want to quit their jobs and relocate to Florida. In addition, we have students who don’t want to commit to a whole master’s degree but wish to learn more about a particular topic and take one or two courses. Attorneys would be an example of those students. I am particularly proud of the fact that we have quite a few students taking our courses who are in the military. Many of these are on active duty and have commented that our courses are the only way they could continue their studies while in that environment. LL: It’s very encouraging to hear your story of success because ACFEI is starting to develop and offer more online courses as a way to accommodate individuals who aren’t able to attend our live courses. What advice do you have for our readers who are considering enrolling in these courses?

74 THE FORENSIC EXAMINER Winter 2007

IRT: I have already mentioned that for people who already have job and family commitments, online education works around their schedules and may be the only way they can further their education. The level of courses now being offered online is as good as anything in a traditional classroom. We do recommend that students who lack practical experience attend intensive workshops to supplement the theory. Distance education requires self-motivated students. For individuals who might view online courses as an easy way to gain credit: online courses are not an easy option for either the student or instructor—they are, in fact, far from it. LL: Given your experience and success with online education, we’re obviously thrilled to have you as the Chair of The Commission on Forensic Education. What is your vision for the program? IRT: The ACFEI is by far the largest organization of forensic practitioners in the country. That represents a wealth of expertise and knowledge in all aspects of forensic education. I would like to tap into that resource and add it to our experiences with online education to develop courses applicable to everyone from school children to graduate students. The Commission also needs to consider promoting training and education in forensic science internationally. There is no shortage of hard-working people dedicated to catching the bad guys anywhere I have been. In many cases though, they do not know how to best go about achieving that goal. Finally, accreditation standards for forensic science programs at all levels and in all disciplines need to be addressed. LL: How do high school teachers fit into the commission, and why are they important? IRT: One of the most exciting developments in recent years is teachers’ growing interest in introducing kids to forensic science. There are several high school teachers in our online courses enrolled specifically to learn more about forensic science so that they can develop more realistic classroom exercises. The ACFEI could act as a clearinghouse for lesson plans in forensic science created from ideas developed by members and made available to teachers nationally. I have been very impressed with how innovative some teachers have become so they can introduce forensic science to their classrooms, often with limited resources. We should do everything we can to encourage those efforts, as some of the kids being taught will become the future leaders of our profession.

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Attention Forensic Educators The Commission on Forensic Education

To join the commission, apply online at www.acfei.com/pcfe.php or call Carol at (800) 423-9737

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

Special Discount to ACFEI Members

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Winter 2007 THE FORENSIC EXAMINER 75

CE TEST PAGE: FIVE TOTAL CREDITS AVAILABLE (WITH THE COMPLETION OF ALL 5 CE TESTS)

In order to receive one CE credit, each participant is required to 1. Read the continuing education article. 2. Complete the exam by circling the chosen answer for each question. Complete the evaluation form. 3. Mail or fax the completed form, along with the $15.00 payment for each CE exam taken to: ACFEI, 2750 East Sunshine, Springfield, MO 65804. Or Fax to: 417-881-4702

For each exam passed with a grade of 70% or above, a certificate of completion for 1.0 continuing education credit will be mailed. Please allow at least 2 weeks to receive your certificate. The participants that do not pass the exam are notified as such and will have a second opportunity to complete the exam. Any questions, grievances or comments can be directed to the CE Department at telephone (417) 881-3818, fax (417) 881-4702, or email: cedept@acfei.com. Continuing education credits for participation in this activity may not apply toward license renewal in all states. It is the responsibility of each participant to verify the requirements of his/her state licensing board(s).

ARTICLE 1 (PAGE 12) LEARNING OBJECTIVES

ARTICLE 2 (PAGE 18) LEARNING OBJECTIVES

“Digital Forensics in the twenty-first century”

“A proposed Addition to the FBI CRIMinal Classification Manual: FraudDetection Homicide”

After studying this article, participants should be better able to do the following: 1. Identify the basics of the digital forensics field, including the general forensics collection and investigation process. 2 Discuss the most recent rules related to digital evidence and its acceptance in the court system. 3 Understand case studies from real world forensics investigators.

