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Security Breaches Hit New High During Dangerous 2007 Shocking security breaches made the news throughout 2007, a year that many security experts say was the worst in history for the compromise of sensitive information. It started when Massachusetts-based retailer TJX announced that 45.6 million credit cards belonging to its customers had been compromised during an intrusion that reportedly went undetected for 18 months. In the months that followed, banks suing over losses claimed that the actual number of credit cards from which information had been taken was closer to 94 million. The loss was devastating for TJX, which by yearâ&#x20AC;&#x2122;s end was estimating that it had already spent or set aside $250 million to cover its losses from the breach. Some analysts were predicting that the security lapse could eventually cost TJX more than $1 billion. During the summer, broker Fidelity National lost control over the personal information of 8.5 million customers. A senior database adminis-

trator working at a subsidiary company copied the information and sold it to brokers. In September, TD Ameritrade Holding Corp. admitted that 6.2 million customers had their personal information compromised because of an infiltration. The jeopardized contact information included names, addresses, and phone numbers, and it was apparently used to target stock-market-related spam. Governments were not immune. In November, the HM Revenue and Customs department of Great Britain announced that the child benefit records of 25 million UK citizens had been lost. Computer disks that had not been encrypted were lost while being transported to the National Audit Office. The information had such details as national ID numbers. The expense just from closing old accounts and opening new ones could cost British banks $500 million. Then came the announcement that the records of 3 million British student drivers had been lost when a hard drive in Iowa City, Iowa

became unaccounted for. The breach was especially dangerous, analysts said, because teenagers are among the most vulnerable to ID theft. In November it was reported that a Lebanese immigrant used a fraudulent U.S. citizenship to find employment with the CIA and FBI. She allegedly used her access to look up information on the terrorist group Hezbollah. Another breach was not nearly as costly, but its irony makes it worthy of mention. In early October, a vulnerablity in a Department of Homeland Security list-serv was revealed when a subscriber posted an unsubscribe request that was sent out to all the list-serv members. Soon, subscribers were spamming themselves with hundreds of jokes, protests, unsubscribe requests, and sales pitches for products or services. Hundreds of security professionals who should have known better wound up sending out their private email addresses for anyone to see. As bad as 2007 was, many experts predict lapses will only grow worse this year.

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THE

FORENSIC

EXAMINER

VOLUME 17 • NUMBER 1 • Spring 2008

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

20 26 20

SANE Peer Review: What is it? Do we need it?

By Lisa Gorham, BSN, RNC, SANE-A, CFN, and Suzanne L. Brown, MSN, RN, SANE-A, CFN

The Arrogant Chameleons: Exposing Fraud-Detection Homicide

By Frank S. Perri, JD, MBA, CPA, and Terrance G. Lichtenwald, PhD, FACFEI

The Life Development of Gang Members: Interventions at Various Stages By Mike Meacham, PhD, LCSW, DCSW, DABFSW, and Tony Stokes

Injury Assessment and Management: Controversies and Resolutions

By Robert H.N. Fielden, MD, FRCS(C), DABFM, DABFE, FACFEI

Stories from the Front: IE (IME) Excesses and How to Counter Them By John J. Haberstroh, DC, DABCN, DACAN, FACFEI, and Kevin Mulhern, DC, FICC

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.

44 4 THE FORENSIC EXAMINER Spring 2008

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.

www.acfei.com

Case Studies/Current Issues

100 Clubs Help Families of Fallen: Organizations Provide Support and Financial Gifts By John Lechliter, Editor in Chief

He Was Everyone’s Best Friend: Line-of-Duty Death of Close Friend Inspires Dr. Robert O’Block to Support 100 Clubs

Officer Down: Characteristics of Cop Killings

The Disability Claim Buyout

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

By Arthur L. Fries

Workers’ Compensation: A Broken Medical System

By Michael A. Baer, PhD, ScD, FACFEI, DABPS, DABFE, DABFM, CHS-V, FAPA

America’s Most Wanted: Staying on Track and Learning from the Best

By Mark Withrow, DABCHS, CHS-V and Roger Rickman, CHS-V, PI, DABCHS

60 70

The Tally Stick: The First Internal Control?

By Nicholas Apostolou, DBA, DABFA, CPA, and D. Larry Crumbley, PhD, CP A, DABFE, Cr.FA

The Incomparable Witness: Sir Bernard Spilsbury

By Katherine Ramsland, PhD, CMI-V

Stand Your Ground, Revisited: Measuring Reasonable Fear

By Patricia A. Wallace, PhD, FACFEI, DABFE, DABFM, CFC, and Rosalynn Moten-Travis, PhD

Falsely Accused: Justice and the Willing Suspension of Belief

Also in this Issue

24 64 69 78

Books by ACFEI Members ACFEI News Register for the 2008 National Conference CE Test Pages: Five Continuing Education Credits

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Spring 2008 THE FORENSIC EXAMINER 5

FORENSIC

EXAMINER

Publisher: Robert L. O’Block, MDiv, PhD, PsyD, DMin (rloblock@aol.com) Editor in Chief: John Lechliter (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: Carol Wollard (800) 423-9737 ext. 156 • (carol@acfei.com)

ACFEI Executive Advisory Board Chair of the Executive Board of Advisors: David E. Rosengard, MD, RPh, MPH, PhD, DAPA, FACA, 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 Jamie Ferrell, BSN, RN, CFN, CMI-III, Chair, American Board of Forensic Nursing Doug E. Fountain, PhD, LCSW, DABFE, DABFSW, Chair, American Board of Forensic Social Workers Raymond F. Hanbury, PhD, FACFEI, DABPS, DABFE, CHS-III, ABPP Lee Heath, DABLEE, CHS-V, Chair, American Board of Law Enforcement Experts Brian L. Karasic, DMD, MScFin, FACFEI, DABFD, DABFM, DABFE, Chair, American Board of Forensic Dentistry Michael Kessler, Cr.FA, CICA, FACFEI, DABFA, DABFE Marilyn J. Nolan, MS, FACFEI, DABFC, Chair, American Board of Forensic Counselors Thomas J. Owen, BA, FACFEI, DABRE, DABFE, CHS-V, Chair, American Board of Recorded Evidence Gregory Vecchi, PhD, CFC, CHS-V, DABCEM, DABLEE, Chair, American Board of Crisis and Emergency Management Ben Venktash, DABFET, DABFE, CHSP, REA, FRSH(UK), FIET(UK), Chair, American Board of Forensic Engineering and Technology

2008 Editorial Advisory Board 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 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, PsyD, 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, 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 $165. 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 2008 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.

Publication, editorial, and advertising offices of ACFEI, 2750 East Sunshine Street, Springfield, MO 65804. Phone: (417) 881- 3818, Fax: (417) 881- 4702, E-mail: editor@acfei.com. Subscription changes should be sent to ACFEI, 2750 East Sunshine, Springfield, MO 65804.

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Send address changes to American College of Forensic Examiners International, 2750 East Sunshine Street, Springfield, MO 65804.

6 THE FORENSIC EXAMINER Spring 2008

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The American College of Forensic Examiners Executive Advisory Boards The American College of Forensic Examiners Executive Advisory Boards AMERICAN BOARD OF CRISIS AND EMERGENCY MANAGEMENT Originally The American Board of Examiners in Crisis Intervention Chair of the Executive Board of Crisis and Emergency Management Advisors: Gregory M. Vecchi, PhD, CFC, CHS-V, DABCEM, DABLEE Vice Chair of the Executive Board of Crisis and Emergency Management Advisors: Vincent B. VanHasselt, PhD, DABCEM Second Vice Chair: Kent Rensin, PhD, DABCEM Members of the Executive Board of Crisis and Emergency Management Advisors: Sam D. Bernard, PhD, DABCEM Monica Beer, PhD, DABLEM John H. Bridges, III, CHS-V, DABCHS, CHMM, DABCEM Marie Geron, PhD, DABCEM Raymond Hamden, PhD, FACFEI, DABPS, DABECI, DABCHS, DAPA, CFC, CMI-V, CHS-V, DABCEM Marilyn Nolan, MS, DABFC, DABCEM Rev. Roger Rickman, DABCEM, CHS-V, DABCHS, CFC, CMI-I, FACFEI 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: Michael G. Kessler, Cr.FA, CICA, FACFEI, DABFA, DABFE Members of the Executive Board of Accounting Advisors: Stewart L. Appelrouth, CPA, CFLM, CVA, DABFA, Cr.FA, ABV Gary Bloome, CPA, Cr.FA Jules J. Brayman, CPA, ABV, CVA, CFFA, FACFEI, DABFA Stephen E. Cohen, CPA, ABV, FACFEI, DABFA, Cr.FA, CVA D. Larry Crumbley, PhD, CPA, DABFA, Cr.FA, CFFA, FCPA James A. DiGabriele, DPS, CPA, ABV, CFSA, Cr.FA, FACFEI, CVA June Dively, CPA, DABFA, Cr.FA David Firestone, CPA David H. Glusman, CPA, FACFEI, DABFA, Cr.FA Eric A. Kreuter, PhD, CPA, CMA, CFM, FACFEI, DABFA, SPHR, CFD, CFFA, BCFT Raimundo Lopez Lima Levi, CPA, DABFA Dennis S. Neier, CPA, DABFA Sandi Peters, CPA, Cr.FA 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 W. Kelley, PhD, DABFC, LPC Robert E. Longo, FACFEI, DABFC Kathleen Joy Walsh Moore, DABFC, CHS-III DeeAnna Merz Nagel, MEd, LPC, CRC, DCC, CFC Irene Abrego Nicolet, PhD, MA, DABFC Hirsch L. Silverman, PhD, FACFEI, DABFC, DABFE, DABFM, DABPS William M. Sloane, JD, LLM, PhD, FACFEI, DABFC, CHS-III, CMI-I, DACC, DCPC, FAAIM, FACC, MTAPA 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, MScFin, DABFD, DABFM, DABFE Members of the Executive Board of Dental Advisors: Ira J. Adler, DDS, DABFD Bill B. Akpinar, DDS, FACFEI, DABFD, DABFE, CMI-V 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, LLC 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, CHSP, REA, FRSH (UK), FIET (UK) Vice Chair: Cam Cope, BS, DABFET, DABFE 2nd Vice Chair: Ronald Schenk, MSc, MInstP, PEng (UK), CHS-IV, CMI-I Chair Emeritus: David Hoeltzel, PhD Members of the Executive Board of Engineering & Technological Advisors: Nicholas Albergo, DABFET Kyle J. Clark, DABFET George C. Frank, CFC, DABFE

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Robert K. Kochan, BS, DABFET, DABFE, FACFEI John W. Petrelli Jr., AIA, NCABB, TAID, DABFET Max L. Porter, PhD, DABFET, DABFE, PE, HonMASCE, Parl, Dipl ASFE, FTMS, FACI, CFC Peter H. Rast, DABFET, DABFE, DABLEE, BS, MSFS, MBA Oliver W. Siebert, PE, DABFET, FACFEI Kandiah Sivakumaran, MS, PE, DABFET James W. St. Ville, MD, MS, FACFEI, DABFET, DABFM Malcolm H. Skolnick, PhD, JD, FACFEI, DABFET, DABFE

Lo M. Lumsden, ANP, GNP, EdD, CFN, DABFN, DABFE, CHS-III Yvonne D. McKoy, PhD, RN, DABFN, FACFEI Diane L. Reboy, MS, RN, CFN, LNCC, FABFN, CNLCP, LNCC, FACFEI, DABFN Suzette Rush-Drake, RN, BSN, PsyD, DABFN, DABFE Russell R. Rooms, MSN, RN, CMI-III, CFN, DABFN, APRN Elizabeth N. Russell, RN, BSN, CCM, DABFN, BC, FACFEI LeAnn Schlamb, RN-BC, MSN, CFN, DABFN Sharon L. Walker, MPH, PhD, RN, CFN

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, FACFEI, DABFE, DABFM Phillip F. Asencio-Lane, FACFEI, DABFE John H. Bridges, III, CHS-V, DABCHS, CHMM, FACFEI, DABCEM Ronna F. Dillon, PhD, DABFE, DABPS, CMI-V, CHS-III Nicholas J. Giardino, ScD, DABFE, FACFEI, RPIH, MAC, CIH Bruce H. Gross, PhD, JD, MBA, DABFE, DABFM, FACFEI, DAPA Kenneth M. Gross, DC, FACFEI, DABFE, CMI-I Darrell C. Hawkins, MS, JD, FACFEI, DABFE, DABLEE, CMI-V, CHS-III, F-ABMDII, IAI-SCSA, IAAI-CFI Michael W. Homick, PhD, EdD, 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, CPSI Edward M. Perreault, PhD, DABFE Marc A. Rabinoff, EdD, FACFEI, DABFE, CFC David E. Rosengard, RPh, MD, PhD, MPH, FACFEI, DABFE, DABFM, FACA Janet M. Schwartz, PhD, FACFEI, DABFE, DABFM, DABPS, CHS-V Richard Sgaglio, PhD, CMI-IV

AMERICAN BOARD PSYCHOLOGICAL SPECIALTIES Chair of the Executive Board of Psychological Advisors: Raymond F. Hanbury, PhD, DABPS, DABFE, ABPP, FACFEI, CHS-III Vice Chair of the Executive Board of Psychological Advisors: Raymond H. Hamden, PhD, FACFEI, DABPS, DABCEM, DABCHS, DAPA, CFC, CMI-V, CHS-V Chair Emeritus: Carl N. Edwards, PhD, JD, FAAFS, FICPP, FACFEI, DABPS, DABFE Members of the Executive Board of Psychological Advisors: Carol J. Armstrong, PhD, LPC, DABPS Robert J. Barth, PhD, DABPS Monica Beer, PhD, DABLEM John Brick, III, PhD, MA, FAPA Alan E. Brooker, PhD, FACFEI, DABPS, DABFM, DABFE, CMI-III, ABPP-Cn 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, MPH, DABPS, CMI-V, CHS-III Thomas L. Hustak, PhD, FACFEI, DABPS, DABFE Richard Lewis Levenson, Jr., PsyD, FACFEI, DABPS, DABFE, CTS, FAAETS Stephen P. McCary, PhD, JD, DABFE, DABFM, DABPS, FACFEI, FAACP, DAPA 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 LAW ENFORCEMENT EXPERTS Chair of the Executive Board of Law Enforcement: Lee Roy Heath, CHS-V, DABLEE Vice Chair of the American Board of Law Enforcement Experts: Darrell C. Hawkins, JD, DABLEE, DABFE, CHS-III, CMI-V, Chair Emeritus: Michael W. Homick, PhD, DABCHS, CHS-V Members of the Executive Board of Law Enforcement Advisors: 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, CHS-III Ronald Lanfranchi, PhD, DABLEE, DABFE, CMI-IV, FACFEI, DABFM Leonard Morgenbesser, DABLEE Henry A. Paine, III, PhD, DABFC, CHS-IV, DABLEE John T. Pompi, BA, DABLEE, DABFE Stephen Russell, DABLEE, CMI-II Gregory Vecchi, PhD, CFC, CHS-V, DABLEE, DABCEM 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.) Vice Chair: Michael Fitting Karagiozis, DO, MBA, CMI-V Members of the Executive Board of Medical Advisors: Terrance L. Baker, MD, MS, FACFEI, DABFM, CMI-V John Steve Bohannon, MD, CMI-IV Edgar L. Cortes, MD, DABFM, DABFE, CMI-V, FAAP Albert B. DeFranco, MD, FACFEI, DABFM, DABPS, CMI-V, CHS-III James B. Falterman Sr., MD, DABFM, DABFE, DABPS, CMI-IV Malcolm N. Goodwin, Jr., Co. USAF MCFS (Ret.), MD, MS, DABFM, DABFE, FCAP, FACFEI 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, FACFEI, DABFM, DABFE E. Franklin Livingstone, MD, FAAPM&R, FACFEI, DABFM, DABFE, DAAPM John C. Lyons, MD, FACS, MSME, FACFEI, DABFM, DABFET, DABFE Manijeh K. Nikakhtar, MD, MPH, DABFE, DABPS, CMI-IV, CHS-III John R. Parker, MD, FACFEI, DABFM, FCAP Anna Vertkin, MD, CMI-V, DABFM 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: Jamie J. Ferrell, RN, BSN, SANE-A, FACFEI, DABFN, DABFE, CFN Vice Chair of the Executive Board of Nursing Advisors: Dianne T. Ditmer, PhD, MS, RN, DABFN, CMI-III, CFN, FACFEI, CHS-III 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-A, CMI-III, CFC, CFN, CEN

AMERICAN BOARD OF RECORDED EVIDENCE Chair of the Executive Board of Recorded Evidence Advisors: Thomas J. Owen, BA, FACFEI, DABRE, DABFE, CHS-V Committee of the American Board of Recorded Evidence Forensic Audio: Ryan Johnson, BA, DABFE, DABRE Forensic Voice Identification: Ernst F. W. Alexanderson, BA, MBA, FACFEI, DABRE, DABFE Members of the Executive Board of Recorded Evidence Advisors: Eddy B. Brixen, DABFET Charles K. Deak, BS, CPC, DABFE, 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, LCSW, DABFE, DABFSW Chair Emeritus: Karen M. Zimmerman, MSW, DABFSW, DABFE Members of the Executive Board of Social Work Advisors: Susan L. Burton, MA, LMSW, MSW, DABFSW, DABFE Judith V. Caprez, MSW, ACS, LSCSW, DABFSW Peter W. Choate, BS, MSW, DABFSW, DABFE Judith Felton Logue, PhD, FACFEI, DABFSW, DABFE, DABFM, DABPS Michael G. Meacham, PhD, LCSW, DCSW, DABFSW, FACFEI Kathleen Monahan, DSW, MSW, CFC, DABFE Susan P. Robbins, PhD, DABFSW, LCSW, DCSW, BCD, LDC Steven J. Sprengelmeyer, MSW, MA, FACFEI, DABFSW, DABFE, LISW 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 Lt. Colonel Herman C. Statum, United States Army (Ret.), CHS-V, CPP, MS, PI, DABCHS Robert R. Silver, CHS-V, PhD, MS, DABCHS Members of the Executive Board for Certification in Homeland Security: Chair Emeritus of the Executive Board for Certification in Homeland Security: Nick Bacon, CHS-V, DABCHS 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, Col. U.S. Army (Ret.) CHS-V, DABCHS Robert McAlister, CHS-V, DABCHS Janet M. Schwartz, PhD, CHS-V Edward W. Wallace, CHS-V, Detective 1st Grade (Ret.), MA, SCSA, LPI, BS CFI I & II, CLEI, CTO, CDHSI Eric White, CHS-V, DABCHS, BS

Spring 2008 THE FORENSIC EXAMINER 7

Giving Back

100 Clubs Help Families of Fallen By John Lechliter, Editor in Chief

Organizations Provide Support and Financial Gifts

olice officers, fire fighters, and other public servants seldom receive salaries that recognize and fully reward the contributions they make. Their jobs often carry high risks, and too many make the ultimate sacrifice as they work to protect and serve others. When a chaplain carries out the most dreaded duty and knocks on a front door to deliver terrible news, a family is left reeling. The lineof-duty death of a spouse, a father, or a mother, is a blow to the gut that few can comprehend. The good news is that families of the fallen have a great resource for support in many communities across the country. Service organizations known as “100 Clubs” have been raising money and providing help to grieving families for more than 50 years. But the bad news is that many public safety servants work in communities that have no such resource. Beside their personal loss, they must deal with the loss of income from a family member killed in the line of duty. Bills can start to mount up, adding financial stress to the unfathomable emotional strain that grips families. Forensic professionals who work closely with law enforcement officers and public safety workers are among those most affected by line-of-duty deaths, and many will want to know how to provide help to families in need. In areas served by 100 Clubs, helping is made easy by the organization. Anyone not residing in an area served by a 100 Club has the option of starting an organization, just as the original clubs were founded.