After studying this article, participants should be better able to do the following: 1. Understand that a correlation between fraud detection as a motive and homicide exists. 2. Understand that a sub-group of white-collar criminals harbor violent tendencies. 3. Discuss the psychological characteristics of violent white-collar criminals.

1. True or false: Digital forensics is the collection and investigation of digital devices for use as

1. White-collar criminals may have which of the following motives to commit murder?

evidence in court.

a. They harbor a belief that their white-collar crime may be detected.

a. True

b. They desire to have their violent tendencies made public.

b. False

c. They have an uncontrollable desire to kill. d. They desire to have their white-collar crime exposed.

2. True or false: The Federal Rules of Civil Procedure are the rules that dictate procedures, such as discovery, during civil court proceedings.

2. Victims may offer clues as to potential suspects because

a. True

a. They may have provoked the murder.

b. False

b. They may have been involved in the underlying fraud. c. The defendant was only attempting to threaten the victim.

3. True or false: Recent changes to the Federal Rules of Civil Procedure state that digital evi-

d. The defendant is always a friend of the victim.

dence is not discoverable and that it should not be considered during the course of legal proceedings.

3. Known fraud in the United States in 2005 totaled over

a. True

a. $100 billion dollars.

b. False

b. $200 billion dollars. c. $650 billion dollars.

4. True or false: When information is deleted on a computer, the information itself is not

d. $2 trillion dollars.

removed but the computer’s reference point to that information is deleted. It can still exist if not overwritten, which is uncommon due to large hard drive sizes in current computers.

4. According to the research provided, red-collar defendants usually

a. True

a. Have a history of violent crimes.

b. False

b. Have a history of sexual assault crimes. c. Have a history of narcotics crimes.

5. True or false: Digital forensics professionals must be licensed by the national central licensing

d. Do not have a history of any crime.

organization, which has national requirements that do not vary by state. 5. Some of the murder defendants in this study had been found guilty of

a. True b. False

a. First degree murder. b. Reckless homicide.

6. True or false: Metadata, the extra information that is contained in a document, such as edit-

c. Criminal negligence.

ing history or user information, is the same between programs and cannot be used by forensics investigators to determine changes made to a particular data.

6. Some murder defendants may not be found guilty because of

a. True

a. Circumstantial evidence.

b. False

b. Direct evidence. c. Speculation.

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ARTICLE 3 (PAGE 32) LEARNING OBJECTIVES

ARTICLE 4 (PAGE 38) LEARNING OBJECTIVES

“What the 10 New Auditing Standards Mean For Forensic Accountants”

“Experience Versus Education in Forensic Engineering”

After studying this article, participants should be better able to do the following: 1. Identify the issuance of 10 new external auditing standards and the topics covered. 2. Discuss the topics and basic requirements of each of the 10 standards. 3. Explain how eight of the standards, those known as the Risk Assessment Standards, are related. 4. Explain why the audit work that results from requirements of the Risk Assessment Standards should be especially useful to forensic examiners.

After studying this article, participants should be better able to do the following: 1. Understand the importance of a well-balanced mix of education and experience when choosing an expert witness. 2. Identify the strengths of both education and experience in forensic engineering expert witnesses. 3. Explain the problems associated with forensic engineering expert witnesses who have only experience or only education.

1. The AICPA recently issued

1. Having field experience in an engineering discipline as opposed to having only academic

a. Eight standards known as the Risk Assessment Standards.

credentials is

b. A standard that notes that any audit procedures discussed in the standards are recommend-

a. Needed for certain types of expert witnesses.

ed and not mandatory.

b. Usually not as important as education.

c. A standard that requires the auditor to retain the audit documentation for a period of 10

c. Basic to being a good expert. d. Not necessary.

years. d. A total of two new auditing standards.

2. Non-experienced researchers should investigate failures 2. The auditor’s documentation completion date is

a. To control cost.

a. The date the auditor releases the document containing the audit report to the client.

b. So they can gain experience.

b. Within 60 days of the report release date.

c. To speed up an investigation.

c. The date the risk assessment procedures must be documented.

d. To maximize fees.

d. No earlier than the date that sufficient audit evidence has been obtained. 3. An expert with minimal education but extensive experience 3. The Risk Assessment Standards require the external auditor to

a. Is usually not preferred over a person with less experience but more education.

a. Assess the business risk that the client faces.

b. Is usually not acceptable as an expert.

b. Use the assessment of the risk of material misstatement to understand the entity and its envi-

c. Is not the optimal choice when another expert has a similar amount of experience but more

ronment, including its internal control.

education.

c. Perform substantive procedures that address the client’s control risk on every engagement.

d. Is the best choice.

d. Understand the entity and its environment, including its internal control. 4. An expert should have adequate experience and have as a bare minimum 4. Known misstatements include

a. An associate degree.

a. Errors management has corrected before the financial statements are given to the external

b. A bachelor’s degree.

auditor prior to the audit engagement.

c. A master’s degree.

b. Amounts that are extrapolated when using sampling models on the engagement.

d. A doctoral degree.

c. Those arising from misapplication of accounting principles. d. The amount of management’s estimate that falls outside the range which the external auditor

5. Lack of field experience will be obvious

considers reasonable.

a. Only in the expert’s reports. b. Only in the expert’s presentations.

5. The assertions management makes regarding the financial statements

c. Only in the expert’s verbal skills.

a. Include both audit procedures and the risk assessment standards.

d. In the expert’s reports, presentations, and verbal skills.

b. Relate to two financial statements: the statement of cash flows and the statement of retained 6. College professors usually provide expert witness services

earnings. c. Encompass completeness, sufficiency, and appropriateness of audit evidence.

a. To supplement their income.

d. Are organized into three groups.

b. To increase their experience. c. Due to boredom encountered in the classrooms.

6. True or false: Either the results of procedures or the conclusions reached should be included

d. To get out of the classroom.

in audit documentation. a. True b. False

Article 3 Evaluation (1-5 rating section) Circle one (1=Poor 2=Below Average 3=Average 4=Above Average 5=Excellent) 1. The author presented material clearly. 2. Learning objective 1 was met. 1 2 3 3. Learning objective 2 was met. 1 2 3 4. Learning objective 3 was met. 1 2 3

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2 3 4 5 5 5 5

5. New knowledge or technique was gained. 1 2 3 4 5 6. Comments:

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Article 4 Evaluation (1-5 rating section) Circle one (1=Poor 2=Below Average 3=Average 4=Above Average 5=Excellent) 1. The author presented material clearly. 2. Learning objective 1 was met. 1 2 3 3. Learning objective 2 was met. 1 2 3 4. Learning objective 3 was met. 1 2 3

1 4 4 4

2 3 4 5 5 5 5

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CE TEST PAGE: FIVE TOTAL CREDITS AVAILABLE (WITH THE COMPLETION OF ALL 5 CE TESTS) For each exam passed with a grade of 70% or above, a certificate of completion for 1.0 continuing education credit will be mailed. Please allow at least 2 weeks to receive your certificate. The participants that do not pass the exam are notified as such and will have a second opportunity to complete the exam. Any questions, grievances or comments can be directed to the CE Department at telephone (417) 881-3818, fax (417) 881-4702, or email: cedept@acfei.com. Continuing education credits for participation in this activity may not apply toward license renewal in all states. It is the responsibility of each participant to verify the requirements of his/her state licensing board(s).

ARTIcLE 5 (PAGE 42) LEARNING OBJECTIVES “Necrotic Spider or Tick bite? Hobo Spider Venom or Ehrlichial Bacteria?