100 Clubs Arise From Family Needs More than a half-century ago, the Saturday Evening Post reported on the formation of the first 100 Club. The Post article, “The Bluecoats’ Best Friends” states that a Detroit businessman, Bill Packer, who owned the largest Plymouth dealership in the world, came up with the idea for the organization. The Post reported that Packer’s friend, a police sergeant, had been seriously wounded in a shooting. As his friend lingered between life and death, Packer came to realize that officers often faced danger. He knew that his friend’s family would be financially devastated by the loss of his 8 THE FORENSIC EXAMINER Spring 2008

income. His friend recovered, but later Packer heard the story of a Detroit officer who was killed while making a routine arrest. The officer’s wife had just sold her small beauty parlor business because she was expecting the couple’s second child. Packer relied on what he knew best and took an entrepreneurial approach to forming an association of business leaders who would join together to provide financial assistance to the family. He wrote to 100 of Detroit’s elite businessmen and enlisted the aid of a local newspaper columnist. The idea was to raise enough funds to pay off all of the family’s bills, and to provide enough financial support to get the family back on its feet. With the generous contributions, the family’s house was more than paid for, with enough money left over to supplement the $170 a month pension the widow received. A few years later, the 100 friends of Packer got together again to raise money for a college fund for the widow’s youngest child. Then another Detroit officer died in the line of duty, and the businessmen got together again to provide a helping hand.

Packer saw the need for a permanent and more formal organization, and he helped found the “100 Club” in 1952. Soon more business leaders began to flock to such a worthy cause, and the ranks surpassed 200, then 300. Unfortunately, it didn’t take long for the organization’s services to be needed. A motorcycle patrolman died in an accident in a Detroit intersection. The 100 Club responded immediately, giving the officer’s widow $7,500 to pay off the mortgage on the family home (adjusted for inflation, that’s more than $56,000 today). Soon the 100 Club gained notoriety through media reports such as the 1956 article in the Saturday Evening Post. Other communities began to copy the success, and the entrepreneurial associations sprang up in many larger cities.

100 Clubs Today Today 100 Clubs number more than 100, and they extend from coast to coast. Some clubs, such as the Phoenix 100 Club, serve their entire state. Most serve specific communities. The largest and second-oldest 100 Club is Houston’s, which boasts more than 27,000 members.

www.acfei.com

s The families of nine firefighters killed while battling a fire in June 2007 were escorted behind nine fire helmets that were placed on each coffin during memorial service in Charleston, South Carolina. (Gerry Melendez/The State/MCT)

Rick Hartley has directed Houston’s 100 Club for 14 years and has personally delivered checks and encouragement to many families. He said recently from his Houston office that in an average year three Houston-area public safety workers, including law enforcement officers, fire fighters, and paramedics, die in the line of duty. In 2007, the number was five. Hartley explained how the process works. “First, there has to be a line-of-duty death,” he said. “And there have to be dependents of the officer or fire fighter who was killed in the line of duty. The first thing we do, within 24 to 48 hours, is to get them a check for $10,000 to help with any of their immediate financial needs.” “Then when the time is better, and some of the trauma and tragedy has subsided, we will go and meet with the surviving spouse and make a complete needs assessment . . . sadly, there are usually a few youngsters under the age of 12. We take all that under consideration with a goal of trying to eliminate their debt—pay off their mortgage, pay off their vehicle, notes, credit card debt, anything that’s outstanding.” (800) 423-9737

The 100 Club doesn’t stop there, often going on to pay for the education of the children through college or trade school. The total gifts to a single family average $300,000, Hartley said. The organization will step in and help out even years after the loved one’s death, based on needs of individual families. Families get federal and state funds after a lineof-duty death, but that often is not enough to pay all the bills and pay for the family’s living expenses. About two-thirds of the membership of the Houston 100 Club is comprised of members who donate $100 a year to the organization. The other third is made up of life members who donated $1,000 to the cause. Helping families of fallen heroes is a rewarding job, Hartley said. He particularly remembers the case of a Houston officer’s widow, who was stricken with multiple sclerosis. The 100 Club bought the woman a new house and filled it full of handicapped-accessible equipment. Families are often overwhelmed by the support they get from the 100 Club. Many family members Spring 2008 THE FORENSIC EXAMINER 9

Giving Back 100 Clubs in the United States ARKANSAS The 100 Club of Arkansas Bentonville 1-479-442-2503 ARIZONA 100 Club of Arizona Phoenix (602) 485-0100 sharon@100club.org CALIFORNIA The Martin C. Kauffman One Hundred Club of Alameda Co. Concord 1-510-818-0337 The Hundred Club of Contra Costa County Danville 1-925-837-0199 Marvin@MarvinRemmich.com The Hundred Club of Los Angeles Malibu 1-310-589-0902 RES@PIXELGATE.com The Hundred Club of Palm Springs Palm Springs 1-760-323-4449 mcculloch_Michael@email.msn.com The One Hundred Club of Santa Clara County Milpitas 1-408-262 0656 COLORADO The Hundred Club of Colorado Springs Colorado Springs 1-719-471-6181 wjhybl@elpomar.org & jelgart@elpomar.org The Hundred Club of Denver 1-303-331-6315 bob@m2pcapital.com The Hundred Club of Durango Durango 1-970-247-1834 deanelk@aol.com CONNECTICUT The Hundred Club of Connecticut, Inc. Glastonbury 1-203-633 8357 hundred@portone.com DISTRICT OF COLUMBIA Heroes, Inc. Washington, D.C. 1-202-638-6658 FLORIDA The Hundred Club of Broward County, Inc. Fort Lauderdale 1-954-563-3925 thehundredclub@gmail.com The Collier County One Hundred Club Naples 1-239-261-3453 kpassi@aol.com The Hundred Club of Indian River County, Inc. Vero Beach 1-772-569-1282 judylenzi@aol.com The 200 Club of Jacksonville, Inc. Jacksonville 1-904-384-7100 Lee County Hundred Club Fort Myers Florida 1-239-334-9191 The Manatee County Hundred Club Bradenton 1-941-749-0005

ManateeCty100Club@tampabay.rr.com

INDIANA

100 Club of Martin County Stuart 1-772-283 7422 lobelding@aol.com

The Hundred Club of Indianapolis Indianapolis 1-317-787-3698 plc@Indy.net

The Two Hundred Club of Greater Miami, Inc. Coral Gables 1-305-443-8973 nancycgss@aol.com The One Hundred Club of Monroe County 1-305-743-0440 trichw@GenB.Com Committee of One Hundred, Orange County Orlando 1-407-422 6105 At time of a LOD death, $5,000.00 to surviving spouse. The Osceola County Hundred Club, Inc. Kissimmee Florida 1-407-846-4129

KENTUCKY The One Hundred Club of Eastern Kentucky, Inc. Ashland 1-606-324 6905 Bluecoats of Louisville, Inc. Louisville 1-502-454 5192 LOUISIANA The 100 Club of Lafayette, Inc. Lafayette 1-337-237-8586 glamson@cybermp.net MARYLAND

Sarasota County Hundred Club Sarasota 1-941-953 5383

The One Hundred Club of Anne Arundel County, Inc. Pasadena 1-410-625-6110 charles.shaeffer@rbcdain.com

The Hundred Club of South Palm Beach County Deerfield Beach 1-954-420-5599 ddhcpa1@bellsouth.net

The Hundred Club of Mass. Inc. Boston 1-617-536-4410

The 100 Club of St. Lucie County Port St. Lucie 1-772-340-3500 GEORGIA The 300 Club of Atlanta, Inc. Atlanta 1-404-240-6736 bill.lellyett@morgankeegan.com or Shana.dunlap@morgankeegan.com The 200 Club of the Coastal Empire Midway 1-912-880-3060 tak@elantechnology.com The Shield Club (Macon and Bibb Counties) Macon 1-478-750-9338 1-478-738-9214 The 100 Club of Rabun County P.O. Box 18 Clayton 1-706-782-5034 ILLINOIS The 100 Club of Chicago - The Hundred Club of Cook County 1-312-346 3838 Ralph@100club.org The Hundred Club of DuPage County Naperville 1-630-375-7622 info@hundredclubofdupage.org The Hundred Club of East Central Illinois, Inc. Watseka 1-815-473-4404 The Hundred Club of Jo Daviess County Galena 1-815-777-9356 The Hundred Club of Kankakee County Kankakee 1-815-933-5529 The One Hundred Club of Lake County Libertyville 1-708-681 1700 The Hundred Club of Will County Joliet Illinois 1-815-725-9981 vportlock@aol.com

10 THE FORENSIC EXAMINER Spring 2008

MASSACHUSETTS

MICHIGAN The Hundred Club of Detroit Flint 1-810-237-5778 FirstHundredClub@AOL.com Hundred Club of Flint Metamora 1-810-599-3751 lpeterman@centurytel,net The William S. Martens Hundred Club Fund of Grand Rapids Community Foundation Grand Rapids 1-616-454 1751 lblack@grfoundation.org The Hundred Club of Lansing Lansing 1-517-394-4614 carter.susan@safetycouncil.org The One Hundred Club of Saginaw Saginaw 1-989 792 7777 daveabbs@abbsadvisors.com Washtenaw One Hundred, Inc. Ann Arbor 1-734-741-0400 MINNESOTA Minnesota 100 Club St. Paul 1-651-487-2955 MISSOURI The Backstoppers, Inc. - Police Officer, Firefighter Fund of St. Louis 10411 Clayton Rd., Ste. A5 backstoppers@backstoppers.org Greene County 100 Club Springfield 1-417-864-1782 The Masters (Missouri State Highway Patrol Benevolent Fund), Inc. Doug Libla Poplar Bluff 1-573-686-1619 themastermo@hotmail.com SAFE (Surviving Spouse and Family Endowment Fund) 3100 Main Street, Ste. 201 Kansas City 1-816-960-6800 swilson@KC-Crime.org

MONTANA The Hundred Club of Montana Helena 1-406-495-9096 ann@100clubmontana.org NEBRASKA 100 Club of Omaha Fund of the Metropolitan Police and Fire Foundation of Omaha Omaha 1-402-348 6346 NEW HAMPSHIRE The Hundred Club of New Hampshire Manchester 1-603-623-9000 michaelbucci@hotmail.com NEW JERSEY The 200 Club of Bergen County Hackensack 1-201-229-0600 BC200Club@Conversent.net 200 Club of Burlington County Moorestown 1-856-222-0100 Joseph.Barton@PSEG.com Camden County Hero Scholarship Fund Berlin 1-856-768 9656 dawn@camdencountyhero.com

NEW YORK The 100 Club of Buffalo Buffalo 1-716-842-1042 somerset@bussnet.net Silver Shield Foundation New York 1-212-572-6334 moreinfo@silvershieldfoundation.org The Hundred Club of Westchester, Inc. White Plains 1-914-948 6444 dforcina@westchester.org OHIO Bluecoats, Inc. (Cleveland) Cleveland 1-216-861 7788 BluecoatsRBC@aol.com The Hundred Club of Dayton Dayton 1-937-254-2917 Geauga Bluecoats, Incorporated Chagrin Falls 1-440-729-4488 The Hillcrest 100, Inc. Mayfield Heights 1-440-829-9714 Lake County Blue Coats, Inc. Willoughby 1-440-953-1818

Cape May & Atlantic Counties 200 Club Northfield capeatlantic200club.org

Bluecoats of Medina County, Inc. Medina 1-330-723-7934 BluecoatsRBC@aol.com

200 Club of Essex County P. O. Box 32249 Newark 1-973-621-4105 npoloso@aol.com

Stark County Bluecoats Canton 1-330-498-9485 tim@putmanproperties.com

200 Club of Hudson County Bayonne 1-201-858-4925

State Troopers of Ohio Cleveland 1-216-267-7100, Ext. 216 GAOSR@OATEY.COM

200 Club of Hunterdon County, NJ, Inc. Clinton 1-908-730 0678 STEPHENSON22@EARTHLINK.NET

Bluecoats, Inc. of Summit County Clinton 1-330-882-5795 mosleymclj@aol.com

The 200 Club of Middlesex County Woodbridge 1-732-887-5770 middlesex200club@aol.com

Hero Scholarship Fund of Philadelphia Philadelphia 1-215-496-6678 hero1954@aol.com

200 Club of Monmouth County Spring Lake 1-732-449 3800 ginny@danskin-agency.com The 200 Club of Morris County Morristown 1-732-279-4258 info@200clubofmorriscounty.com 200 Club of Ocean County Pt. Pleasant Beach 1-732-244 5900 Passaic County 200 Club Totowa 1-973-754-6445 pc200trw@aol.com The 200 Club of Somerset County Somerville 1-908-526 2565 x-206 member_somersetcounty200club.org The Two Hundred Club of Union County Scotch Plains 1-908-322-2422 200 Club of Warren County Milford 1-908-995-9110 pagprolog@aol.com

RHODE ISLAND 100 Club of Rhode Island, Inc. Providence 1-401-421 2500 TENNESSEE The 100 Club of Memphis Memphis 1-901-748-8889 sallybsource@aol.com The Hundred Club of Nashville Nashville 1-615-250-4234 The100ClubofNash@aol.com TEXAS The Hundred Club of Alvin Alvin 1-281-581-2068 jcsrvs@evl.net 100 Club of Aransas County Fulton 1-361-729-3988 kduplichan@sbcglobal.net 100 Club of Brazoria County Lake Jackson 1-979-297-5910

The 100 Club of Central Texas* Austin 1-512-345-3200 info@100clubcentex.com 100 Club of Central Texas Harker Heights 1-254-547-4890 maryann.glass@cumulusb.com 1988 The 100 Club of Comal County New Braunfels 1-830-626-5554 The Dallas Blue Foundation Dallas 1-214-369-2583 Hundred Club of Denton, TX Support Our Shields 1-SOS Denton 1-940-349-8160 jim.bryan@cityofdenton.com Hundred Club of Gillespie County Fredericksburg 1-830-997-5803 normjean@austin.rr.com The 100 Club Mr. C. F. Kendall II Houston 1-713-952 0100 Rick@the100club.org Hill Country 100 Club Burnet 1-512-756-2411 gbible@tstar.net The 100 Club of Jefferson & Hardin Counties Beaumont 1-409-838-2802 merichard@hearstnp.com The 100 Club of Matagorda County Bay City 1-409-245-1708 aquainfo@sbcglobal.net 100 Club of Pearland Pearland 1-281-485-6790 tomhodges.l@netzero.com The Hundred Club of San Antonio San Antonio 1-210-340-0100 100club@100clubofsanantonio.org The Victoria 100 Club Victoria 1-361-578-1502 The Hundred Club of Wharton County, Inc. El Campo 1-979-543-1040 The Hundred Club of Wichita Falls Wichita Falls 1-940-767-9256 SOUTH CAROLINA The Hundred Club of South Carolina, Inc. Mt. Pleasant 1-843-559-5764 The 100 Club of Greater Greenville Mr. Philip J. Carlton Greenville 1-864-213-8000 The One Hundred Club Fund The Spartanburg County Foundation Spartanburg 1-803-582 0138 WISCONSIN Blue Coats Foundation, Inc. Milwaukee 1-414-962-3918

INFORMATION COURTESY 100 CLUB OF CHICAGO

www.acfei.com

s A fireman stands alongside the nine caskets of the fallen firefighters during the memorial service on June 22, 2007, in Charleston, South Carolina. A fire that started at a furniture store eventually led to the roof collapsing, trapping 16 firefighters and killing nine in the worst firefighting disaster since the Sept. 11, 2001, terrorist attacks. (C. Aluka Berry/ The State/MCT)

have gone on to join the organization so they can help other families cope with their losses. “It’s very rewarding work,” Hartley said of his job.

Clubs of All Sizes Most 100 Clubs are much smaller than the Houston organization. For instance, the Greene County 100 Club based in Springfield, Missouri, formed recently with a mission to provide aid to families of police officers and firefighters who are killed in the line of duty. Police and fire fatalities are rare in Greene County, with years often separating the onduty loss of public safety personnel. John Rush, president of the organization, said that the hardest tasks in forming the group involved finding insurance and filling out all the paperwork and meeting requirements to be recognized as a tax-exempt 5013c organization. After many months of organizing, the group officially formed in June of 2007 and was quickly faced by the loss of a police officer in a traffic accident. (800) 423-9737

“We heard of the officer’s death around 4 in the morning, and by 8 o’clock we had a check in the hands of the widow,” Rush said. The organization currently provides $5,000 checks to families. Although losing firefighters and police is a rare occurrence, the Greene County 100 Club is raising funds with the goal of being able to respond should a tragedy strike that produces multiple casualties.

More 100 Clubs Needed The website of the Chicago 100 Club has a directory of 100 Clubs across the nation. According to that listing, there are no clubs serving Alabama, Delaware, Idaho, Iowa, Kansas, Maine, North Carolina, North Dakota, New Mexico, Oklahoma, Oregon, South Dakota, Utah, Vermont, Virginia, Washington, West Virginia, or Wyoming. Many 100 Clubs serve only specific communities, so large portions of many of the remaining states are not served by clubs, either.

There is no national organization that unites the individual clubs, Hartley said. A few years ago a national meeting was held in an effort to foster sharing of information and ideas, but only about 30 clubs sent representatives. The only things needed to bring 100 Clubs to more areas are people who care and the entrepreneurial spirit to organize a group where none existed before. Hartley said he would be happy to provide information to anyone who wants to establish a 100 Club in an unserved community. The Houston 100 Club has information packets that can help organizers get started. There will, unfortunately, always be families in need, but whether they get help from organizations such as 100 Clubs depends on luck and geography. People willing to step forward and establish new clubs can improve the odds and make the lives of more families a little easier after they have experienced the worst losses imaginable.

Spring 2008 THE FORENSIC EXAMINER 11

Giving Back

12 THE FORENSIC EXAMINER Spring 2008

s Collage is comprised of newspaper articles taken from The Dallas Morning News, showing the coverage of the days that followed the August 21, 1975, shooting death of police officer Alvin Duane Hallum. Officer Hallum died during a shootout with a man who was suspected of extorting more than $6,000 from his former employer at gunpoint.

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He Was Everyone’s Best Friend Line-of-Duty Death of Close Friend Inspires Dr. Robert L. O’Block to Support 100 Clubs

lvin Duane Hallum was a young cop everyone loved. Not even 30, he was smart, dedicated— and as one Dallas Morning News headline stated in large type—he had “a bright future.” “He was the kind of person who everyone thought was their best friend,” recalls Dr. Robert L. O’Block, founder and CEO of the American College of Forensic Examiners Institute, and one of Hallum’s close friends. “He just had that kind of personality.” Hallum never had the chance to live his bright future. His young son lost his father too soon, and his wife lost the support and close relationship her husband had provided. All were taken away on August 21, 1975, in the parking lot of a Dallas gas station. A gunman described as deranged killed Hallum during a shoot-out that also wounded a fellow officer.

Kansas Officers O’Block and Hallum had met during the early 1970s in Crawford County, a largely rural area in southeast Kansas that contained the small towns of Pittsburg and Frontenac. Both were dispatchers for the Frontenac Police Department, and both were attending Kansas State College of Pittsburg. Hallum had grown up near the southeast Kansas town of Coffeyville, which was made famous as the site of the last ride of the infamous Dalton gang on October 5, 1892. Absorbing tales of the bank-robbing bandits, Hallum became an Old West history buff, and he often entertained his fellow officers with stories of General Custer, Doc Holiday, Wyatt Earp, and other western legends. O’Block recalls riding on patrol with Hallum until 3 a.m., going out to shooting ranges with his friend, and getting together to reload shells. O’Block also remembers the end of an early-morning patrol shift in 1973, when a routine traffic stop could have gone very badly, and Hallum arrived in the nick of time to help. The young O’Block was patrolling at about 3 a.m. when he spotted a car that seemed out of place. The drivers appeared suspicious, so he followed them as they drove out of town. He couldn’t make out the license plate at first, and when he radioed back, Hallum, who was also (800) 423-9737

Spring 2008 THE FORENSIC EXAMINER 13

Giving Back on duty at the time, told him over the radio not to stop the vehicles alone. Later, after O’Block got the license number, the dispatcher reported back that the NCIC system showed that the car was stolen. After following the cars for several miles, O’Block flashed his lights to pull them over. Before he could even put his patrol car in park, two thugs had bounded out of the car and headed for him. It could have been a deadly situation for a lone officer, but Hallum had arrived seconds after O’Block got the suspects stopped. Later they learned that the suspects were from the Kansas City, Missouri area, where they had previously been arrested for robbing a U.S. Post Office and assaulting a police officer. The suspect’s car contained $5,000 worth of stolen goods taken from a store in Pittsburg.

Time in Texas Hallum eventually moved to Texas to take a position with the Dallas Police Department. True to his personality, he won many friends during his time in the police academy. One fellow academy graduate recalled to the Dallas Morning News that Hallum quickly became a popular recruit at the academy, and he was elected vice president of his class.

“We have a special place in our hearts for Duane,” officer R. E. Dummer said of Hallum. After graduating in April of 1975, Hallum hit the streets of Dallas. It was a big change from Crawford County, and it took a different kind of work as an officer to maintain law and order in an urban setting. In August, Hallum was riding with one of the top training officers on the Dallas force. “He couldn’t have been with a better, more experienced officer,” O’Block recalls. The two spotted a white Cadillac in a gas station parking lot that matched the description of a stolen car being used by a man who had forced his former boss at gunpoint to withdraw cash from a Dallas bank. Inside the car was Clois Ray Carter, who had been described as paranoid and mentally disturbed. He was armed with a rifle also taken from his former employer. Carter had no intention of being taken quietly. He opened fire on the officers, wounding the training officer. Hallum emptied his revolver, wounding Carter, but as he was reloading Carter rushed at him and shot him in the head. The suspect calmly got back in his car and drove off, but he didn’t get far before he was halted by Dallas officers and FBI agents, and

he died in a storm of bullets. O’Block remembers hearing the news of his friend’s death. It was so surreal to him that it took three days to fully sink in. Hallum’s memorial drew more than a thousand Texas officers, and those who knew him best buried their faces in their hands and wept. O’Block said that traditionally in Kansas officers each contribute a $100 bill to the family of a fallen officer. The money was gathered into an envelope and passed to Hallum’s widow at the funeral.

In Memory of His Friend Dr. O’Block has become a Founding Member of the Greene County 100 Club in Springfield, Missouri, in honor of his friend. He wants to make promoting 100 Clubs the official charity for the ACFEI, and he encourages members to seek out and join 100 Clubs in their communities and to organize clubs in areas not served by the existing organizations. There is a need for many more clubs, as well as national support and coordination for the individual clubs. For the Houston 100 Club’s information on how to organize a 100 Club, go to the Examiner website, www.theforensicexaminer. com, and click on the link to this story.

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he Handbook of the Medical Consequences of Alcohol and Drug Abuse, Second Edition is the newly updated classic reference text that provides detailed and expanded information on the pharmacology, toxicology, and neuropsychological consequences of alcohol and drug abuse. Eight new chapters of crucial information have been added by leading experts. This valuable resource provides the detailed alcohol and drug information health professionals in all fields need to know. The Handbook of the Medical Consequences of Alcohol and Drug Abuse, Second Edition provides reviews of the cardiovascular, neurological, pulmonary, gastrointestinal, psychological, and hepatic effects of commonly abused drugs. It gives in-depth explanations of the mechanisms by which these psychoactive drugs exert their biobehavioral effects as well as current thinking about—and definitions of—abuse, dependence, and alcohol/drug use. Purchasing information: Hard cover, $149.95. Softcover $89.95. Approx. 644 pages. To order, call 1-800 HAWORTH. For author-signed copies, mail check or money order (only) payable to “Intoxikon International” to: Intoxikon International, 1006 Floral Vale; Yardley, PA 19067 USA

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"A comprehensive and detailed analysis and reference textbook for the physician, clinician, or expert interested in the use and consquences of use for the most commonly abused drugs today..." —Mark S. Gold, M.D. Distinguished Professor University of Florida College of Medicine

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Commentary

Officer Down: Characteristics of Cop Killings By Bruce Gross, PhD, JD, MBA, FACFEI, DABFE, DABPS, DABFM, DAPA

ccording to the most recent research data available from the Bureau of Justice Statistics, an average of 1.7 million non-fatal, violent victimizations occurred in the United States workplace every year between 1993 and 1999 (Duhart, 2001). This figure represents 18% of all violent crime during that period. Along with non-fatal violence, approximately 900 work-related homicides took place each year, with more than 80% being committed with firearms. White workers had a rate of victimization by workplace violence that was 25% higher than black workers and 59% higher than that suffered by all other races included in the study. In terms of risk-by-profession, law enforcement officers had the highest rate of victimization at 260.8 per 1,000, followed by corrections officers at 155.7 per 1,000 (see Table 1) (Bureau of Justice Statistics [BJS], 2001).

A Day on the Job On May 15, 1990, Carl Wayne Buntion was released on parole from a 15-year prison sentence for the sexual assault of a child (Texas Department of Criminal Justice [TDCJ], 2007; Buntion v. Dretke, 2006; Buntion v. State, 1995; People v. Buntion, 1991). At his release, Buntion was ordered to report to the Texas House in Houston by the end of the week. Failing to do so, he was immediately in direct violation of his parole. Six weeks after his release, Buntion had no stable residence, no job, was carrying a handgun, and was constantly in the company of John Earl Killingsworth (then, age 42), an excon who had an older-model Pontiac. On June 27, 1990, Buntion and Killingsworth had cashed in some scrap metal for less than $10. They used the money to buy beer, which they drank as they drove around Houston, looking for someone “easy” to rob. At approximately 7:45 p.m., the two stopped at a red light at the intersection of Airline and Lyerly, near the Houston Community College’s Northeast College campus and a strip mall. Also at the intersection was James Bruce Irby. Born in Houston on May 25, 1953, Irby joined the Houston Police Department in the fall of 1972, following in his grandfather’s footsteps. Ten years later, Irby was accepted into the Solo Motorcycle Detail, which was considered an “elite” assignment. On June 27, 1990, he was driving patrol, which brought him to Airline and Lyerly. When the light turned green, Killingsworth (who was driving) “burned rubber,” attracting the attention of Officer Irby. Noting several lighting violations, Irby pulled the Pontiac over, with both vehicles near the parking lot of the community college. (800) 423-9737

By the time Irby dismounted his motorcycle, Killingsworth had exited, meeting the officer at the rear driver’s side of his car. After talking briefly with Killingsworth, Irby walked up to the driver’s side door, where he leaned into the car and spoke to Buntion for a few moments. Returning to the rear of the car, Irby and Buntion continued talking peacefully. An officer who passed by in a patrol car received an “all okay” signal from Irby, indicating he needed no help with his routine traffic stop. According to witnesses, it was at this point that Buntion got out of the passenger side of the Pontiac. Officer Irby immediately motioned him back into the car. Instead, Buntion leaned into the car, where he retrieved a .357 Magnum revolver. Holding the gun in both hands, Buntion began walking calmly to the rear of the car, and when he was approximately five feet away from Officer Irby, Buntion shot him once in the forehead. With Irby lying face-down on the ground, Buntion shot him three more times in the back and head before fleeing on foot. As Buntion ran, two witnesses approached the scene. One, security guard Richard Castillo, picked up Officer Irby’s gun and held it on Killingsworth. The other, Elmore Breaux, used the radio on Irby’s motorcycle to call for help. The officer who had received the “all okay” from Irby returned to the scene and attempted mouthto-mouth resuscitation. As Buntion fled through the parking lot, he came upon two women in a car who witnessed the shooting. As Buntion approached the car (most likely with the intention to take the vehicle for his escape), the driver put the car in reverse. As she was driving away, Buntion began firing, wounding both females with bullets and/

s Officer James Bruce Irby

Spring 2008 THE FORENSIC EXAMINER 15

or fragments of shattered glass. Buntion then ran into a nearby delivery service business, where he took an employee’s car at gunpoint. Although the car initially started, it almost immediately died and, as Buntion was unable to restart it, he ran back into the delivery store as the employees inside ran out. An officer, who was nearby when the call to assist went out, drove by the scene and saw that Irby was being attended to. He also noticed a group of bystanders frantically motioning him to a nearby business. When the officer arrived at the storefront, for unknown reasons, Buntion essentially “gave up” with no more shots being fired.

By Carl Wayne Buntion He squealed like a pig caught under a gate This man about evil, corruption and hate For years he led me around by the nose So I came to expect a thorn with a rose I spent my days with the weed and the wine This man-made haze I could kick anytime And I told myself that, every day But that old devil sort’a had his own way My friends were few and far between But I didn’t care, you know what I mean? It was all about the business of staying high You pay for your ticket if you want to fly

At the End of the Day

I rode that horse through the man-made snow A speed-ball jockey with nowhere to go I didn’t care if I crashed and burned That’s the price you pay for the lesson you learn I went to prison, I went to jail I’ve OD’d often at the gates of hell But someone always brought me back I thought I was bullet-proof, and that’s a fact The years went by and my hair turned gray My body grew weak and my mind it strayed Sometimes I’d even forgot my own name Was it Satan, or was it I to blame? I found myself trading lead with a cop And he lay dead before I could stop It took one hour, they convicted me It was self-defense but they couldn’t see So I turned to the Father and the Holy Ghost My long ride was over, when I knew I was toast He comforts me in my final days  So remember this tale when you hear someone say, “Psssst, you want’a J?”

Officer Irby was taken to the hospital, where doctors pronounced him dead on arrival. The autopsy revealed that at least three of the four bullet wounds Irby had suffered would have been fatal on their own. A happily married father of two children (a son who was just under 2 years old, and a daughter who had just turned 1), Officer Irby was just 37 years old at the time of his death. After Buntion had surrendered to the police, Killingsworth consented to a search of his car, where officers found a container with traces of heroin in the trunk. Although he was not charged in relation to the shooting death of Officer Irby, Killingsworth was charged with possession. In early 1991, he was sentenced to 5 years in prison, but he was released in July 1992 under mandatory supervision. Buntion soon admitted that he shot Officer Irby, but he claimed it was in self-defense. According to Buntion (but contrary to witness reports), Irby was full of rage and shouting that he was going to kill Killingsworth and him for “spinning out.” Saying later that he was afraid that Irby would kill him, Buntion shot first. The following day Buntion was indicted for the capital murder of Officer Irby. Convicted on January 23, 1991, after less than an hour of deliberation, Buntion was sentenced to death by lethal injection. Received into the Texas Department of Criminal Justice on March 6, 1991, Buntion (now age 63) has been on death row ever since.

Killing a Cop This and several other of Buntion’s poems can be seen on his web page, http://www.deathrowspeaks.info/inmates/carlbuntion.html or http://ccadp.org/carlbuntion.htm.

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The Federal Bureau of Investigation (FBI) has conducted a series of three, year-long studies of fatal and non-fatal felonious assaults on law enforcement officers throughout the United States (Pinizzotto, 2006; FBI, 1996–2006). In the most recent study, from a pool of more than 800 incidents, the researchers conducted in-depth investigations of 40. Those 40 involved 50 officers and 43 perpetrators (13 of whom admitted gang

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affiliation/membership and involvement in drug trafficking). These investigations included interviewing survivors (officers and perpetrators), reviewing records, and visiting crime scenes. In terms of the general characteristics of felonious assaults on law enforcement officers, an analysis of the data revealed that the vast majority took place after dark, on alleys, streets, or highways. As might be expected, most assaults occurred after the officer had initiated contact with the “to-be” offender. In many of the incidents, more than one officer was present.

Victim-Officers Most of the victim-officers had had approximately 10 years of experience on the job and had made a conscious effort to improve the public’s perception of law enforcement. They were described by others as being laid back and easy going, which perhaps resulted in their “letting down their guard” too readily. Many of the victim-officers were apt to not follow procedures or departmental policy for traffic stops and arrests. Frequently they did not wait for back up to arrive before engaging the to-be offender. Victimofficers were confident in their ability to “read” people and control situations, yet they failed to see the assault coming. Perhaps because of their more “relaxed” approach, victim-officers were not as observant as they might have been regarding concealed weapons. Ironically, a number of the officers worked off-duty as security guards at nightclubs. Although they were described as doing a very good job at identifying those club-goers who were carrying weapons, when the officers were back on the job, it was as if they “turned off” that skill and were uniformly startled when a suspect pulled out a gun. According to the research, those offenders who ultimately assaulted or killed an officer often showed one or more signs of being armed that the victim-officer missed. These indicators included “unnatural” bulges at the waist, small of the back, or crotch; clothing that was inappropriate for the weather; moving without bending at the waist; and/or a stiff or “odd” gait. Another frequent indication was unconscious touching of the area where the gun was hidden, as if checking to be sure it had not slipped. Also, some of the offenders bladed their body, or turned sideways to the officer. Officers often assume this offensive posture to protect the core of their body. When a suspect blades, officers might presume the suspect is anticipating gunfire and immediately conduct a weapons search. In general, the FBI recommends that officers never assume a suspect is unarmed. Of note, male offenders consistently identified female officers, including female correctional officers, as doing a much (800) 423-9737

more thorough job of searching for weapons. Those victim-officers who survived assaults were known to be exceptionally determined persons who, in general, do not “give up” easily. Many continued to engage the offender even after being seriously injured. Surviving officers believed their injuries were less severe and/or they were saved because they were wearing soft body armor at the time. The majority of victim-officers had solid work histories with good performance evaluations. Supervisors and colleagues described them as hard workers. Most were physically fit, not fatigued at the time of the incident, and their attention and concentration were not impaired by preceding personal or professional events. Overall, the victim-officers had stable family lives. Virtually all were well liked, friendly by nature, and most were involved in community activities.

Suspect-Turned-Offender A little more than 95% of suspects who committed a felonious assault on a law enforcement officer were male. It should be noted that the number of female offenders has been increasing across the three FBI studies; that is, more females (and not just gang members/affiliates) are armed today than 20 years ago. Despite this, both male and female officers tended to regard female suspects as “less of a threat” and assumed they would not have a weapon. There was a near-even racial split between white and non-white suspect-offenders, and there was an average age of 26. As might be expected, most offenders came from dysfunctional families, with few-to-no positive adult role models or influences. Most were raised in impoverished, crime-ridden neighborhoods and had minimal pro-social opportunities. Poorly educated, most had had an unstable work history. A significant number of offenders were diagnosed with an antisocial personality disorder at some time in their life and had an overriding sense of entitlement. More than half of the offenders had criminal histories for which they had received some degree of punishment. The most common prior crimes included weapons violations, robbery, assault, and other violent crimes. While most of the offenders had histories of drug and alcohol use and abuse, only some were under the influence at the time of their assault on the law enforcement officer. Many, but by no means all, of the offenders had gang affiliations.

The Offenders and Their Weapon Virtually all of the weapons used to shoot/kill the victim-officers were illegally obtained (on

Table 1: Workplace violence by profession Occupation

Average Annual Rate per 1,000 Workers

Law enforcement officers Corrections officers Taxicab drivers Bartenders Mental health custodians Special education teachers Gas station attendants Mental health professionals Junior high school teachers Convenience store workers Bus drivers High school teachers Nurses Physicians All workers College teachers

260.8 155.7 128.3 81.6 69.0 68.4 68.3 68.2 54.2 53.9 38.2 38.1 21.9 16.2 12.6 1.6

About the Author

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 of Psychological Specialties. He has been an ACFEI member since 1996 and is a also a Diplomate of the American Psychotherapy Association.

Spring 2008 THE FORENSIC EXAMINER 17

the street or by theft) by the offenders. Only one offender picked a specific gun (because he thought it would inflict the injury) with all others basing their gun choice on availability. While the choice of firearm was random, the most frequently used gun in fatal and non-fatal shootings of law enforcement officers was a .38 caliber handgun. While offenders routinely carried one handgun, approximately 40% carried at least one backup. The most common place for offenders to carry their firearms was the front waistline, with the groin and small of the back being tied for second. Some of the offenders gave their primary (or backup) gun to someone else to carry, generally a girlfriend. None of the offenders used a holster and virtually all practiced pulling out their gun (from their preferred place of concealment) and aiming as if to fire. When the suspect-offenders were in cars (as either the driver or passenger), they generally kept their weapon readily available or, less often, under the car seat. When they were sleeping, most kept their gun hidden under their pillow, on the nightstand, or under the mattress, but within immediate reach from their position in bed. It was rare for the offenders to not carry their gun, doing so even when they were socializing. One-third of the offenders also carried their gun to work. Of note, the offenders in the most recent study more readily admitted to carrying a handgun than did the offenders from the previous two studies, conducted in the 1980s and 1990s.

Deadly Force Most of the offenders who shot an officer had prior experience firing handguns. They typically began carrying a gun when they were between 9 and 12 years old. By the time they were 17, the vast majority of them were carrying all of the time. Nearly half of the offenders were involved in shootings (as victim and/or offender) prior to their assault on an officer. Ten offenders (all of whom were considered “street combat veterans” and were from inner city, drug-trafficking neighborhoods) had been involved in five or more shootings. Of note, the offenders had more experience using deadly force on the street than did their victim-officers. Only 8 of 50 victim-officers had participated in a prior shooting (one officer had been involved in 2 prior incidents and another in 3), with 7 of those 8 having killed a perpetrator. Nearly 40% of the suspect-offenders had some type of formal training with firearms, primarily from the military. More than 80% of the offenders included in the study practiced shooting on a regular ba18 THE FORENSIC EXAMINER Spring 2008

sis, averaging 23 intentional practice sessions per year. It is significant to note that the offenders actually practiced with their firearms more than the victim-officers did. The officers averaged only 14 hours of sidearm training and 2.5 qualifications per year. Only 6 of the 50 victim-officers practiced regularly, beyond that required by their department; most of this was in the context of competitive shooting. In all but 3 cases the suspect-offenders fired first, catching the officers off guard. Approximately 60% described themselves as “instinctive shooters,” pointing and firing without consciously sighting. Despite the fact that they did not intentionally aim, the researchers found that the offenders shot with far greater accuracy than the officers did, hitting their target 70% of the time, as compared to the victim-officers’ 40%. The offenders’ greater accuracy may be due to their having had more practice/experience or because the offenders, having initiated the incident, were shooting offensively and the officers, defensively. Most of the offenders acknowledged they were prepared to shoot in order to avoid arrest, suggesting that on some level, the offenders made a deliberate decision to shoot the officer. With no concern for marksmanship, the offenders tended to shoot for effect, knowing that once injured or down, they could “execute” the officer if they so chose. As described by the researchers, the offenders were “surprisingly cold-blooded,” turning instantly to deadly violence. On the contrary, the victim-officers were unwilling to use deadly force as long as they thought they had another option. Thirty-six of the 50 officers had been in situations where “deadly force” would have been an appropriate and legitimate response, “but chose not to shoot.” On average, those 36 officers had been in four such prior incidents. Unlike the officers, the offenders acted from a “shoot or be shot” mentality, with absolutely no hesitation about pulling the trigger. They operated under the presumption that if they hesitated, they would be killed.

Motive to Kill Although no one knows with certainty why Carl Wayne Buntion shot and killed Officer James Irby, one theory is that Buntion’s actions were related to his brother. Buntion and his twin brother, Kenneth, were born on March 30, 1944, with their younger brother, Bobby Joe, born two years later. All three of the Buntion brothers were subjected to family violence, and all three had extensive criminal histories. In April 1971 Kenneth was running a forgery ring out of a second-floor apartment

in the Houston projects. Seeing Kenneth arrive after a 3-day surveillance, officers approached to execute a search warrant. Kenneth was not yet inside the apartment door, and when he saw the law enforcement officers crossing the parking lot he opened fire. Kenneth continued firing as he ran across the upstairs walkway. Although Kenneth was shot in the neck, he continued firing, with one of his bullets piercing one officer’s arm and continuing on to pierce the femoral artery of another. That officer, Allen Dale Dugger, would have bled to death at the scene had it not been for medical assistance provided by a bystander. Eventually, Kenneth was shot by two officers and killed. Both Carl and Bobby Joe were allowed to leave their respective prisons in shackles to attend their brother’s funeral. When he got back to prison, Carl reportedly threatened to escape and kill those officers involved in Kenneth’s death. Over the next 19 years, he allegedly spoke about his intentions with bravado. At some point, Officer Dugger confronted Carl about his threats, and Carl reportedly recanted and apologized. When he killed Officer Irby, Buntion may have been motivated by revenge. However, like most other suspect-offenders, he may simply have been trying to avoid arrest and a certain return to prison.