STATEMENT OF OWNERSHIP, MANAGEMENT, AND CIRCULATION

After studying this article, participants should be better able to do the following: 1. Understand the controversy, the local and systemic medical conditions, and the seasonal aspects related to Tegenaria agrestis envenomation in the Pacific Northwest. 2. Explain the “myth of necrotic arachnidism, "as well as its implications for forensic medicine. 3. Identify the symptoms, transmission vectors, and life-threatening potential of ehrlichiosis.

1. Publication Title: The Forensic Examiner 2. Publication Number: 1084-5569 3. Filing Date: October, 2007 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 2007 15. Extent & Nature of Circulation: Average No. No. Copies of Copies Each Single Issue Issue During Published Preceding 12 Nearest to Months Filing Date

1. True or false: The spider Tegenaria agrestis, imported into the United States in the early 1900s, had not been associated with medically important bites until the mid 1980s. a. True b. False 2. In which regions of the United States have patients been observed to carry three pathogens simultaneously, transmitted by Ixodes dammini (Borrelia burgdorferi, Babesia microti, and ehrlichial bacteria)? a. Pacific Northwest and California b. Northeastern regions and Northern Midwest c. Southeastern regions 3. A potentially life-threatening aplastic anemia points to which of the following tick-transmitted illnesses? a. Lyme disease b. Rocky Mountain spotted fever c. Ehrlichiosis 4. True or false: Dermal necroses with unknown etiology should not be readily blamed on bites by the brown recluse spider. a. True b. False 5. True or false: Skin cancers, pyoderman gangrenosum, infectious tick bites, plant poisoning,

a. Total # of Copies (Net Press Run) b. Paid and/or Requested Circulation (1) Paid/Requested Outside-County Mail Subscriptions Stated on Form 3541 (Include advertiser’s proof & exchange copies) (2) Paid In-County Subscriptions Stated on Form 3541 (Include advertiser’s proof & exchange copies) (3) Sales Through Dealers & Carriers, Street Vendors, Counter Sales, & Other Non-USPS Paid Distribution (4) Other Classes Mailed Through the USPS c. Total Paid &/or Requested Circulation [Sum of 15b. (1), (2), (3), & (4)] d. Free Distribution by Mail (Samples, complimentary, & other free) (1) Outside-County as Stated on Form 3541 (2) In-County as Stated on Form 3541 (3) Other Classes Mailed Through the USPS e. Free Distribution Outside the Mail f. Total Free Distribution (Sum of 15d. & 15e.) g. Total Distribution (Sum of 15c. & 15f.) h. Copies not Distributed i. Total (Sum of 15g. and 15h.) j. Percent Paid &/or Requested Circulation (15c./ 15g. x 100)

fungal infections, and other factors can cause indolent dermal necroses. a. True b. False 6. True or false: Despite clinicians and entomologists’ warnings that the “myth of necrotic arachnidism” may hinder diagnostic accuracy and delay the appropriate treatment, clinicians should remain alert regarding the potentially lethal systemic effects of brown recluse spider bites. a. True b. False

Article 5 Evaluation (1-5 rating section) Circle one (1=Poor 2=Below Average 3=Average 4=Above Average 5=Excellent) 1. The author presented material clearly. 2. Learning objective 1 was met. 1 2 3 3. Learning objective 2 was met. 1 2 3 4. Learning objective 3 was met. 1 2 3

1 4 4 4

2 3 4 5 5 5 5

5. New knowledge or technique was gained. 1 2 3 4 5 6. Comments:

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78 THE FORENSIC EXAMINER Winter 2007

12,730

9,479

9,406

1.769

2,630

11,264

12,052

0 0

625 0 625 11,889 26 11,915 95%

600 0

0 0

600 12,652 78 12,730 95%

16. Publication of Statement of Ownership: Publication required. Will be printed in the Winter 2007 issue of this publication. 17. Signature & Title of Editor: (Signed) Leann Long, Editor in Chief (Date) 10-9-07. 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).