References Buntion v. Dretke. (2006). Memorandum and Order in Civil Action No. H-04-CV-1328. United States District Court for the Southern District of Texas, Houston Division. Buntion v. State, No. 71,238. (Tex. Crim. App. Oct. 12, 1995). Bureau of Justice Statistics (BJS). (2001). Law enforcement officers most at risk for workplace violence. Retrieved from http://www.ojp.usdoj.gov/bjs/pub/press/ vw99pr.htm Duhart, D. T. (2001). Violence in the workplace, 1993–1999. (NCJ 190076). U.S. Department of Justice, Office of Justice Programs, Bureau of Justice Statistics. Retrieved from http://www.ojp.usdoj.gov/bjs/ Federal Bureau of Investigation (FBI). (Multiple years: 1996–2006). Law enforcement officers killed and assaulted. Uniform Crime Reports. Retrieved from http://www. fbi.gov/ucr/ucr.htm#leoka People v. Buntion. (1991). Pinizzotto, A. J., Davis, E. F., & Miller, C. E. (2006). Violent encounters: A study of felonious assaults on our nation’s law enforcement officers. Washington, D.C.: United States Department of Justice, National Institute of Justice, Federal Bureau of Investigation, Criminal Justice Information Services Division, Bureau of Justice Assistance. Texas Department of Criminal Justice, Offenders on Death Row (TDCJ). (2007). Retrieved from http://www. tdcj.state.tx.us/stat/offendersondrow.htm

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Spring 2008 THE FORENSIC EXAMINER 19

CE Article: (CERTIFIED FORENSIC NURSES, CFN) 1 CE credit for this article

SANE Peer Review: What is it? Do we need it?

By Lisa Gorham, CFN, BSN, RNC, SANE-A, and Suzanne L. Brown, CFN,MSN, RN, SANE-A

Abstract Sexual Assault Nurse Examiner (SANE) programs are well established throughout the United States. To maintain competency and accurate documentation, a peer review system must be an established part of all SANE programs. Currently, there are no published articles on the peer review system for SANE programs, even though the National Guidelines for SANE practice note that peer review should be done. The peer review process should be a positive component of all SANE programs. Although some SANE nurses may feel intimidated by having their work reviewed and scrutinized, a well-formed peer review program should encourage the learning process. A well-documented peer review process can lead to better documentation and ultimately to better patient outcomes.

Key Words: Sexual Assault Nurse Examiner (SANE), peer review, competency

A good quality assessment program recognizes that effective peer review reducThis 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. (CFN) The American College of Forensic Examiners International provides this continuing education credit for Certified Forensic Nurses. (CABRN) The American College of Forensics Examiners International is approved by the California Board of Registered Nursing, Provider Number 13133 for 1 contact hour. After studying this article, participants should be better able to do the following: 1. Describe the peer review process. 2. Identify the reasons why a peer review should be done. 3. Identify resources in particular practice arenas that can validate the peer review process.

20 THE FORENSIC EXAMINER Spring 2008

es error, failure, and potential liability.”

exual Assault Nurse Examiner (SANE) programs have become established and well recognized in the areas of evaluating and treating patients reporting sexual assaults. According to the International Association of Forensic Nursing website, there are more than 2,500 SANE nurses nationally (www.forensicnurse.org, 2006). In order to maintain a reputation of competence and reliability, the SANE must adhere to his or her facility’s SANE program protocol. The SANE must also adhere to the nursing scope of practice of the state in which the program resides

and the educational requirements set by the International Association of Forensic Nurses (IAFN). In keeping with these guidelines, a SANE program should have a well-defined and consistent peer review process.

Literature Review Peer review has been defined in various dictionaries as “the concurrent or retrospective review by practicing physicians or other health professionals of the quality and efficiency of patient care practices or services ordered or performed by other physicians or other health professionals”

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Table 1: Sample Peer Review Report Patient's Sex Patient's Age: Summary of the History Allegation: Acute X Non-acute Conclusions:

Reviewed By: Comments:

Male X Female Case 2005.04.02.sb 3 Patient reported she was sitting in the living room on a couch on the lap of a 10year-old female. Patient reported the 10-year-old pulled the patient's panties to the side and touched her vaginal area. Occurence approximately 2 weeks ago. No acute or chronic injuries noted to the genitalia. Hymen annular in appearance, symmetrical, without evidence of penetrating trauma. Anus with good anal tone, without acute or chronic injuries.

X Normal Exam Non-specific Supportive of allegation SANE Director X Concur Medical Director X Concur Photographs entered here

Do not concur Do not concur

Inadequate photos Inadequate photos

s“Confidential: Prepared by FACT Center QA Committee to peer review cases. Privileged under VA Code ANN. 8.01-581.17.”

(Dictionary Barn, 2005); “scrutiny by one’s peers” (MedicineNet.com, 2006); and “an examination and evaluation of the performance of a professional or technician by a board or committee made up of people in the same occupation” (TheFreeDictionary.com, 2006). There is a plethora of articles on physician peer review, but there is minimal mention in the scientific literature of peer review specific to SANE practice. Davidson (2006) stated, “A good quality assessment program recognizes that effective peer review reduces error, failure, and potential liability. Such a system has a positive effect— as long as the provider has the ability to improve without fear of precipitous punitive action” (p. 1). Hancox and Lynch (2002) also describe peer review: “Clinical supervision is a formal process of consultation between two or more professionals. The focus is to provide support for the supervisee(s) in order to promote self-awareness, development, and growth within the context of their professional environment.” Dr. Adams (1999), a leader in child abuse evaluations, stated, “Today, registered nurses, in addition to physicians, nurse practitioners, and physician assistants, are being trained to do child sexual abuse examinations. There is a great need for standardization of this training, with some type of certification offered when the clinician has completed the training and documented continuing education and ongoing peer review of cases.” Adams continues by saying, “Maybe the time has finally come to work together to estab(800) 423-9737

lish standards of training, certification, designated referral centers in every state, and a system of peer review” (1999, p. 3). Though peer review is of the utmost importance for responsible SANE practice, only two literature sources mention the process. “As part of the forensic evaluation process, all cases should be reviewed by the team members to ensure consistency in the interpretation of the findings and as a continued learning experience. Feedback is also given regarding the written and photographic documentation of examinations” (Across the Life Span: A Clinical Guide, 2004, p. 45).

Rather than fearing peer review, SANE programs should embrace the process.”

Spring 2008 THE FORENSIC EXAMINER 21

The National Training Standards for Sexual Assault Examiners state: “Be familiar with quality assurance plans of the jurisdiction/ facility/examiner program and relevant jurisdictional regulations or interpretations related to SAFE documentation, such as peer review, meeting activities, attendants, incident reports, and supervision” (Department of Criminal Justice Services [DCJS], 2005, p. 16). Guidance concerning peer review still is not adequately addressed in the current literature. For purposes of this article, we have defined a SANE peer review as the review of the sexual assault report by an expert in the field of sexual assault that would include review of the photodocumentation.

Peer Review Process The most positive reason for doing peer review is for the educational benefit to the individual SANE and/or the entire team. SANEs typically function autonomously and may need an avenue to discuss difficult cases and to share and receive knowledge and experience. Most SANE programs contain a variety of nurses with varied backgrounds and levels of experience. When cases are peer reviewed, the entire team is in agreement with the outcomes and conclusions, and less experienced SANEs are brought up to the level of the entire program as a whole. Inclusion of a peer review process in the SANE program will result in the increased confidence of the judicial system, and the program’s accountability and credibility will soar. The second positive reason for peer review is that the program will become well-respected for its production of a non-biased and wellprepared report. The report generated is both an internal and external example of quality assurance. When cases are peer reviewed, the process of compiling and sending out a report may become extended. In the past, at Inova Fairfax Hospital in Virginia, the sexual assault report was written while the detective or law enforcement officer waited, which could have resulted in a report that contained errors or mistakes in the documentation. The report is now written after both the patient and law enforcement leave, a change that is conducive to less distraction, more time to think about word choices and descriptions of injury, and increased ability to check scientific resources, affording peer review by a more experienced practitioner. All of these positive effects will decrease errors and bolster confidence when presenting a document in court. Although mistakes are still possible, peer review decreases the num22 THE FORENSIC EXAMINER Spring 2008

ber of inaccurately documented records. Finally, peer reviewers have increased objectivity, which is pivotal to the process. The peer reviewer(s) did not witness and, therefore, cannot be subject to the affects of an emotional patient. The professional performing peer review only views the photographs and the documentation of the examining SANE, eliminating the “advocate” or “bias” role with which SANEs are so often labeled in court. Two changes made to the documentation at Inova Fairfax Hospital were replacing the word victim with patient, and exchanging the word assailant for suspect or reported assailant. This has decreased bias in the documentation. So our saying holds true, “100% of the people we see are patients, 100% of our patients are not victims.” The sole barrier to peer review to be considered is that, as medical professionals, there often exists a fear of judgment when discussing peer review. SANEs are compared negatively with their physician counterparts and are confronted with statements from attorneys, as well as fellow medical professionals, dismissive of both their education and experience. Peer review opens to scrutiny the SANE’s practice, and this can be intimidating. However, because it is a great way to share skills with others, a positive way to learn from the team, and a valuable way to increase experience, rather than fearing peer review, SANE programs should embrace the process.

Where to Start On the small budgets of SANE programs, finding and obtaining an experienced reviewer can seem impossible. Performing peer review will take more time, and protocols and procedures will have to be altered to accommodate a new standard of practice; further, there might be pressures from other disciplines to receive immediate results from an exam. While all of these are valid concerns, with dedication to a higher level of practice, they can be easily overcome. The question of who should peer review can be answered by referring to the Virginia Medical Forensic Task Force Report issued by the Department of Criminal Justice Services (DCJS). These unpublished guidelines, sent to attorneys for reference, state that a child abuse specialist who reviews the cases should be a physician or a nurse practitioner with sufficient subspecialty training in pediatric medicine, emergency medicine, family medicine, pediatric gynecology, or obstetrics and gynecology, who must either evaluate a minimum of 35 children per year who are suspected vic-

tims of physical abuse, sexual abuse, or neglect, or have cumulative clinical experience exceeding 150 such cases. They must also be able to demonstrate substantial experience in the specific subcategory of abuse about which he or she is consulting. This individual should be readily available to testify in court and demonstrate ongoing continuing education units in child-abuse related issues. He or she should demonstrate knowledge of current medical literature and must possess a minimum of the following criteria: • Hold a teaching or faculty position and/ or provide training on child-abuse related issues • Publish articles or research on childabuse topics • Hold committee membership in hospitals or professional organizations on child-abuse related issues • Be affiliated with a Center of Excellence In order for SANE programs to take accountability for their practices, it is essential to have an individual of this caliber reviewing cases. A SANE program can either look to the guidelines of the state in which it is established, or create its own. Although the above guidelines are written for child sexual abuse examinations, similar guidelines can and have been written and adopted for the adult/adolescent peer review system. Adams’ article discusses child abuse examinations, but many of the same points hold true for adult examinations. For example, Adams (1999) stated, “In this field, the stakes are too high and the outcome resulting from over-diagnosis is too extreme for the medical profession and child protection community to continue dragging their feet about establishing some type of credentialing system for examiners.” The IAFN has developed a national certification examination for the adult/adolescent sexual assault patient and is currently working on a certification examination for the pediatric practitioner. The American College of Forensic Examiners developed a certification including training and an examination for the Forensic Nurse. Addressing the needs of a peer review system is the second step in Adams’ article.

Procedure A SANE program should have an actual policy or procedure outlining the peer review process for the program. For example, at Inova Fairfax Hospital/Inova Fairfax Hospital for Children, 100% of the cases are peer reviewed. The first step is for the entire report to be reviewed by the SANE coordinator/director, whose responsibility it is to check for an accurate description of in-

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juries, and this documentation is checked against the photographs taken. Photographs are checked for clarity and visibility of documented injury. Documentation must be clear and understandable, not just to the examining SANE, but to a thirdparty review. Any variances are addressed with the examining SANE, after which a final report is created and submitted to law enforcement. The second person to do a peer review is the medical director of the program. Again, 100% of the cases are peer reviewed. The medical director receives a peer review sheet that contains the circumstances of the reported assault, the age and gender of the patient, and a set of photographs of the examination (See Table 1). The medical director reviews the case, makes any comments, and returns it to the SANE coordinator/director. Unusual or difficult cases are reviewed at staff meetings. The examining SANE receives the peer review sheet containing the documentation of the circumstances of the assault, photographs, and suggestions. All peer review sheets are confidential and do not contain any identifying patient information. Most QA/QI (Quality Assurance/Quality Improvement) forms are hospital-protected documents. For example, in Virginia, the footer of all peer review sheets contains: “Confidential: Prepared by FACT Center QA Committee to peer review cases. Privileged under VA Code ANN. 8.01-581.17.”

Next Steps Initiating a peer review process can be a daunting task, but the value of implementing it far outweighs the difficulties. Ultimately, this process will assist in the development of higher quality SANE nurses who care for this very specific patient population. Begin the journey by identifying the skills, knowledge, and abilities of the nurses in the program to assess skill gaps in staff performance and to provide baseline data so that actual performance improvement can be documented as the peer review process ensues. To embark on a peer review plan, decide who will coordinate the process and who will be involved. Evaluate available internal resources to accomplish the review, and if there are insufficient internal resources, or the total number of cases is low, consider what external resources can be utilized to accomplish the goal of a 100% peer-review process. From there, emphasize a non-punitive environment, and stress the ongoing skill development of the nurse examiners. Following review, talk with staff concerning their experience with the process to find out what would make it more effective, and request suggestions for future reviews. After this evaluation, make needed adjustments, continually assessing successes along with the areas that need improvement. (800) 423-9737

The first step for a SANE program that does not have a peer review process is to find an expert. Then change policies and procedures to accommodate the new level of practice to include peer review, remembering that the positives of an enhanced standard of practice outweigh the negatives. Educate the staff, police, CPS, and other agencies involved in the new endeavor to raise the level of accountability. Change is difficult, but the lives of patients, suspects, and their families, as well as the practice of forensic nursing depend upon a commitment to a higher level of accountability. Returning a guilty perpetrator to a home or imprisoning someone under false evidence is serious business, and, unfortunately, the practice of forensic nursing may wield that power. Such responsibility should encourage SANEs to produce accurate, reliable reports based on science and peer reviewed by qualified medical professionals. The ultimate reason for peer review is to improve patient outcomes, and by improving the assessment and documentation of a sexual assault examination, better outcomes for the patient are achieved, whatever the legal or medical follow-up.

Bibliography Adams, J. A. (1999). Medical evaluations of suspected child sexual abuse. Archives of Pediatrics & Adolescent Medicine, 153(11), 1121–1122. Davidson, J. (2002). Take a positive approach to peer review. American Academy of Physician Assistants. Retrieved July 16, 2006, from http://www.aapa.org/gandp/peer. html DictionaryBarn.com. (2006). Retrieved August 26, 2006, from http://www.medterms.com/script/main/art. asp?articlekey=4820 FreeDictionary.com. (n.d.). Retrieved August 26, 2006, from http://legal-dictionary.thefreedictionary. com/peer+review Hancox, K., Lynch, L., Happell, B., & Biondo, S. (2004, September). An evaluation of an educational program for clinical supervision. International Journal of Mental Health Nursing, 13(3), 198–203. U. S. Department of Justice, Office on Violence Against Women. (2006, June). National training standards for sexual assault medical forensic examiners. NCJ213827. Retrieved from http://www.ncjrs.gov/pdffiles1/ovw/ 213827.pdf

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”).

About the Authors Suzanne L. Brown has been a Registered Nurse since 1980. From 1981 until 1996, she worked at Inova Fairfax Hospital in the Emergency Department. In 1991, she became the coordinator and founder of the Sexual Assault Nurse Examiner (SANE) program to provide forensic examinations of adult sexual assault victims in Fairfax County. This was the first SANE program in the state of Virginia. In 1993, she expanded the program to all Northern Virginia jurisdictions and included the pediatric sexual abuse population and examinations of alleged suspects of crimes. Brown is a founding member of the International Association of Forensic Nurses (IAFN) and the Virginia Chapter of IAFN. She is also a member of the ACFEI and is a Certified Forensic Nurse (CFN). She has assisted in developing SANE programs throughout Virginia; Georgia; Pennsylvania; Washington, D.C.; Maryland; West Virginia; Idaho; and the U.S. Virgin Islands, and she has provided training throughout the United States. Lisa Gorham has been a Registered Nurse since 1996. She graduated from Northern Virginia Community College with an Associate Degree in Nursing and then attended Old Dominion University where she completed her BSN. Gorham completed SANE training in 2002 at Inova Fairfax Hospital in Virginia and has been working with that program since. She has worked for SANE programs in the state of Maryland as well, and in various areas of nursing such as long-term care, mental health, research, and pediatrics. She keeps current certifications as a SANE-A and in mental health nursing. She is a CFN. Currently, Gorham guest lectures forensic biology students at George Washington University.

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Books by ACFEI Members

The Science of Cold Case Files® By Katherine Ramsland, PhD

Many who are interested in the field of forensics are familiar with Cold Case Files®, an A&E documentary-style television series. The series examines longstanding unsolved cases, relying on investigators willing to go above and beyond to seek justice for the victim. In her book, The Science of Cold Case Files®, Katherine Ramsland investigates many of the stories behind some of the televised cases and delves deeper into the methods used in forensic detection. Included are blood spatter and handwriting analysis, facial reconstruction, informatics and odor detectors, fingerprints and K-9 detectives, and state-of-the-art DNA technology. Each chapter provides several case studies and links them together with a common thread. The cases range from the very old to more recent mysteries, and the resolution of each brings the reader to believe more strongly in the power of forensic science to make a difference in the criminal world. The book looks not only at the methods, but also at the individual problems that each unique case brings to the table. Ramsland’s book offers something for everyone fascinated by this exciting field. A gripping read, it provides a chilling look at real-life criminal investigations. Katherine Ramsland, PhD, has published 30 books. Currently, she teaches forensic psychology at DeSales University in Pennsylvania and consults on criminal investigations. She has been a member of the ACFEI since 1999.

Veterinary Forensics: Animal Cruelty Investigations By Melinda D. Merck, DVM

To date, little has been written on the subject of veterinary forensics. In her book, Veterinary Forensics: Animal Cruelty Investigations, Melinda D. Merck aims to remedy the information shortage as she provides a reference for veterinarians, pathologists, students, animal cruelty investigators, and prosecutors. Veterinary forensics, which refers to the application of veterinary medical knowledge to matters of law, is a growing field much needed because of the increased attention to animal cruelty worldwide. Veterinary Forensics provides the background and resources needed to address animal cruelty cases. It offers chapters on the legal system, crime scene investigation, the animal as evidence, special considerations in animal cruelty cases, patterns of non-accidental injury, sexual assault, animal fighting, and time of death. The book 24 THE FORENSIC EXAMINER Spring 2008

also contains several resources in the appendix section: worksheets, evidence logs, report-writing forms, entomology collection forms, forensic kits, and several other helpful items. Primarily focused on dogs and cats, the principles and techniques can easily be applied to other animals as well. Through Veterinary Forensics, Merck attempts to equip veterinarians with the forensic knowledge to handle such animal abuse cases. More importantly, it offers guidance on handling evidence and conducting evaluations that will hold up in court. The book is well organized and acts as a quick and convenient reference for those needing to assist in animal cruelty cases. Melinda D. Merck, DVM, is a Forensic Veterinarian with the ASPCA. She received her veterinary medicine degree in 1988 and ran a private practice from 1990 to 2007, selling the practice after receiving a full-time appointment to the ASPCA’s Anticruelty Initiatives. She has been a member of the ACFEI since 2005.

Inside Forensic Science: Forensic Pharmacology

By Beth E. Zedeck, MSW, RN, MSN, and Morris S. Zedeck, PhD The Inside Forensic Science series explores a large quantity of subjects within the forensics realm. Each book takes an in-depth look at one area of forensics. The series boasts readable text and full-color graphics. Sidebars, references, a glossary, and index assist in further research. As part of the Inside Forensic Science series, Forensic Pharmacology looks at one aspect of forensic science: forensic pharmacology and toxicology of drugs of abuse. The reader is introduced to the daily work of the scientists, the principles of pharmacology and toxicology, the technical analysis of drugs, and the characteristics of eight major categories of drugs of abuse. It provides information on prescription drugs, illegal drugs, inhalants, and others, and it details the effects of each drug. The book also provides case studies and statistics of individuals involving forensic pharmacology and drug abuse. The concluding chapter gives readers a chance to test their own knowledge of drugs of abuse and of the procedures used to solve cases. Answers and explanations are provided for the three hypothetical scenarios. Colorful and informative, this text is a handy reference source for people of all ages interested in the solving of drug-related crimes. Morris S. Zedeck, PhD, received a degree in pharmacy from the Brooklyn College of

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Pharmacy, Long Island University; a PhD in pharmacology from the University of Michigan; and an MBA from Bernard M. Baruch College, City University of New York. He is a Fellow of the ACFEI and has been a member since 1994. Beth E. Zedeck, MSW, RN, MSN, received a BA in psychology and an MSW degree in social work with a specialization in alcohol and substance abuse.

The Myth of the Out of Character Crime By Stanton E. Samenow

Nothing, it would seem, could push an otherwise stable and respected human being ‘over the edge’ into the criminal world. What provokes an individual to make this abrupt jump? In his book, The Myth of the Out of Character Crime, Stanton E. Samenow answers this question and others as he recounts his many observations interviewing and treating this sort of offender. The case studies Samenow offers in the text follow years of firsthand experience that involved everyday people committing unthinkable crimes. He examines the ordinary clues that may possibly help uncover these criminals, revealing is-

CMI W : NO ABLE AIL E AV ONLINION S VER

sues such as finances, marital conflict, job history, sexual history, alcohol abuse, interests and hobbies, reading preferences, ambitions and goals, and reactions to frustrations, all of which can help to predict whether a person is capable of committing a crime. Samenow concludes the book by asserting that there is no such thing as an out-of-character crime. The crime itself is only a manifestation of that which is there already, lurking beneath the surface. By studying the characteristics of these individuals, Samenow suggests we can identify these individuals before it is too late. Stanton E. Samenow is a forensic psychologist and the author of Inside the Criminal Mind, Straight Talk about Criminals, and a three-volume set on criminal personality. He has been a longtime member of the ACFEI.

Have a book you would like reviewed? Mail it to: Editor; The Forensic Examiner; 2750 E. Sunshine St.; Springfield, MO 65804. Be sure to include a press release.

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FREE CE CREDITS! The American College of Forensic Examiners is now offering FREE CE credits to all members in good standing. To receive free credits, simply read an Examiner CE article and take the online examination. Only online exams qualify for this free offer. Spring 2008 THE FORENSIC EXAMINER 25

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

The Arrogant Chameleons: Exposing Fraud-Detection Homicide

By Frank S. Perri, JD, MBA, CPA, and Terrance G. Lichtenwald, PhD

Abstract This study is the second in a series devoted to understanding red-collar criminals. The first study, “Fraud Detection Homicide: A Proposed FBI Criminal Classification” (Perri & Lichtenwald, 2007) advanced the proposition that there is a sub-group of white-collar criminals who are capable of vicious and brutal violence against individuals whom they believe have detected their white-collar crimes. The sub-group is referred to as red-collar criminals. This study examines why red-collar criminals are not capable of committing violence against their victims without exposing both their white-collar crime and the violent crime. The descriptive data suggests that the evidence trail left by the red-collar criminal both illustrates the red-collar criminal’s failure in avoiding detection and reveals his or her motive for the murder. Further, the findings related to red-collar criminals correlate with the behavioral traits of psychopathy. The authors analyze the law enforcement interrogation of Christopher Porco and offer suggestions as to how investigators should approach interviews with psychopathic defendants. The transcript is a critical tableau demonstrating that traditional methods of interrogation may not suffice when it comes to the interrogatation of red collar criminals and that an alternative approach may be required.

Key Words: red-collar crime(s), white-collar crime(s), fraud, motive, detection, homicide, murder, psychopath, chameleon, Perri’s Red-Collar Matrix, interrogation, interview

This article is approved 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. After studying this article, participants should be better able to do the following: 1. Understand the psychological characteristics of red-collar criminals. 2. Assist law enforcement and attorneys in their interviews and investigations as to possible murder suspects. 3. Consider forensic accountants and fraud examiners as members of a homicide investigation team to uncover a motive to commit murder.

26 THE FORENSIC EXAMINER Spring 2008

he story of Timothy Wicks is a story of friendship, betrayal, and murder. His friend, Dennis Gaede, worked various jobs—including tax preparer. While preparing Timothy Wicks’ taxes, using information Wicks had disclosed for his return, Gaede fraudulently obtained Wicks’ identity. With this information, Gaede left his home in Milwaukee and moved to North Dakota with his wife, Diana Fruge, and his new identity—representing himself as Timothy Wicks in the hopes of avoiding a felony sentencing in Wisconsin. Gaede stayed in contact with the real Timothy Wicks, and shortly after moving to North Dakota, Wicks contacted Gaede and confided in him that someone was fraudulently using his identity and committing credit card fraud. As fraud detection closed in, threatening to expose Gaede’s new identify, Gaede lured Wicks to North Dakota from Wisconsin with the promise that they could play

together in a band. While Wicks was staying with Gaede and Fruge, in their home, Gaede shot Wicks. Fruge later testified that after Gaede shot Wicks, he suffocated Wicks, who was still breathing, by putting a garbage bag over his head (Barton, 2006). Subsequently they decapitated Wicks and cut off his hands to prevent identification of the body. Then Gaede and his wife dumped the naked body over the side of a bridge in Michigan, and they dumped the victim’s head, which was later discovered, in a river in Wisconsin. After the murder, they emptied out Wicks’s bank account and used the $17,000 to buy a vehicle. However, Wicks was eventually identified through dental records. Shortly after the murder, Gaede stopped showing up for work and his employer discovered money missing from the business where Gaede worked as bookkeeper and office manager.

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Spring 2008 THE FORENSIC EXAMINER 27

When the employer confronted him about the fraud, Gaede failed to give an explanation for the financial anomalies. The employer contacted the authorities about his bookkeeper, referring to him as Timothy Wicks, and was informed by police that the real Timothy Wicks was dead. Eventually, Gaede was found guilty of murder and the prosecution argued that the fraud detection initiated by Wicks himself had been the motive for Gaede to kill him (Barton, 2007). A unique aspect of this study is that it builds upon findings drawn from homicide cases where white-collar criminals became violent and turned into red-collar criminals when their victims detected their fraudulent behavior. In a previous study of fraud-detection homicide, Perri and Lichtenwald (2007) examined the available data from 27 criminal cases, organizing the data into a matrix referred to as Perri’s Red-Collar Matrix (the Perri-RCM). Here, the authors analyze case-specific murder evidence derived from the previous study for identifiable psychological traits or behavioral tendencies typical of identified red-collar criminals. The hypothesis is that identification of psychological traits and/or tendencies of red-collar criminals might be beneficial in proposing an explanation of how red-collar criminals, who have engaged primarily in white-collar crime, come to believe they are able to successfully engage in murder and escape detection. Further, if there is a set of behavioral tendencies, then awareness of that set might be of benefit to forensic examiners during their interviews and investigations of future red-collar crimes.

The Arrogant Chameleon Syndrome: A Behavioral Profile A chameleon is a reptile that has the ability to change color to match its surroundings in order to avoid detection. White-collar criminals thrive on being able to avoid detection in order to carry out their fraud schemes; they have the ability, like a chameleon, to adapt to a given environment. What happens, then, when white-collar criminals attempt to become violent criminals? Do they have the ability, like the chameleon, to change their complexion to avoid detection? Or do they fail—exposing their true colors because their white-collar criminal skill set is inadequate when applied to violent criminal acts? The murder case data reveals certain behavioral traits that explain why red-collar criminals think their white-collar crime skill set can be duplicated as violent criminals. The behavioral 28 THE FORENSIC EXAMINER Spring 2008

traits are the effect of their psychopathic characteristics (Perri & Lichtenwald, 2007). Although psychopaths try to “blend in,” the deficits in their psychopathic natures, i.e., grandiosity, poor impulsive controls, etc., hinder their ability to accurately foresee the consequences of their behavior. Psychopaths have difficulty projecting into the future, which is to say they have trouble understanding how their actions play out in (real) life, and they also have deficits in reflecting upon their past; “[t]hey are prisoners of the present” (Meloy, 2000). The red-collar criminal’s inability 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 (Meloy, 2000). The descriptive data is consistent with Dr. Hare’s conclusion that because of these deficits, the red-collar criminal’s self-perceived reality is distorted (Hare, 1993). Put another way, as Edelgard Wulfert, forensic psychologist and professor at the University of New York at Albany, stated, “A psychopath invents reality to conform to his needs” (Grondahl, 2006). The red-collar criminal’s grandiose belief that having committed murder, he or she will somehow avoid detection is proven false. In fact, the data reflects the exact opposite. The egocentrism characteristic of these chameleons produces an overconfident view of their ability to avoid detection, thus they do not bother to conceal incriminating evidence.

Robert Petrick Case Janine Sutphen underestimated her husband; Robert Petrick was, in fact, capable of harming her financially, emotionally, and physically. After Sutphen became aware of Petrick’s fraudulent schemes affecting her bank accounts, Petrick began to plan her murder. According to the prosecution, Petrick killed his wife after she’d detected his fraud schemes and subsequently reported her missing as a way to divert attention away from him (Lewis, 2005). Janine Sutphen was found near her home, wrapped in a tarp, sleeping bag, blankets, and chains, and floating in Raleigh’s Falls Lake. She’d died of asphyxiation. The prosecution offered evidence of a murder plan recovered from the defendant’s computer searches. The defendant had searched under “22 ways to kill a man with your bare hands,” and other Google searches included the words “neck,” “snap,” and “break” (Jones, 2005). It is interesting to note that the defendant was, allegedly, a computer consultant who should have known that searches are saved and retrievable. Petrick’s response to the prosecution’s use

of this evidence was that his wife had martial arts training, and she could have been searching the Internet. There were other searches regarding the water level in the lake where Sutphen’s body was found, and he appeared to have no good explanations for those searches. Nor did he appear to have any credible reasons for Google searches on the topic of “body decomposition,” “rigor mortis,” and other websites that explain how the human body deteriorates (Lewis, 2005c). According to detectives, the Google searches occurred several weeks before Petrick reported his wife missing and one day after she was last seen by witnesses. Moreover, a cadaver dog detected smells of human remains in both the bedroom and the trunk of the defendant’s car. Of further ominous inference, the defendant ordered a stun gun prior to his wife’s disappearance. During the period of time that his wife was allegedly missing, one witness, a man befriended by Petrick, recalled that when asked about his wife, Petrick appeared upset and indicated that she died of cancer (Lewis, 2005a). Petrick fooled people with outward signs of emotions learned by watching others, and apeing how they behaved, emotionally, in a given set of circumstances (Meloy, 2000). The prosecution found another woman known to Petrick who claimed that he had fraudulently emptied her bank accounts in order to buy computer equipment. Another female witness testified that she and Robert had been going through pre-marital counseling and had set a wedding date—even before he’d killed his wife (Lewis, 2005b). Mary Grigolia, a minister at the Eno River Unitarian Universalist Fellowship Church in Durham, North Carolina, testified that while visiting Petrick in jail, he was told that the police were searching a small lake near his home for Sutphen’s body. She says he stated with “great disdain and arrogance, ‘they’ll never find her’” (Lewis, 2005c). Although Petrick was charged with (and found guilty of ) murder, he’d decided to represent himself.

Irwin Margolies Case Irwin Margolies, head of now bankrupt Candor Diamond Company, was found guilty of murder for the deaths of his controller, Margaret Barbera, and her co-worker Jenny Chin, by murder for hire. Chin’s body was never found, though she was presumed murdered. According to Barbera, Margolies generated fictitious invoices to create the appearance of revenue in order to get advance payments on bills from a financing company (Raab, 1982b). According to the reports, fraud proceeds were laundered to foreign countries, and the amount

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of embezzlement was estimated at $6 million (Raab, 1982a). Barbera had pleaded guilty to fraud and had agreed to testify in a fraud inquiry involving the diamond company. According to the prosecutor, Margolies conceived the scheme to have Barbera and Chin killed in order to “silence witnesses”(Raab, 1983a). Margolies wanted Barbera killed first because she had the records that verified the fraud he’d committed, though according to witnesses, Margolies wanted to “get rid of two people” (Chambers, 1984b). Margolies’s attorney, Henry Oestricher, received prosecutorial immunity when he agreed to testify against his client; according to Oestricher, Margolies ordered the murders of Barbera and Chin, adding that he had helped Margolies hire the “hit man,” Donald Nash, whom Margolies had paid $2,000 to kill Barbera (Chambers, 1984a). Prior to the murder, Nash stalked the federal witness for 4 months learning her routine. Barbera’s brother indicated that she had been terrified for her safety the last 3 months of her life. Barbera was abducted, and three civilians who attempted to come to her aid were killed. Barbera was found dead in an alley in lower Manhattan with bullet wounds to the back of her head. Fortunately, Nash left behind an extraordinary amount of forensic evidence, including, but not limited to, DNA, as a result of blood retrieval, ballistic tests, telephone records, shell casings, tire tracks, license plates, and other incriminating evidence that led to his murder conviction (Raab, 1983b).

Exposing the Red-Collar Psychopath The Hare Psychopathic Checklist is an essential tool for an interviewer, not only in the investigation of white-collar crimes, but also of red-collar crimes. Investigators exposed to Hare’s findings can focus on both the tangible aspects of murder investigations and the intangible qualities of psychopathic behavior that may surface during an interview, the detection of which will require a trained eye. An interviewer familiar with the traits can ask questions, evaluate answers, and observe behavior to determine whether the interview should be shaped to accommodate a psychopathic mindset. The interviewer must be cognizant of the fact that the red-collar criminal is investing mental energy in understanding what the investigator represents. One’s ability to interpret psychopathic behavior is increased if the interviewer is not seen as a threat to the red-collar criminal. During the first interview, an interviewer may not have the time to explore these psychopathic traits: a) the need for stimulation, b) shallow affect, c) callousness, d) poor behavioral controls, e) early behavioral prob(800) 423-9737

lems, and f ) juvenile delinquency; therefore, the authors recommend the use of an Identification Grid as a tool for assessing whether the interviewer is in the presence of a psychopath by revealing those traits that are probably most crucial.

Interviewing the Chameleon Among the most devastating pieces of evidence that defendants can reveal about themselves are statements made to law enforcement or third parties. Obtaining a statement is critical because the defendant may reveal his or her motives, state of mind, “facts” inconsistent with the physical evidence, and other implausibilities. In the majority of the American murders, the defendants gave statements that are incriminating, implausible, and inconsistent, or some combination thereof. Although the strength of the psychopath is his or her ability to talk and appear charming in order to exert manipulative behavior, this strength is also a weakness in the investigation of a murder. The “chameleonesque” red-collar criminals believe because of their embellished views of their own manipulative abilities that they are capable of creating factual scenarios that others will accept. The fact that they are talking to a trained investigator does not diminish the psychopath’s self deceit, and they may enjoy the interview and attempt to be charming. However, red-collar criminals begin to lose their ability to blend in and avoid detection when the evidence begins to point to them as the murderer. The fact that red-collar criminals will not be truthful is not as important as getting these “chameleons” to talk. However, interviewers must be aware that interviewing the psychopath may prove to be challenging if the interview is not advanced with the goal of eliciting inconsistent, implausible information as opposed to getting the “chameleon” to speak the truth. As one interviewing expert stated, “When dealing with the pathological interviewee, give him the facts and details that will refute his assertions, but don’t expect him to acquiesce or recant previous statements. . . . Confronting the pathological person with facts and details that are contrary to his assertions is like nailing Jell-o to a wall” (Rabon, 2006). Furthermore, even if the suspect is confronted with evidence that contradicts his assertions, do not expect the pathological suspect to display anxiety or emotional discomfort. Such outward displays of emotion that a non-psychopath would exhibit if confronted with incriminating evidence is not characteristic of psychopaths (Hare, 1993). Yet, by getting the psychopath to talk, a trail of statements that make no sense will come forth and produce a powerful image of deception and lack of credibility at trial.

Exposing the Psychopathic Trait Identification Superficial Charm Assess the suspect’s interpersonal style. He may be friendly and straightforward, with very little useful information. He may give the impression that he is answering a question, when in fact he says nothing. He may appear at ease, showing few, if any signs of anxiety, embarrassment, or discomfort. Lack of Remorse Look for evidence of past remorse in situations that may not be connected to the reasons for the present interview. Ask questions about past relationships. Assess whether there is any capacity for remorse, concern about how others are impacted by his behavior, and whether such impact is of relevance to him. The interviewer must be careful to distinguish between whether the suspect is simply stating what should be said or whether his actions back up his statements. Pathological Lying Assess whether the suspect continues to lie even after confronted with the truth. The interviewer will find it remarkable that even after the suspect has been caught in a lie, the truth seldom appears to embarrass the suspect. He simply goes on to another lie or attempts to shape a lie as consistent with the truth. Manipulation Look for signs of fraudulent behavior, both financial and non-financial. In addition, look for signs of taking advantage of family members, organizations, impersonations, and identity theft. Irresponsibility Assess whether the suspect has little or no sense of duty or loyalty to family or friends, displays behavior that puts others at risk, fails to maintain promises and obligations, fails to take to responsibility for his or her own actions, blames others or the system for their misfortunes, and feeds on others to support his needs. Grandiosity Attempt to explore his self-perception and self-image. He may appear self-assured and cocky during an interview. His inflated ego and exaggerated regard for his own abilities are remarkable. Impulsivity Ask the individual whether he or she generally thinks before acting, and ask him to describe the circumstances leading up to an offense. Attempt to elicit his views on planning and spontaneity. This trait is extremely important in observing impulsivity in crimes and is one of the reasons that redcollar criminals are not apt to successfully conceal their crimes.

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The Christopher Porco Case One case that exemplifies this point is the Christopher Porco homicide. In this case, the defendant, Christopher Porco, used a fireman’s ax to cleave his father to death while he was sleeping. The son murdered his father, who had both discovered his son’s fraudulent behavior and had confronted his son. He attempted to murder his mother who had been sleeping next to her husband as well, but she lived. The police interrogated Christopher Porco in an attempt to elicit the truth; yet, during the 6-hour interrogation, he showed no emotion, never flinched, and never confessed to the murder. The inconsistencies elicited were important, but the interviewers never properly exploited them. There were warning signs of Christopher Porco’s psychopathic qualities: He’d left a trail of deceitful behavior, he’d fraudulently obtained loans using his parents as co-signers without their knowledge, and there were several email correspondences between Porco and his parents demonstrative of the tension between the parties. His parents eventually confronted him concerning 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 I am going to tell them I’m not to be on it as co-signer.” Amazingly, the next day, Citibank notified 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.”

Behavioral Assessment “Christopher Porco fits the profile of a psychopath” (Grondahl, 2006). Several Albany, New York, area psychologists and mental health professionals familiar with the case focused on Porco’s continued pattern of lying and deceit and stated that Porco’s behavior was consistent with that of a psychopath (Grondahl). Furthermore, these professionals pointed to his pattern of grandiose perceptions of himself as a member of a wealthy and influential family. 30 THE FORENSIC EXAMINER Spring 2008

Porco was known to have lied to friends and acquaintances about a fictitious inheritance worth millions of dollars from his grandmother. Even his father was reported to have told a coworker that his youngest son was a sociopath (Lyons, 2006c). Having made bail, and out of police custody, many people found Christopher Porco’s behavior strange given the gravity of the murder charges against him. While awaiting trial, he was found to be arrogant, drinking in bars, attending concerts, going out to entertainment establishments, and driving around the yellow Jeep that witnesses state was used to drive to his parent’s home on the night of the murder. This behavior fits the traits of a psychopathic individual in need of grandiosity and embellishment (Grondahl, 2006). Forensic psychologist Wulfert stated: “There’s an overlap between psychopathic and narcissistic tendencies. . . . He [Porco] believes that the rules do not apply to him, and he has a need to show off in front of people” (Grondahl, 2006). It is interesting to note that during an interview with CBS, in response to a question about visiting his mother at the hospital, Porco stated: “I saw her—she was swollen and covered in tubes, and my reaction was, I burst into tears. I fell on the floor right there” (Bell, 2007). Yet, the former youth minister, Joseph Catalano, who had gone to the hospital to be with Porco claimed to be “struck by Christopher’s odd behavior, because he did not seem to exhibit any grief ” (Bell). The psychopath’s use of the “chameleon strategy” is not surprising in that he or she will attempt to read a situation and determine the appropriate or expected emotional response to appear to be properly sympathetic to others (Perri & Lichtenwald, 2007). When Porco was interviewed by the police one day after the homicide, he showed no emotion at all, which is remarkable given that the interview was more than 4 hours long. It is fortunate someone was present to observe his true behavioral response.