Exp. Date:

Signature

11,915

www.acfei.com

New Course

Sensitive Security Information, SSI, Course Certified course soon to be offered by ACFEI On May 3, 2006, a government laptop containing the names, Social Security numbers, and birth dates of up to 26.5 million veterans discharged since 1975 was stolen. Luckily, the thieves were two teenagers who did not know their target worked for the government or that the laptop carried such sensitive security information (Burger, 2006).

This year has seen more than its share of government and business lapses in the handling of sensitive security information. The sensitive financial information of millions of citizens and customers has been compromised, exposing countless victims to an increased threat of identity theft. For example, on September 25, 2007, eBay hackers posted addresses, credit card numbers (complete with 3-digit CVV numbers), and phone numbers of 1200 people on eBayâ&#x20AC;&#x2122;s official fraud prevention forum. Protecting sensitive security information is vital to government and business alike, but until now there has been no way to recognize informational professionals as certified in handling sensitive information. This important new program will soon be training and certifying thousands of people who deal with confidential and sensitive information. Data breaches happen at every level of government and the private sector. The consequences can be devastating, and not only in terms of financial loss. Breaches of sensitive security information can also become public relations nightmares and have many far-reaching long-term consequences. Forensic science professionals and others in positions that handle sensitive information need to know how to protect the sensitive data in their possession. The information contained in the Sensitive Security Information, SSI, Certified course and certification will help anyone who cares about sensitive information recognize potential weaknesses in their security practices and systems and recognize the warning signs of possible infiltration. Education is the key to preventing disastrous losses caused by security breaches and human error, and the SSI, Certified course provides the most comprehensive instruction on sensitive security information yet assembled. The course features a 600-page reference book and has a companion review presentation that is available to play either on computers or DVD players. (800) 423-9737

Winter 2007 THE FORENSIC EXAMINER 79

The opportunity to become SSI, Certified is open to members of the American College of Forensic Examiners, the American Psychotherapy Association, and the Certified in Homeland Security Program. The SSI, Certified program covers a broad variety of situations in which private information is used. The course prepares students to handle sensitive information and face information security issues within their communities, workplaces, and homes. Data sources that might contain sensitive security information include trial evidence, client databases, health-care records, building plans, tax records, the “No Fly” list, employee phone conversations, specific flight plans, meeting notes, temporary Internet files, research and development sketches, and business plans.

Government Sector The SSI, Certified course teaches important fundamental information concerning government institutions that deal with matters of security and information classified as “sensitive security.” The informative section about the government and SSI discusses how sensitive security information is integrated into the national security paradigms and describes influential historical points related to its current use.

Business and Industry The subject curriculum is a bold undertaking and is comprehensive. Additionally, it is a timely and needed product. Reviewing the document was a personally rewarding event. My professional life has been devoted to the health-care delivery sector. The healthcare sector is slow to change, as evidenced by the progress in the industry’s adoption of the electronic health record. HIPPA has been a real challenge to hospitals: it is not just a vulnerability in the protection of sensitive personal health information electronically, but also the lack of vigilance within the culture for access control of physical, cyber, and personal protection. Experience has shown us that the “helping nature” of the culture has led to harmful acquisition of information, which other industries guard and would not consider releasing. DR. JAMES D. BLAIR, FACHE CEO, Center for HealthCare Emergency Readiness (CHCER)

It is vital for corporate survival that businesses apply the utmost care and diligence when taking measures to protect data of any kind. If sensitive data becomes jeopardized, the simple protective responses suggested in the SSI course must be taken immediately. The material in the ACFEI’s SSI, Certified course contains information on and examples of mandatory notification letters as guidance if customers’ Social Security numbers have been compromised. The process of becoming SSI, Certified requires synthesizing current issues and identifying how to apply a variety of standards and security measures to the workplace.

Private Sector Critical issues covered in the “personal security” sections of our uniquely comprehensive SSI, Certified course include cyber security, personal data protection, social networking safety, identity security, and measures to take against common personal security breaches.