The Interview and Interrogation of Porco The Porco case is an important illustration of how not to conduct an interview when the suspect is a red-collar criminal. Although there were aspects of the interview that proved useful, the investigator’s approach did not match the interviewee’s psychological makeup. Too often, violent crimes investigators attempt to overwhelm the suspect by playing into his or her emotional mindset. This approach is extremely effective, especially with a non-psychopathic suspect. It is not transferable to a true red-collar criminal.

Throughout the interview, the investigators elicited testimony that, to a trained interviewer, would have revealed psychopathic traits. For example, during the interview, Porco admitted that he was impulsive, irresponsible, a liar, had an inflated view of himself, engaged in grandiosity, and enjoyed impressing others with fictitious facts. Most important was the lack of any exhibition of emotional affect. Many non-psychopathic murder defendants break down emotionally because of a need to bare their souls, crying, shaking, and displaying other kinetic attributes expected of someone thrust into such a scenario. Yet, this was not the case. Assuming that it was not to late to do so, once the interviewers suspected that their suspect had strong characteristics of a psychopath, their strategy should have reflected a non-confrontational approach. One observes the interviewers attempting to turn “up the heat” on Porco with a barrage of questions aimed to break him down emotionally so that he will confess to the murder. Though the questions and answers outlined here do not reflect the order in which they were asked, they illustrate how the investigator’s strategy was not as efficient as it could have been. Investigator: Listen to me. It’s not—it’s not—it’s a crime of passion, okay? Like an emotional thing. You know, that’s what it is. Porco: That’s not the (inaudible one word)— Investigator: An emotional flare up or something, you know, maybe. That’s what I’m looking for. Give me something to grasp here. Let me get through the night. Porco: Nothing happened. Investigator: And you understand what I’ve been telling you, that this is not a robbery. This is a crime of emotions. Porco: I know what you are telling me. I—I don’t know. I have absolutely no idea. Investigator: I mean, like I told you, in my estimation, that situation, the way I’m seeing it, was something that happened out of a passionate moment. Porco: You told me they were in bed, so I don’t know how passionate that could be, honestly. Investigator: And then afterwards, those emotions subside and the thought is, what’s happened? What have I done? What has happened here? What an awful thing. Porco: I agree it’s an awful thing. Investigator: Sometimes your emotions get the best of you, overtake you. Porco: True. Investigator: Your stomach is going to burn a hole in it. The only way to stop it is to be a man. Porco: I can’t help you.

The investigator attempted to play into Porco’s emotions and manhood as a strategy to elicit a confession, but the strategy got him nowhere. Porco gives bland answers, absent of emotion;

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neither do his responses offer any insight into the murder itself. The investigator did ask questions about the fraud Porco had committed, but he failed to press for greater detail, which is precisely the area that should have been thoroughly examined in order to reveal the defendant’s true motive for the murder. The investigator should have confronted him about the email correspondence with his father that exposed his fraudulent behavior shortly before the murder. The goal of the investigators, in this case, should have been to expose the inconsistencies and implausibilities of Porco’s responses. Instead of attempting to get him to feel guilty about his actions in the hope of a confession, the investigator should have remained calm, like Porco, to ask questions. When Porco’s responses did not match the evidence collected, the investigator should have–calmly– confronted Porco about the inconsistency and further allowed him the opportunity to bury himself with more lies. Each investigator incorrectly transferred a non-psychopathic explanation onto the murder by attempting to inure an emotion to the killing to suggest that somehow Porco’s anger was the impetus for the killing. The investigators failed to understand that the issue was not about anger or any other emotion, but about using murder as a solution to a problem. Porco did not engage in an internal moral debate about whether murder was an option. The horrific manner in which he performed the murder does not necessarily correlate to the amount of anger Porco felt. Yet, throughout the interview, the investigator tried to attach Porco’s emotions to the murder. About midway through the interview, a detective from the New York State Police was brought in. He was very matter of fact in his inquiry, and non-threatening in his approach. He questioned Porco about his trait of grandiosity. Detective: I’m still not quite understanding why you go around telling people that you have all this money. That kind of baffles me. Porco: No, I— Detective: --you put on this façade. Porco: It is. And I’ve done it for a couple of years now. Detective: What does that say about your character— Porco: Exactly. Detective:--Chris? Seriously. What—no tell me, what does it say about your character? Porco: I guess it’s insecurity in a way. Detective: Does it tell you that you’re an honest person? Porco: Not in that respect, no. Detective: Trustworthy?

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Porco: I think of myself as trustworthy, I guess. If we’re going to respond in reference to this, no, I guess I’m not. Detective: I mean, if I—if I’m a student and I meet you and you’re telling me you’re going to buy a house because you’ve got millions of dollars from your grandmother. Porco: True. Detective: You’re basically lying to these people, right? Porco: Well, it kind of steamrolled away. Detective: No, let’s not color code it. Porco: I know it’s wrong. Detective: Do you consider it lying? Porco: Oh, definitely, yeah. You know, I’m telling them something that’s not really true. Detective: Are you a pathological liar? Porco: I don’t think so. I mean, maybe in that respect. Detective: What other things have you lied about? Porco: Really one thing. I’m trying to think of anything else. Just money. I don’t really know why I got started on it. It was in high school.

This is the style the detective should have continued with Porco. The detective did not have to browbeat Porco into the admission that he lies. Yet, as the interview progressed, he, too, fell into the same strategy the other detectives followed, which was to use an emotional and confrontational approach. When he inquired into the forgery issue, he did not go to any depth that would have been fertile ground for Porco to bury himself. The lead author had the opportunity to speak to retired FBI profiler John Douglas at the ACFEI’s annual convention and Mr. Douglas indicated that it is important to approach the interview in a relaxed, non-threatening manner given that psychopaths come in different packages. Think of how a prosecutor could use that admission in a trial for impeachment purposes during cross examination of a defendant who is professing innocence. If a defendant is willing to lie about the most mundane and innocuous facts, what is he willing to lie about when it comes to important facts about a murder? The investigator must keep in mind that catching a red-collar criminal in a lie will not emotionally unhinge the red-collar criminal so as to cause a confession. The red-collar criminal will simply go on to another lie. Contrary to the usual investigative strategy, remorse, emotion, and passion are irrelevant, and the interviewer must skillfully exploit this psychopathic attribute. The investigator should be able to visualize how the psychopath’s illogical, inconsistent answers will play out in a court of law for the benefit of the prosecution. Yet, the red-collar criminal is not thinking in advance about how his or her responses will be perceived; the criminal is too narcissistic to be sufficiently introspective, or to consider how others will perceive their answers.

Red-collar criminals are not good planners, an observation derived from the amount of direct, physical, and circumstantial evidence they leave behind. An investigator should seize the opportunity to confront the suspect with evidence in order to lock the suspect into a story, an opportunity the investigator may not have again, especially if the suspect requests a lawyer. Therefore, it is crucial that the investigator understand what kind of person he or she is interviewing and construct an effective strategy. Unfortunately, Porco’s statement to the investigators was not used in court because the interviewers violated his constitutional right to have an attorney represent him upon his request for one.

Modification of the Interview Strategy Many law enforcement agencies in North America use the Reid Technique as a method of interviewing and interrogating suspects. Supporters of the technique argue that it helps to extract information from unwilling participants. The technique detectives used in the Porco case appears to be the Reid Technique, and although generally useful, there are limits to its success depending on the type of individual being interviewed. The Reid method includes nine steps of interrogation, but some of these techniques can backfire when dealing with psychopathic personalities. Techniques are often anecdotally endorsed by those who can point to success stories, however, there are be times when a technique can fail, actually curtailing the investigation of a very serious charge. One of the premises of the Reid Technique is that the interviewer should be in control of the interview, preventing the suspect from denying guilt by cutting off unsatisfactory explanations and ultimately working toward a confession. The interrogator offers two contrasting motives for some aspect of the crime, sometimes beginning with a minor aspect to seem less threatening to the suspect, for example, one suggested motive might appear to be somewhat socially acceptable, such as to call an act “a crime of passion;” the contrasting or morally unacceptable motive would suggest that “one kills for the money.” The psychological manipulation begins before the interrogator opens his or her mouth. The physical layout of an interrogation room is designed to maximize a suspect’s discomfort and sense of powerlessness. The goal is to create a sense of exposure, unfamiliarity, and isolation. Once the questioning begins, the interrogator can use real or made-up evidence to confront the suspect with the goal of getting the suspect to see how futile it is not to confess. However, if the suspect asks for a lawyer, the interview must Spring 2008 THE FORENSIC EXAMINER 31

stop. Many interviewing techniques such as the Reid Technique also involve the use of emotions as a tool to be used by the interviewer to get a suspect to give truthful information about a particular crime, whether fraud or violent crime. When it comes to interviewing the red-collar suspect, traditional approaches must be radically modified to address both the behavior and the perspective of the psychopath. In cases where the interviewer suspects that he or she is in the presence of a true psychopath, it is reasonable to begin the interview using tactics appropriate for a psychopathic suspect. If the interviewer begins using a strategy more appropriate for a non-psychopath, upon realizing that the strategy is not working, he or she may not be able to switch strategies effectively midway through questioning the suspect. With respect to Christopher Porco, it was probably too late to shift strategies and use a psychopathic strategy as discussed. He would have been savvy enough to sense that the police were shifting gears and using a different strategy on him. The fact that the detectives kept trying to prevent his denials in the interview did not at any time induce Porco to confess or invoke his right to counsel. The Reid Technique opines that if one prevents the suspect from denying the facts, the interviewer can reduce the probability that he or she will invoke the right to an attorney. Porco’s sophistication may have derived from the knowledge that he could end the conversation at any time by demanding attorney representation. It is probable that he participated in the interview for as long as he did in an effort to find out what the police knew, just as the police wanted him to disclose information. Further, Porco probably anticipated the interviewer’s questions and rehearsed the answers he would give. Considering that his father was an attorney, Porco’s understanding of Miranda warnings was no doubt greater than that of the average suspect. In fact, it is not surprising that he invoked his Miranda Rights, which the police subsequently ignored. Furthermore, because the traditional approach to interviewing a non-psychopath may involve power plays between the interviewer and the interviewee, a psychopath will see through the interviewer’s strategy and probably refuse to speak to the investigator. This is why it is important for an investigator, to the best of his or her ability, to assess whether he or she is conversing with a psychopath prior to selecting an interview strategy. The psychopath is intensely evaluating every move and word that the investigator utters. The psychopath is a true intra-species predator with hunter-like instincts even when he or she does not openly exhibit 32 THE FORENSIC EXAMINER Spring 2008

those qualities. In the Porco case, modification of the Reid Technique that would have actually allowed the suspect to think that he was in control, allowing him to reveal inconsistent and implausible explanations without stopping the denials, would have produced more evidence for the detectives and ultimately the jury. Some strategies an interviewer should consider implementing when interrogating a suspected psychopath might appear to be in opposition to techniques he or she has used in the past: 1. Avoid confronting the red-collar criminal with the style that the authors observed in the Christopher Porco case. The investigators gained little information from the brow-beating approach they used. 2. If it is evident that the suspect being interviewed is likely the culprit, the interviewer’s goal is to collect as many inconsistent and implausible facts as possible. Presenting incriminating evidence to the redcollar criminal does not increase the probability of a confession. 3. If the psychopath does show emotion, the interviewer must be aware that they are emotions learned from observing how others behave in a given situation. Do not alter the strategy believing that the psychopath will give a confession to the crime. The psychopath may be using this strategy for any number of reasons (i.e., to test the interviewer’s strategy, evaluate how clever interviewer is, probe the interviewer for personal weakness). 4. The interviewer should not make threats that he cannot carry out. For example, if the interviewer says that there is evidence that points to the red-collar criminal’s guilt and the interviewer does not produce it when the red-collar criminal asks to see it, the interviewer has lost any chance of getting useful information. Attempting to play mind games will backfire for the interviewer. 5. The interview of the red-collar criminal cannot be based on appeals for sympathy, remorse, regret, or social obligations. The interview has to be based on a non-emotional format and the dialogue must revolve around facts and specific evidence. Threats of punishment are of no consequence to this suspect. 6. An interviewer should consider safety issues when interviewing these suspects. Remember that these are not the typical non-violent white-collar criminals. Consider where the interview will take place (i.e., home, office, in public, etc.) and the time of day.

Interview Success Many individuals, especially those in law enforcement, believe that in order to consider the interview a success, it is imperative to get the confession. However, the definition of a successful interview must be altered for psychopathic suspects. The fact that a detective does not get a confession does not mean that the interview was not a success. In fact, the inconsistent and implausible responses the detective elicits from the red-collar criminal are devastating when disclosed in court. Thus, if there is physical evidence, whether direct or circumstantial, the inconsistent explanations volunteered by the defendant are invaluable to the prosecution.

Imagine the jury in the Porco case viewing 6 hours of illogical, inconsistent and implausible testimony from the defendant. Would the fact that he did not confess really make a difference to a jury observing a person who shows no remorse or feeling for what has happened to his father? Furthermore, if a defendant decides to testify on his or her own behalf, those statements can be used to further impeach his credibility in the event he or she gives further inconsistent testimony in court. Remember, in court, the red-collar criminal is not in a position to avoid those he cannot manipulate. Consider also the fact that defense attorneys attempt to project an image to the jury to the effect that their client was tricked, intimidated, and eventually coerced into giving a confession to interrogators. This defense strategy is virtually non-existent as the jury views a video-taped conversation of the defendant speaking freely, voluntarily, and without coercion or force. Instead, the jury views an investigator simply collecting facts and giving the suspect the opportunity to tell his side of the story even if it does not make sense.

The Role of Forensic Accountants and Fraud Examiners Forensic accountants should be part of a homicide investigation team if the evidence suggests that fraud detection may have been the motive for the murder. 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 does not reveal. Many such murders revealed little in terms of motive until the evidence exposed an underlying fraud scheme that pre-dated the murder. Furthermore, by uncovering fraudulent behavior pre-dating the murder, forensic examiners may be able to narrow the potential field of suspects in a way that other evidence is not capable of doing. Consider again the Porco interview and how much more effective the interview might have been had the interview included a qualified forensic account or a white-collar crime detective to ask Porco about the specifics of the fraud. As a trial attorney, I have observed how many witnesses fall apart when cross-examined about the details of their testimony. Many witnesses believe that the way they think about their testimony in their minds will suffice for outsiders, but that is not the case, especially when they give inconsistent and implausible explanations. In essence, they have come to the conclusion that if they have convinced themselves of their lies, they should be able to convince others as well. Because they think so highly of their abil-

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ity to manipulate others, the psychopath’s trait of grandiosity prohibits him or her from understanding how they are perceived by others, and this is their downfall. Though the entire Porco interview does not appear here, it is apparent that the detectives were not qualified to do any real fraud investigation interrogation follow-up. Interview expert Rabon would not have stopped Porco’s denials as the Reid Technique suggests, because Rabon understands that pathological suspects must be handled differently. Not stopping the defendant’s denials does not mean that the interviewer is not confronting the suspect—it is a question of form, not substance. Rabon would have confronted Porco with incriminating evidence, but in a non-threatening, non-confrontational approach intended to get the lies out, and then move on to more lies. For example, the detective could have asked Porco why he never called his parents after he received the email where the parents were practically begging him to call. What was Porco’s reaction when he read that his father would go to the authorities? Does he have documentation for the loan his father allegedly approved? And why did he buy a new Jeep when his parents were so upset after learning of his fraud? Although such questions had nothing to do with the murder, the answers might have filled volumes about his character. The link to the fraud detection was crucial to establishing a motive for the murder when the prosecution 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 place him or her in a position to detect fraud, such as in the Petrick, Gaede, and Margolies cases. Forensic accountants must attempt to put themselves in the victim’s shoes and ask what he or she knew that might be threatening to someone. Did the victim do anything with his or her knowledge of the defendant’s fraud that could have increased the probability that he or she would be a target of violence? If forensic examiners are part of an interrogation team to present what they have learned to the suspect, then the suspect may be provoked to disclose lies that will be used against him or her in court, where he or she is less apt to be successful using the chameleon strategy.

Conclusion The data derived from this study reveals that although red-collar criminals are psychopathic, their psychological strength is also a weakness to be exploited in the investigative stage of the murder. The incompetence exhibited by the red-collar criminals is observed by the amount of evidence (800) 423-9737

they create, which is ultimately used against them in a court. By understanding the chameleon-like qualities of red-collar criminals, the evidence trail they leave behind actually exposes both their whitecollar crimes, a motive for the murder, and their participation in the murder. It is imperative for interviewers to become acquainted with the traits of a psychopath in order to plan an interview strategy that will assist future red-collar prosecutions.

References Barton, G. (2007, July 31). North Dakota court upholds Gaede conviction. Retrieved from www.jsonline.com. Barton, G. (2006, April 4). Defendant’s ex-wife recounts death. Retrieved from www.jsonline.com. Chambers, M. (1984a, May 8). Chief witness testifies on role in CBS killings. The New York Times. Chambers, M. (1984b, May 10). Witness tells of murder request. The New York Times. Grondahl, P. (2006, August 31). Porco labeled a psycho killer. Retrieved from www.timesunion.com. Hare, R.D. (1990). The Hare PCL-R rating booklet. North Tonawanda, NY: Multi-Health Systems, Inc. Hare, R. D. (1993). Without conscience: The disturbing world of the psychopaths among us. New York: The Guilford Press. Inbau, F. E., Reid, J. E., Buckley, J. P., & Jayne, B. C. (2005). Essential of the Reid Technique: Criminal interrogation and confessions. Sudbury, MA: Jones and Bartlett Publishers. Jones, K. (2005, November 30). Ex-computer consultant convicted in Google murder trial. Retrieved from www.networkcomputing.com. Lewis, J. (2005a, November 15). Petrick’s financee, former girlfriend testify in day 6 testimony. Retrieved from www.wral.com. Lewis, J. (2005b, November 14). Prosecution: Computers map out Petrick’s plan to kill wife. Retrieved from www. wral.com. Lewis, J. (2005c, November 28). Petrick prosecutors to reopen case with new computer evidence. Retrieved from www.wral.com. Meloy, J. R. (2000). Violence risk and threat assessment: A practical guide for mental health and criminal justice professionals. San Diego, CA: Specialized Training Services. Perri, F. S., & Lichtenwald, T. G. (2007). A proposed addition to the FBI Criminal classification manual: Fraud detection homicide. The Forensic Examiner (16)4, 18–30. Raab, S. (1982a, April 14). 4th slaying linked to 3 on west side. The New York Times. Raab, S. (1982b, April 16). Slain woman had identified her employer as fraud key. The New York Times. Raab, S. (1983a, April 1). Trial begins in CBS murder case. The New York Times. Raab, S. (1983b, April 24). Bits of evidence are focus in the CBS killings. The New York Times. Rabon, D. (2006). Interviewing the pathological subject. Fraud Magazine 20(3), 54. Transcript of Christopher Porco’s interrogation. (2004, November 15). The Times Union. Retrieved from www. timesunion.com/specialreports/porco

About the Authors Frank S. Perri, JD, MBA, CPA, has worked as a trial attorney in the criminal law field for more than 10 years. As lead author of this research project, Mr. Perri was the defense attorney for George Hansen. Areas of concentration include whitecollar crimes, homicide, and narcotics. Mr. Perri received his Juris Doctor from the University of Illinois in 1991. He received his Master in Business Administration from Case Western Reserve University and his Bachelor of Arts in economics from Union College. In addition, Mr. Perri is a Certified Public Accountant. You may contact Mr. Perri via email at frankperri@hotmail.com. Terrance G. Lichtenwald, PhD, is a Life Fellow and Diplomate in the ACFEI. As part of the pre-trial preparation, the second author of this study completed a behavioral science study of George Hansen. He earned his Doctorate in clinical psychology from an American Psychological Association (APA) approved program and completed an APA-approved internship. He has a masters degree in clinical psychology and a second masters in school psychology. He earned his bachelors 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. Research interests are in smuggling, white-collar crime, and security/threat assessments. You may contact Dr. Lichtenwald via email at TGL3155@aol.com. 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”).