Conclusions In ACFEI’s newest educational offering, SSI, Certified, professionals will gain a comprehensive knowledge of SSI as it relates to government, business, and personal use. After taking this course, professionals will be able to actualize and implement concrete strategies to keep sensitive information safe at home and work. This complete SSI Certification program is a must for anyone who has any information to protect. For more information and to reserve your copy now, go to http://www.chs.acfei. com or call (800) 592-0960.

References Burger, A. K. (2006, August 10). U.S. mobile security, part 1: How great is the risk? E-Commerce Times. Retrieved September 26, 2007, from http://www.ecommercetimes.com/story/52298.html

Additional Resources Privacy Rights Clearinghouse). A Chronology of Data Breaches. Web site: http://www.privacyrights.org/ar/ChronDataBreaches.htm Tech-404. Identity Theft Data Loss Cost Calculator. Web site: http://www.tech-404.com/calculator.html Transportation Security Administration. TSA: Frequently Asked Questions. Web site: http://www.tsa.gov/research/ ssi/faqs.shtm

For more information on becoming SSI, Certified, go to www.chs.acfei.com 80 THE FORENSIC EXAMINER Winter 2007

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SENSITIVE SECURITY INFORMATION, CERTIFIED An Essential Certification for every Security Professional

Available December 7, 2007 To preregister Call: (800) 592-0960 Visit: www.chs.acfei.com

TRIALS AND TRIBULATIONS â&#x20AC;˘ BY DONALD C. AUSTIN, M.D. TO PURCHASE THIS BOOK, PLEASE GO TO AMAZON.COM

Book Description Medical malpractice has become a hot issue in our litigious society. The trial lawyers are locked in battle with the doctors, while the politicians and the patients look on. This is about one skirmish in that battle, told by one of the casualties. Donald Austin, M.D., was a wellrespected neurosurgeon, operating at the cutting edge of medical technology. He was justly regarded as an expert in the field, and as such gave testimony for the defense in many malpractice lawsuits. However, he was shocked by some instances of malpractice, and when he decided to testify for plaintiffs as well, he did not bargain for what ensued. As his testifying became known, both his professional colleagues and the medical societies carried out a smear campaign that ended his professional career. About the Author Donald Austin, M.D., is a third-generation doctor. A native of Indiana, he now lives in Michigan. He was chief of the neurosurgery section of the Hutzel Hospital in Detroit for many years and associate professor of neurosurgery at Wayne State University. He is married, has four grown children, and is semi-retired, but still active in forensic medicine.

Case Study

Falsely Accused: DNA Evidence Proves Rape Accusation was a Lie

ine years after Armand Villasana was accused of the rape, sodomy, and kidnapping of Judith Lummis, DNA evidence cleared his name. Just prior to his sentencing, investigators learned that the DNA collected from Lummis belonged to a consensual previous lover, and not to Villasana, who had already served 21 months in prison prior to the discovery of new evidence. The events began on September 16, 1998. Upon arriving home late, Lummis was questioned by her husband as to her whereabouts. Not wanting to admit to her extramarital affair, she told her husband she had been kidnapped from a Sonic Drive-In, taken to a wooded area, and raped at knife-point. She was taken to a local hospital where she underwent a rape kit examination. Lummis described her attacker as being Hispanic and helped authorities draw a composite sketch. Villasana became a suspect after being arrested for unrelated charges. The police officer thought he resembled the sketch Lummis had helped create, despite the fact that there were discrepancies in height, weight, and age—Lummis had described a man who was 2 decades younger than Villasana. Lummis picked Villasana out of a lineup of which he was the only Hispanic present. The county prosecutor stated this information was suppressed at the trial and later called the lineup “suggestive” (Bridges, 2007b), though Lummis’ composite sketch of her attacker was “freakishly similar” to Villasana (Bridges, 2007a). Regardless, Villasana was convicted November 10, 1999 of rape, sodomy, and kidnapping. Friends and family members hired defense attorneys Shawn Askinosie and Teresa Grantham to prepare an appeal. Further research by Askinosie and Grantham revealed DNA evidence that had not been presented at the trial. While the rape kit provided no semen to test, other useful biological material was present. This information had been omitted from the police report. The DNA profile constructed from the evidence gathered from a vaginal swab, Lummis' pants, and a hospital sheet matched neither Villasana, Lummis, nor her husband. This new information was presented at Villasana’s hearing in 2000, and the case was dismissed. Although Villasana was released from prison, his name was not yet cleared. In June of 2005, a DNA sample was collected from an inmate that matched the mystery DNA—Missouri state law requires that samples (800) 423-9737