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

The Life Development of Gang Members: Interventions at Various Stages

By Mike Meacham, PhD, LCSW, DCSW, DABFSW, and Tony Stokes

Abstract

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 solely is responsible for all aspects of the program and its content. (ASWB) This organization, American College of Forensic Examiners International Approval Number 1052, is approved as a provider for continuing education by the Association of Social Work Boards 400 South Ridge Parkway, Suite B, Culpeper, VA 22701. www.aswb.org. ASWB Approval Period: 9/13/2004 to 9/13/2007. Social workers should contact their regulatory board to determine course approval. Social workers will receive 1 continuing education clock hours in participating in this course. After studying this article, participants should be better able to do the following: 1. Distinguish between the various levels of development of gang members. 2. Identify various interventions for each level. 3. Discuss how different agencies approach gang problems

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The growing problem of gang activity continues to plague clinicians, human services, communities, schools, law enforcement, corrections, and public policy. Many interventions assist in helping gang members change, or attempt to control gang activity, and their focus is on gang members in middle and secondary schools (or the few years following). This paper proposes that the growth of a gang member continues through a lifetime of changes, and it suggests intervention at various levels of a gang member’s development.

Key Words: gangs, interventions with gang members, agency cooperation on gangs

any anthropologists believe that societies have been plagued by and have reacted to gangs since ancient times (Expertwitness.com, 2006). Certainly, gangs have been on the American landscape since early in its history. Among the first gangs were “The Forty Thieves,” founded about 1826 (Sachs, 1997). Ashbury (2001) and Haskins (1974) have chronicled the early growth of gangs. Thrasher (1927) studied over 1300 gangs in Chicago during the 1920s, and although most of these gangs were Caucasian, the majority became prominent in groups considered white-immigrant minorities (e.g., Irish, Italian). By the 1940s there were organized non-Caucasian groups. and by the 1950s, Hollywood was making movies about gangs, such as “The Wild One” and the film “West Side Story,” released in 1961. David Wilkinson (1963) wrote an account of the 1950s gang The Mau Maus and its leader, Nicky Cruz, who later founded the “Nicky Cruz Outreach” to help troubled teenagers. During the 1960s, partly from the political unrest of the times, gang membership skyrocketed (Sachs, 1997). By the 1970s, the Crips and the Bloods had formed. Historically, and in the present, a majority of gangs have formed as a reaction to oppression and social ostracism (see Spergel & Curry, 1993; Goldstein & Kodluboy, 1998). Few doubt that early gangs and many contemporary gangs developed as a backlash to denial of access to resources, and a response to social injustice. However, at least some gangs have formed in order to take advantage of illegal means to wealth, even when members have legal options to maintain at least a middle-class lifestyle. In our experience with nationwide gangs, it seems that the business side of the gang becomes at least as important as any reaction to oppression, which may have been the original reason for the formation of the gang and the method by which it drew members. By the 1980s, a suppression policy had emerged as the prominent intervention against gangs (Spergel, 1991).

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Spring 2008 THE FORENSIC EXAMINER 35

By the 1980s, most of America was aware that gangs were more than a group of troubled youths riding motorcycles. Much like their early predecessors, gangs were forming and growing as social and economic entities. Colors, hand-signs, particular clothing, street graffiti, and tattoos were among the many identifiers. By the late 1980s and early 1990s, service agencies had become involved (Sachs, 1997), and social scientists (e.g., Cummings & Monti, 1993) were studying gangs intensely. However, many Americans still believe that gangs and their memberships occur in middle and secondary schools, and that as members enter young adulthood, they may continue for a while, but eventually they are either driven out or drop out. A review of the recruitment and development of gang members is called for that might challenge prevailing myths and suggest interventions. The data here spans nearly a decade and is drawn both from literature and from discussions and interviews with police officers, correctional workers, social service workers, gang members, and prisoners. Of course, differences exist among gangs. There are gangs that wish specifically to defend an area such as a neighborhood, gangs that seek friendship and excitement, and gangs whose members have become international criminals in drug trafficking and other illegal activity. People become gang members for myriad reasons, and people choose to become involved at different times in their lives, complicating the task of prevention.

Primary Intervention It is probable that prevention is most effective among youths. Primary interventions are designed to encourage people to avoid becoming involved in gangs. These interventions may include direct work, such as establishing community meetings to discuss gang problems and addressing suggestions, educational programs in schools and media, law enforcement programs, and human services efforts. However, the complexities of peer pressure, the dream of quick wealth, and the status, comradeship, and safety provided by gangs makes prevention more difficult. True interventions require assistance in developing opportunities. These include after-school programs and events, job possibilities, careertraining opportunities, funding to assist in higher education, neighborhood watch programs, and close work with institutions in the community, including businesses, the police, schools, churches and other voluntary asso36 THE FORENSIC EXAMINER Spring 2008

ciations, as well as the community-at-large. Prevention means long-term and difficult work in establishing trust in the community, reassuring people that the programs will have a positive impact, and developing the human and fiscal resources needed to establish and maintain the programs.

Gang Families It is not likely that there was a time when gangs did not exist. Gangs that have become fairly well known (e.g., Aryan Brotherhood, Chinese Tongs, Bloods, Crips, Hell’s Angels, Latin Kings, Vice Lords, Black Gangster Disciples, and many others) have been in the news since before the early 1980s. And since their beginnings there have been members who fit the newsreel stereotypes. They join in their teen years, wear gang-related clothing, and continue developing other means of advertising their membership. However, those who did so in the 1980s now are middle-aged adults. This means that some members are now rearing families of their own, resulting in children who are born into a gang lifestyle. Carlie (2000) writes that many new members are now “blessed in” because they have a brother, cousin, father, or mother who already belongs to the gang. Gottfredson (1997) has noted the lack of well-researched or well-conceived intervention programs for gangs. Though most anti-gang programs begin at the school level, these programs will not be helpful to a child reared by loyal gang parents. On the other hand, most parents tend to want a better life for their children than what they have had. Gang parents who have witnessed violence, been under police investigation, or spent time in prison may work strongly to keep their children from some activities. To address this level of involvement, we turn to secondary intervention. The parent or parents are already involved in the gang lifestyle, placing the child in a situation in which he or she is raised to be involved, as well. Those gang-member parents who wish to keep their children from becoming involved must counter the social learning and modeling behaviors that increase the chances of their children being influenced by gangs. Intervention focusing on this group of gang parents may begin with community education. Programs to help children become involved in non-gang activities, parenting classes, group therapy, family therapy, and community organizing may be beneficial. Those involved in the intervention process must establish needed programs and make efforts to ensure that the

community knows about them. Part of the effort for this group is to encourage parents who are gang members to leave the gang; however, just leaving the gang will not suffice. There must be an opportunity to build another life, and for many this may require adjusting to a less affluent lifestyle after years of working in the underground economy. Furthermore, leaving a gang with which one has associated for many years presents dangers. Gang members fear that those leaving may become sources of information for the police or that they may threaten the gang in other ways. Violence against members who choose to leave is both institutionalized within the gang (known as “beating out”), and ad hoc or informal, where some are injured or killed to protect gang activities from becoming known to the outside. Although there is little systematic evaluation of opportunities to decrease gang involvement (see Thompson & Jason, 1968), Spergel et al. (1989) find better success when opportunities are well supported and organized, which is necessary for any intervention. There is another group of parents who are quite satisfied with the gang lifestyle. Throughout much of their lives they have benefited in many ways from being a part of a gang, and they may have accumulated more wealth and prestige than they ever could have through legitimate methods. These parents may purposely train their children to become part of the gang, perhaps beginning by merely attending gang gatherings, becoming known, and participating in petty gang acts. These children may attend school and have many legitimate activities, but the lure of quick wealth and the status already afforded them presents a strong temptation. The parents of these children may have introduced them into the gang formally or may have informally modeled the lifestyle in a manner that socialized their children to join without direct solicitation. The interventions in this situation will be much more difficult. We may ask community leaders to address the members and the problems for their children, or we may reach some through education efforts in the community; however, both of these options are unlikely to be effective for the majority of these families. Interventions may occur during a crisis, such as a parent being arrested, wounded, or in need of police protection. Gang members live with these dangers daily, and during the crisis we may approach them concerning the negative aspects of their lifestyle. This may affect some, and others may be more likely to respond to programs to keep their children out of gangs. The complexities and dangers

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of the gang lifestyle are likely to create times when young members may be more open to interventions. Violence, ostracism by teachers and peers, and legal interventions are among the possible incentives. These interventions have merit in addressing issues of children reared in the families of gang members, but they are not likely to redirect large numbers from their predilection toward gang banging. Many of the people in this group are inducted formally into gangs by the time they are in secondary school and have participated in them with at least partial success for years. Because of the lifestyle of violence and illegal activity associated with gangs, law enforcement and human services inevitably become involved. For these children, all the alternatives are fraught with difficulties. On the one hand, the systemic factors within families associated with gangs (Horne & Sayger, 1990) result in highly dysfunctional families—a situation that may be alleviated by placing the child with a stronger family model either in foster or relative care. On the other hand, family disruption is a real source of concern in the lives of developing children (Littner, 1950). We must try. Many gang members now are being trained by their own parents, though education programs and increasing legitimate opportunities will mitigate this influence at times. Horne (1991) suggests intervention goals for this stage, including social competence enhancement, peer counseling, behavioral self-control strategies, parent training in child management skills, social learning theory in family therapy, parent individual therapy, couple/single parent counseling, and parent education, career-vocational, and financial case management.

Youngest Active “Members” Young children, sometimes as young as 6 years old, are solicited for important roles in the gang structure. They may be part of the “front” business—the legitimate enterprise hiding illegal activity in other parts of the building. Grocery stores, barbershops, and other small businesses are used, and having children participate in legitimate transactions strengthens the façade. Other young children may be “scouts” who watch for law enforcement and other people who may interfere with gang activity. Also, young children make excellent “mules,” carrying illegal items from one place to another. There are more ways to discover a potential problematic child at this stage. Many times community organizations (e.g., the Boys and Girls Clubs) detect these (800) 423-9737

s San Mateo Sheriff’s detectives question a youth with “500 Block Sac Street” tattooed on his wrists. Despite a crackdown by police, gangs are still prevalent including members of the Sacramento Street gang. KRT PHOTO BY TOM VAN DYKE/SAN JOSE MERCURY NEWS

children in gang activity. Government agencies (i.e., Division of Family Services) and schools frequently discover or suspect children as being involved. Truant officers, social service workers, and law enforcement officers may be mandated to report some activities, and individuals in the community may be encouraged to report suspected activity as well. However, therapeutic interventions may focus on areas other than discovery. Individual therapy may, of course, take many forms, but an eclectic intervention strategy has shown promise, using moral and cognitive interventions (Gibbs et al., 1991a, 1991b), as well as an even wider mix of therapies (Kazdin, 1987). There are several family therapies that may prove useful at this stage in a child’s life. Minuchin (1981) intervenes to restructure the family, assuring that the parents have more control and authority over children. Kerr and Bowen (1988) use genograms to search for

familial patterns over generations, including alcoholism, drug use, family feuds, and other problems. Haley (1990) assesses the family and creates a specific intervention, stated in measurable terms. Should an initial intervention prove unsuccessful, the therapist will implement another. All of these interventions have proven useful, and others are reviewed in the literature. Schools assist the effort by remaining alert to absentees, use of gang symbols, and other indications that particular children may be involved in gang activities. School counselors, psychologists, and social workers may then intervene. At this stage, again, many levels are involved in effective intervention. The discovery of involved or at-risk children may come from multiple sources. To review, in gang families, while there may be some gang bangers who seek out assistance to ensure that their children stay out of that lifestyle, we believe the majority will become involved with human services as the result of Spring 2008 THE FORENSIC EXAMINER 37

a crisis such as a shooting or an arrest. Truant officers, community leaders, business people, families, neighbors, law enforcement, and school officials may assist in both discovery and intervention for these at-risk children.

many gang members enter the justice system at this time. In juvenile detention centers and in prisons, activities and skills learned on the street are practiced and honed.

group ready to support him or her, though new arrivals frequently must prove their mettle to the gang, especially if they do not know anyone at that facility.

The Core of Recruitment: Middle and Secondary School Age

The Young Adult Gang Member

Adult Members

By young adulthood, a gang member has developed a social identity. He or she may be adept in intelligence, violence, business, and other activities important to the gang. The member has survived the streets, wounds, ostracism by the larger society, and perhaps incarceration. At this time, membership becomes a career. Drug deals are no longer just a way to get party money. They become involved in national and international drug rings. Gun running, white slavery, human trafficking, money laundering, and other activities are added to their enterprises (see GTASanAndreas.com, 2003). Generally, human service work is not effective at this level, except for victims. By this time, gang members are loyal to the gang, and should they become disillusioned, they will seek protection instead of emotional and material support. Police have developed a national gang data bank, and gang task forces are a part of many police agencies. Though they are developing new anti-gang and gangcontrol methods all the time, these tend to be efforts to identify gang members and activity and to increase community involvement in anti-gang efforts. Many members already have been part of the juvenile justice system, and more will become part of the prison system. Each prison system has different levels of gang control, but there seem to be primarily two lifestyles awaiting gang members in prison. For some, their youth results in almost immediate planned exploitation by older inmates. Other younger members may know, or be known by, established members in the prison who may protect them. Corrections officials focus on identifying gang members, and, generally, at orientation, inmates are told of the problems that may occur by relating as gang members. Duxbury cites the GANGS (Gang Awareness Necessary for Growth in Society) program developed by John Berge in Chino, California, where youthful members are taught the negative influences of gangs in the community, in the lives of their families, and in their own lives. These approaches, as well as cognitive-behavioral interventions, are frequently used in prisons. Gang members, however, have many reasons to remain members while in prison. For one, gangs are so well organized and strong within the prison that the new gang inmate has a

Some adult members—violent members unable to keep their acts private—become dangers to the gang, drawing unnecessary attention both from rivals and law enforcement. These are eliminated either by murder or by going to prison. Others develop their skills, possibly including military service, and learn to use violence in ways to promote gang needs and their own careers in the gang (United Press International, 2007). A similar situation occurs for members with other skills. Mistakes in drug dealing or any other enterprise may end in death or prison. Gang members/dealers develop their skills in much the same manner as others do their careers. Older gang members have little in common with their teenage counterparts. While teenage members make every effort to demonstrate gang membership, older gang members learn to hide it. Their goal is to appear as though they are persons of social importance; their skills have been honed, and their accumulated wealth has been directed to this end. There appear to be four possibilities. One, gang wars continue, mistakes happen; therefore, some are killed. Two, others are caught in acts that end their careers with long prison sentences. A third type is the local neighborhood leader. This member resembles the gang member of the nineteenth century, building a reputation in the community using a “carrot-and-stick” approach. They provide protection, develop local economies and facilities, and earn respect and appreciation in the area; however, they know when to use violence, which members are able to provide it, and how to keep it secret. More importantly, they are able to use it while keeping their names separated from it. The members who seek wealth and have the savvy to get it may establish national and international underworld reputations and prove their skills through success. They too know how to use violence and who can provide it, but they are just as interested in knowing who is intelligent and who has the social skills to defend their economic interests. They may contribute by attending business school, law school, accounting school, etc. Further, they may send members through school for this purpose. At this level, any resemblance to the street thug is gone. They seek to appear as an average, albeit wealthy, society member. They are

At this age, entering puberty and working their way through adolescence, the conflicting needs of independence and of belonging become strong. With nascent social skills, development in the arts or athletics, education, wealth, or other forms of status, gang membership may become quite seductive. Gangs provide a sense of belonging. Symbols such as dress, tattoos, hand-gestures, and special codes promote bonding and deliberately exclude those not able to understand the meanings. A child who has grown from birth to middle school in a gang environment is now ready to become a member. He or she will generally be blessed in and begin participating in activities with the other gang members— these young people now become full-fledged problems within the school system. Stephens (1992) developed the Gang Assessment Tool to assist school officials in gaining some idea of how big the problem is within their schools. Stephens (1993) further recommends inclusion of a gang prevention curriculum; gang awareness among faculty, staff, and students; education of faculty and staff through frequent in-service training on gang-related dress and graffiti, etc; a dress code accompanied by clear behavioral expectations; quality adult supervision; and outreach to the community. McConnell (1990) recommends that measurable goals be established that are clearly defined, so the school can determine the effectiveness of any program. Parents may become involved as well through education, parenting classes, and the use of tests that may indicate their child’s involvement. School and parent programs should be working with law enforcement and other community agencies closely. Reporting gang activities to police is essential in controlling activity by this age. At this age, “easy” money is another attraction for members. How to make money through drug deals, pay-for-violence actions, prostitution, theft rings, and other enterprises are learned. To the uncritical teenage mind, this may appear easy because it is quick; however, it is anything but easy. Retribution for poor performance is swift and often deadly if the punishment comes from the gang or rivals. Police intervention is a constant threat, and 38 THE FORENSIC EXAMINER Spring 2008

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well protected from street violence, although well-planned, expert assassinations may occur. They worry little about local law enforcement, sometimes even having co-opted some of them or having members on the force. They are concerned with national and international agencies, and may even have protection from them. They are rich and able to add to the wealth of legitimate business people, at times co-opting them, while at other times, establishing legitimate businesses of their own. There will be continued interventions at this level by police, but they are hampered in gathering evidence on neighborhood gang leaders who have the ability to contribute to the communities they control. Frequently, because of rifts within the organization, feuds without, and other mistakes, these leaders are incarcerated. Intervention beyond law enforcement and corrections lies in community awareness programs and in developing alternatives to gang activity within the community. Obviously, these gang members will not be affected by school programs and are not likely to become involved in clinical programs. Community advocacy and education is the best intervention for gang members at this stage. The fourth group is comprised of gang members who go beyond the community. These members likely have survived street violence, police detection, or at least arrest and long-term incarceration, and have proven their illicit skills to others. Their affiliations become at least national and perhaps international. These members have reached such a level of sophistication at their “profession” that they are very difficult to arrest or to link with criminal activity. They have little or no desire for clinical interventions and are beyond community programs. Specialized law enforcement units work on the national and international levels to control the activities of these members. Those incarcerated may work with prison therapists or parole planners, but the work of these interveners is very difficult. After a lifetime in a gang lifestyle, few people have the motivation to change.

Conclusion By adulthood, the majority of gang members have families of their own. Some strive to retire from criminal activities or raise their children in lifestyles of legitimate wealth. Others begin to rear their children in the ways of their own path. As new generations are reared into the underground system, new methods of achieving their ends develop. Law enforcement and human services react, and the circle becomes a spiral. (800) 423-9737

References Ashbury, H. (2001). The gangs of New York: An informal history of the underworld. New York: Thunder’s Mouth Press. Barnes, C. (2006, October). Street gangs. Symposium presented at the Annual Banquet of the Lowndes/Valdosta Mental Health Association. Carlie, M. K. (2000). Into the abyss: A personal journey into the world of street gangs. Retrieved November 7, 2006, from http://www.faculty.missouristate.edu/M/ MichaelCarlie/what_I_learned_ab out/GANGS/join_a_gang.htm (Continually updated.) Cummings, S., & Monti, D. J., (Eds). (1993). Gangs: The origins and impact of contemporary youth gangs in the United States. Albany: State University of New York Press. Duxbury, E. B. (1993). Correctional interventions in The gang intervention handbook. A. P. Goldstein & R. Huff (Eds.). Research Press: Champaign. 427–437. Gang experts, witnesses and forensic consultants (gangs). (2006). Expertwitness.com. Retrieved February 26, 2007, from http://www.expertwitness.com/clst/179/ experts/witnesses/gangs.htm Gangs of San Andreas. (2003). GTA-SanAndreas.com. Retrieved February 26, 2007, from http://www.gta-sanandreas.com/gangs/index.php (Continually updated.) Gibbs, J. C. (1991a). Social processes in delinquency: The need to develop empathy as well as sociomoral reasoning. In W. M. Kurtines & J. L. Gewirtz (Eds.), Moral development through social interaction. New York: WileyInterscience. Gibbs, J. C. (1991b). Towards an integration of Kohlberg’s and Hoffman’s theory of morality. In W. M. Kurtines & J. L. Gewirtz (Eds.), Handbook of moral behavior and development. New York: Wiley-Interscience. Gottfredson, D. (1997). School based: Crime prevention. Preventing crime: What works, what doesn’t work, what’s promising: A report to the United States Congress. Washington, D.C. Office of Justice Programs. National Institute of Justice. Chapter 5. NCJ 165366. Haskins, J. (1974). Street gangs: Yesterday and today. New York: Hastings House Publishers. Haley, J. (1990). Strategies of psychotherapy. New York: W.W. Norton. (Original work 1963). Horne, A. M. (1991). Social learning family therapy,. In A. H. Horne & J. L. Passmore (Eds.), Family counseling and therapy (2nd ed.). Peacock: Itasca. 481. Horne, A. M., & Sayger, T. (1990). Treating conduct and oppositional deficit [sic] disorder in children. New York: Pergamon. Kerr, M. E.,, & Bowen, M. (1988). Family evaluation: An approach based on Bowen theory. New York: W.W. Norton Company. Littner, N. (1950). Some traumatic effects of separation and placement. New York: Child Welfare League of America. McConnell, S. (1990). Best practices in evaluating educational programs. In A. Thomas & J. Grimes (Eds.), Best practices in school psychology II. Kent: National Association of School Psychologists.