be collected from inmates and then tested against a database of old DNA evidence (Bridges, 2007b). The Greene County Sheriff ’s department was contacted, and after further testing, the DNA match was confirmed. The case was reopened in January of 2006. The unidentified man was questioned and finally gave authorities the information they had been missing. Lummis could not be immediately located, but once found, she continued to hold to her initial story. The man admitted to consensually having sex with Lummis the night of September 16, 1998, and the rape hoax was uncovered. Lummis finally admitted on August 7, 2007, that the rape had been fabricated. Lummis’ convincing nature played a large role in the longevity of the case. Many times, lies are easily detectable; however, both the defense and prosecuting attorneys believed Lummis had been raped, irrespective of Villasana's guilt or innocence. The assistant county prosecutor stated Lummis was “phenomenally articulate and had the appearance of credibility . . . it was pretty amazing . . . any concerns I had about the case were always dispelled by her.” (Bridges, 2007a). Lummis had filed a similar kidnapping charge in 2005 that was later found to be false (Associated Press, 2007). The county prosecutor stated that although the DNA screening system is imperfect, it did prove successful in the end. DNA is a powerful tool when the evidence is correctly identified and considered in the evidence. The county prosecutor hopes that DNA evidence does not deter women from reporting rapes (Bridges, 2007b). The statute of limitations has prevented Lummis from being charged with perjury, but she is currently serving a 4-year jail sentence for fraudulently obtaining prescription drugs. She has also faced charges in the past for cashing stolen checks and using methamphetamines. She is being held in the Greene County Jail, the same prison facility where Villasana served his time.

s For more information on DNA exonerations go to www.innocenceproject.org

References Associated Press. (2007, September 3). Woman’s false testimony put man in jail for rape; now she’s in jail. St. Louis Post-Dispatch. Retrieved September 17, 2007, from http://www.stltoday.com/stltoday/news/ stories.nsf/missouristatenews/story4368F3DD8C13 E9D78625734B0009B62F?OpenDocument Bridges, Amos. (2007a, September 1). Lies fall apart along with woman’s life. Springfield News-Leader. Retrieved September 19, 2007, from http://www.news-leader.com/apps/pbcs. dll/article?AID=/20070901/NEWS01/709010393 Bridges, Amos. (2007b, August 24). Revelation clears Villasana’s name. Spring field News-Leader. Retrieved September 17, 2007, from http://www.news-leader.com/apps/pbcs. dll/article?AID=/20070824/NEWS01/708240436

Winter 2007 THE FORENSIC EXAMINER 83

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*Annual Percentage Rate. Intro Annual Percentage Rate offer is valid, on the entire balance for the first 6 months the account is open. plus 2.9%. As of October 15, 2007 that rate is 10.65%. Annual Percentage Rate may change monthly and is determined by the highest sider you for a Classic card with a rate of Prime plus 7.9%, currently 15.65% (Basic). We will consider your credit history and existing

cial ACFEI Credit Card. Show off your credentials with the OFFICIAL ACFEI MasterCard® Credit Card. Apply today to get our 2.9%* Introductory APR and a host of other great benefits. Call 800-445-9272 to apply today.

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Winter 2007 THE FORENSIC EXAMINER 87

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

2008 NATIONAL CONFERENCE SAN DIEGO, CALIFORNIA CHS: SEPTEMBER 2–4 ACFEI: SEPTEMBER 4–6