Minuchin, S. (1981). Families and family therapy. Cambridge: Harvard University Press. Sachs, S. L. (1997). Street gang awareness. Minneapolis: Fairview Press. Spergel, I. A. (1991). Youth gangs: Problems and response. Washington, D.C.: U.S. Department of Justice, Office of Juvenile Justice and Delinquency Prevention. Spergel, I. A., & Curry, G. D. (1993). The National Youth Gang Survey: A research and development process. In A.P . Goldstein & C. R. Huff (Eds.), The gang intervention handbook. Champaign: Research Press, 359–400. Stephens, R. D. (1993). School based interventions: Safety and security. In A.P . Goldstein & C. R. Huff (Eds.) The gang intervention handbook. Champaign: Research Press, 219–255. Thrasher, F. M. (1927). The gang. Chicago: University of Chicago Press. Thompson, D. W., & Jason, L. A. (1988). Street gangs and preventive interventions. Criminal justice and behavior, 15, 323–333. United Press International. (2007). FBI: Gang members joining military. Retrieved February 26, 2007, from http://www.softcom.net/webnews/wed/cp/Uus-militarygangs.R4iR_HJL.html Wilkinson, D. R. (1963). The cross and the switchblade. New York: Random House.

Earn CE Credit To earn CE credit, complete the exam for this article on page 79 or complete the exam online at www.acfei.com (select “Online CE”).

About the Author Mike Meacham is an Associate Professor of Social Work and an Forensic Social Worker at Valdosta State University. He has worked with gangs since he was a prison therapist in 1987. He has written several articles on gangs, including articles about school gangs and prison gangs. His present interest is international gang developments.

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

Injury Assessment and Management By Dr. Robert H.N. Fielden, MD, FRCS(C), FACFEI, DABFM, DABFE

Abstract A combined presentation by Dr. John Haberstroh and Dr. Robert H.N. Fielden in 2006 at the Annual Meeting of the American College of Forensic Examiners resulted in this article, where Dr. Fielden discusses the importance of certain principles for the management of musculoskeletal injuries. He also examines some sources of controversies that tend to develop around the treatment and management of these injuries. Dr. Fielden suggests that many controversies could find resolution in the adoption of suggested principles by professionals involved in injury assessment and management of both workplace and motor vehicle accidents.

Key Words: treatment, diagnosis, focus, goals

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. After studying this article, participants should be better able to do the following: 1. Distinguish between an injury and a muscle strain. 2. Understand the importance of the initial diagnosis and treatment regimen. 3. Recognize the point in the treatment program at which the injury has healed and the ongoing symptoms are no longer due to tissue damage, but are influenced by other factors surrounding the injury.

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his article is proposed as a treatise on the management of injuries sustained in a workplace or vehicular accident. It is from the perspective of an orthopaedic surgeon who has spent more than 45 years managing injuries of all kinds. In the past 25 years, I have evaluated 15,000 accident patients and the management of their injuries by a variety of practitioners, including orthopaedic surgeons. This article was inspired by several discussions and a presentation with Dr. John Haberstroh on injury assessment and management. Our presentation was at an annual meeting of the American College of Forensic Examiners in Orlando, September 21â&#x20AC;&#x201C;23, 2006. In our discussions, Dr. Haberstroh expressed his concern regarding the manner in which independent assessments of injuries from motor vehicle accidents are being performed. As an orthopaedic surgeon and independent evaluator, I have a similar concern and a desire to resolve some of the conflicts that are inherent in the system. In my opinion, it is important to clarify not only the controversies in this field, but also their causes. One difference of opinion concerns the criterion necessary to determine the occurrence of an injury. This in turn affects the diagnosis of the specific injury, and subsequently, the treatment of

that injury. The criterion necessary to determine the occurrence of an injury, from a medical point of view, is as follows: An injury is tissue damage resulting from an energy source applied to the body (Stedmanâ&#x20AC;&#x2122;s Medical Dictionary, 1995). It is important to understand that an injury is considered not to have occurred if no damage to the tissue has resulted from the force. Also important to note is that the tissue of muscles can be strained, yet not damaged. A strained muscle will become stiff and painful; that result is an inherent physiological response. Most of us have experienced such a response after performing strenuous work or engaging in a new physical activity. As a surgeon, I have operated on the neck and back. In order to approach the spinal column, I have had to dissect through the major muscles. Most certainly, the degree of pathology resulting from the surgical disruption to the muscles will be far more than can be demonstrated to arise from muscle strain or sprain injuries due to a motor vehicle accident. I have observed that following surgery, once the muscle tissue has healed, there is usually no problem for an individual to return to a fully functioning status. However, in the case of a muscle strain, many patients have difficulty returning to full function. The reasons for this are addressed further on in the treatise.

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Spring 2008 THE FORENSIC EXAMINER 41

Motor vehicle injuries M o t o r ve hic l e - re l a t e d inju rie s can be arbitrarily divided into: 1) Collision between the patient and the external environment (the vehicle, or a stationary object if the occupant has been ejected) 2) Acceleration or deceleration forces acting on the patient’s internal organs

Collisions

In a frontal collision, the unrestrained occupant of a vehicle continues to move forward as the vehicle comes to an abrupt stop. This forward motion is arrested as the patient connects with the, by now, stationary vehicle chassis. The initial impact point is often the lower extremities, resulting in fracture/dislocation of the ankles, knee or hip dislocations, and femoral fractures. As the body continues moving, the head, cervical spine, and torso impact on the windscreen and steering column. In a lateral impact, the victim is accelerated away from the side of the vehicle. Compressive pelvic injuries, pulmonary contusion, intra-abdominal solid organ injury, and diaphragmatic rupture are common. Rear impacts also accelerate the victim; if head restraints are incorrectly fitted, the inertia of the head makes the cervical spine vulnerable to injury. Ejection from a vehicle is associated with a significantly greater incidence of severe or critical injury.

Deceleration/acceleration injuries

Such injuries occur when differential movement occurs between adjacent structures; for example the distal aorta is anchored to the thoracic spine and decelerates much more quickly than the relatively mobile aortic arch. Shear forces are generated in the aorta by the continuing forward motion of the arch in respect to the distal thoracic aorta. Similar situations occur at the renal pedicles, the junction of the cervical with the thoracic spine and also between the white and grey matter within the brain. Bowley, D., & Boffard, K. (2002). Pattern of injury in motor vehicle accidents. Retrieved January 14, 2008, from http://www.worldwidewounds.com/2002/october/Bowley/Patterns-Of-Injury-MVAS.html.

Another source of controversy concerns the determination of a diagnosis for a specific type of injury. I have observed that the more severe the injury, the less likely a difference in the diagnosis by the treating practitioner. It is the more subtle “soft tissue” injuries that create the difficulty in diagnosing. In my opinion, this problem can be resolved if the diagnosis, or the lack of one, is determined before treatment is initiated. It is important to remember that if no injury can be demonstrated by objective evidence, both the patient and the treating practitioner must understand and acknowledge this fact and deal with the situation accordingly. Although several opinions may be held regarding a specific diagnosis, in fact, there can be only one correct opinion; this is the one that accurately describes the specifics of the injury and its extent. A third source of controversy that I wish to address concerns the treatment of the injury. From my experience, I would recommend that the treating practitioner not formulate a treatment plan until a well-documented diagnosis has been established for the injury. I would further suggest that the diagnosis reflect the dynamics of the accident that could have caused the injury in question. Following this, the injury should be dealt with by a method the practitioner has been trained to use, designated by his or her professional degree. If this regimen is followed, the majority of patients with soft tissue strain and/ or resulting injury should recover to pre-accident status within a few weeks. Having said this, I wish to point out that in some cases there is a point in the treatment program when a subtle, but definite, change occurs. The patient initially expresses relief as a result of the treatment. However, this is soon followed by the patient’s report of having pain and a request for more treatment, such as medication, massage adjustments, or physiotherapy. Unfortunately, the practitioner often continues to try to alleviate the pain by means available within his or her expertise. Here is the crucial point where the practitioner must stop and ask the following questions: Has the injury healed? Is there evidence of significant ongoing pathology to explain these continued symptoms of pain? If the answers are no, more questions must be posed: Is it responsible practice to continue to treat a healed injury as if there has been a failure to heal? Are both the treating practitioner and patient caught in a web of believing that there is a significant problem that has not been addressed, and if untreated, might cause permanent harm? Should not the patient be advised that, based on the objective findings, there is no longer a physical problem? Finally, might con-

tinued treatment cause more harm than good to the patient? It is understandable that both practitioner and patient are reluctant to stop treatment. However, at some point one must allow the patient to take responsibility for the next step in his or her life. Compliance with the patient’s request for additional or different treatment is necessary only if there has been a new or missed finding suggesting an ongoing physical problem. In this case, an additional, thorough re-evaluation would be in order. My experience has been that in some cases, the reason for the request for more treatment is that it is beyond the expertise of the professionals involved, and it is more likely in the realm of a psychologist or psychiatrist (Heffner & Walker, 2006). It is understandable that as practitioners, we are tempted to comply with our patients’ requests; because our role is that of healer; however, we must remember that in some cases, acquiescing to such requests may cause harm to the patient. This, too, we are dedicated to avoiding. Herein lies our dilemma. To quote Shakespeare, “I must be cruel in order to be kind.” All practitioners are aware that there are many methods of treating injuries, even within the same discipline. This is acceptable, provided that no harm is inflicted on the patient as a result and that the goal of the treatment is the satisfactory healing of the diagnosed injury. I do not intend to delve into the methods of injury treatment here; however, it is necessary that I address the manner in which a patient is approached to obtain the best possible outcome for that patient. One strategy to attain this outcome is to ensure that the focus of the treatment is directed at the injured area and that the rehabilitation of the patient begins at the outset. This is a critical period, because it affects the patient’s view of his or her accident and response to the physiological and/or psychological trauma. In my experience, patients who have been injured in accidents invariably express this trauma as pain. The degree of pain usually varies with the individual and derives from a number of factors; understandably, one is anxiety. This factor can be eased significantly by helping the patient to understand the following: the exact nature of the injury, expected period of the healing process, type of treatment, and duration until full recovery. In addition, the patient should be reassured and encouraged to continue to use all the uninjured areas and should be made aware that rehabilitation of the injured part(s) must commence as soon as it is reasonably safe to do so. If treatment focuses only on the pain response, and not on the injury, neither is likely to be alleviated.

42 THE FORENSIC EXAMINER Spring 2008

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As perception of pain is personal, each patient responds to an injury in a different manner. Further, an individual’s perception of the character and the degree of pain can fluctuate, even though there has been no change to the injured area. Hence, it is most important not to use the patient’s pain response as a measure of treatment effectiveness or as an indication of a need for additional treatment. To reiterate, it is important that the treating practitioner remember the following guidelines: Treatment must be focused on the healing of the existent injury rather than on all the symptoms described by the patient, as some may not be relevant to the injury in question and its stage of healing. The last, but not least, area of contention is the role of the independent evaluator. The evaluator, too, must focus on the diagnosis and on the stage of recovery from the injury. Should there be residual objective findings from the injury, the evaluator must enumerate the specific facts and determine whether the problems are due to the accident in question. If there are such findings, the evaluator is obliged to make a statement of opinion to that effect, in spite of the patient’s report of severe symptoms. The evaluator’s opinion is deemed to be based on professional qualifications, experience, and objective findings (Haberstroh, Henry, & Mulhern, 2005). I cannot emphasize enough that neither the treating practitioner nor the independent evaluator should become a party to the claimant’s case should a dispute arise. Independent Medical Reports should be based on objective findings and opinions emanating from these findings. The treating practitioner has a duty to provide the best treatment for the injury, issue well-doc(800) 423-9737

umented and timely reports, and in these areas only, be the patient’s advocate. The same rule must apply to the independent evaluator in regard to advocacy. If both professionals concerned follow these guidelines of injury management, the treating practitioner and the independent evaluator will be working towards the same goal: the return of the patient to the pre-accident status and lifestyle as quickly as is deemed reasonable for the specific injury. In closing, I must reiterate that both the treating practitioner and independent evaluator are examining the same patient; hence, their objective findings and conclusions should be in reasonable agreement. I truly believe that if the aforementioned suggestions are applied, when assessing and treating patients of motor vehicle and work accidents, many of the disagreements among the professionals involved will, in all probability, be eliminated.

References Haberstroh, J., Henry J.R., & Mulhern, K.J. (2005). Properly documenting a file and forensic examination or IME doctors. The Forensic Examiner, 14(4), 20–31. Heffner, F., & Walker, J. (2006). Disability, dysfunction, or deception: Explaining acquired occupational disability. The Forensic Examiner, 15(1), 12–23. Stedman, T.L. (1995, March). Stedman’s medical dictionary. (26th ed.). Williams and Wilkins. Earn CE Credit To earn CE credit, complete the exam for this article on page 80 or complete the exam online at www.acfei.com (select “Online CE”).

About the Author Dr. Fielden earned his medical degree in 1957 from the University of Toronto Medical School. He obtained his Fellowship in Or thopaedic Surgery in 1963 and was later appointed a clinical teacher at the University of Toronto. He also obtained his American Board Certification in Orthopaedic Surgery. In 1978, he moved his practice to Minnesota, where he became an Assistant Professor at the University of Minnesota. Although his practice was in general orthopaedics, he was drawn gradually towards the specialty of spine surgery and back pain management. Dr. Fielden also began administering Independent Medical Examinations in Minnesota and other states, and after returning to Canada in 2000, he continued to provide this service. He estimates that he has performed more than 15,000 evaluations during the past 25 years. One of Dr. Fielden’s interests lies in the medicolegal field, so he has been a member of The American College of Forensic Examiners for the past 10 years.

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

Stories From the Front: IE (IME) Excesses and How to Counter Them By John Haberstroh, DC, and Kevin Mulhern, DC

Abstract

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. After studying this article, participants should be better able to do the following: 1. Quickly understand the immense gravity of an IE performed on a patient, client, or friend and better prepare the patient for the encounter. 2. Formulate a forensic plan to adjudicate either the IEs and/or the report submitted. 3. Identify the legal aspects and remedies available to combat the more egregious fraud perpetrated by the IEs in the name of “cost containment.”

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In two prior papers, “Properly Documenting a File and Forensic Examination of IME Doctors” and “Qualifications and Paradigms for the Independent Examiner,” we first explained how field practitioners can better document case files to withstand challenges, including those made by Independent Examiners (IEs, a.k.a. IMEs, ICE, DME, QME), and addressed forensically examining the IE, as well. The second paper sought to establish reasonable standards and protocols to which IEs should be held. It is thought that, in this way, the examiner’s credibility can be established, to say nothing of actuating fair and accurate examinations. Still, despite nationwide protest and outrage among practicing doctors and angry patients, the reality is that in a vast majority of jurisdictions in the U.S., any doctor can become an IE merely by making application with an insurance company or intermediary; for most states, there are simply no standards or guidelines to organize this process. We have always spoken out against this. The previous two papers represent two of the few published works on this subject. This paper will demonstrate the excesses some IEs go to in cutting claims. While we hasten to add that this is not an indictment against all Independent Examiners, these are stories that need to be told because they shed light on what is becoming alarmingly commonplace in health care: IEs who ignore patients, ignore factual medical realities, and ignore sworn testimony, downgrading real injuries under the fiction of being “independent.” When called to task, the IE has only to say, “That’s my opinion,” without threat of lawsuit, discipline, or any form of sanction. We consider such scenarios a moral outrage and an injustice to patients who suffer as the result of biased “independent” examinations. Many IEs do “reviews” and “independent examinations” full time and do not actually treat patients anymore. Although business is booming, it’s the patients who lose out.

Key Words: IE, Independent Contractor, interrogatory

his paper will demonstrate true stories of IE excess. It will move forward to suggest strategies, both clinical and legal, to deal with these excesses. As always, the main thrust of this essay, like its two predecessors, is to bring a realization of a major problem to the forefront of forensic analysis and public awareness and to offer reasonable counter-measures to address the problem. PART I—“But Doctor, I really do have these problems. My pain is real!” *This article again is written by chiropractors. As such, it slants somewhat towards chiropractic practices. Interestingly, our first story coincidentally involves a chiropractor “victim.” Joan Hangarter was a successful chiropractor in California. She was building a busy practice. She

owned a nice home in Marin County, and she had two small children. One day in 1997, she was attempting a difficult lumbar adjustment on a large male patient and felt a burning, ripping pain in her right forearm. The pain seemed to radiate up to her neck. Like most people, she thought a little rest would clear it right up. How wrong she was. The pain got worse. Months later, after numerous attempts to treat the pain with physical therapy, chiropractic care, medical intervention, and numerous tests including MRIs, she was diagnosed with a permanent disability and was told she would no longer be able to practice (Bourhis, 2005). *She had cervical disc disease and lateral epicondylitis. It wasn’t elaborated on in the book, but I gather she had at least one frank disc herniation in her lower cervical spine. Years before, Joan had bought a disability plan that was supposed to cover her in the event she

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couldn’t work again. Although Joan was deeply saddened by the medical condition, she was glad she had disability coverage. Following an investigation by Paul Revere Insurance, she was deemed disabled, and disability payments followed. This allowed her to maintain her home, pay the bills, and with some frugal budget pinching, maintain her basic lifestyle. All was well until Paul Revere was swallowed up by its chief rival, Provident. Suddenly, her benefits stopped. Shortly thereafter, her life spiraled out of control. She couldn’t work. She sold her practice to a young chiropractor who couldn’t afford to make payments to her, her car was repossessed, she and her children were eventually thrown out of her house, and she finally wound up on welfare and food stamps (Bourhis, 2005). Disability insurance is about peace of mind. It doesn’t replace a car or house, but it makes up for one’s inability to work. Barring a medical examination that speaks to the contrary, a person in Joan’s position, one with a viable policy and a legitimate claim, should have the peace of mind he or she was paying for. Understand that insurance companies don’t make big money on the premiums they collect. The big money that floats most, if not all, of these companies is in the investments the insurance company makes. They earn interest and capital gains on investments in stocks, bonds, and real estate. The 1980s were the decade of double-digit interest rates and returns on investments. The first blow to the insurance industry was in the 1980s when the structure for depreciation on real estate investments changed, which precipitated the savings and loan crisis that then spilled over into the banking and insurance industry. This is when a number of “performing loans” became non-performing loans, and foreclosures and bankruptcies tripled. The second blow came when health-care insurance carriers cut reimbursements to doctors and dentists, and claims by these professionals nearly put the longterm disability carriers like UNUM out of business. The third blow arrived in the 1990s with the bust of the dot-com boom. The investments weren’t bringing in nearly the revenue they had been, and claims were still pouring in from policyholders. Provident alone had to post a $430 million loss in 1993 out of its reserve fund to cover incoming claims. Provident hired a new CEO by the name of J. Harold Chandler. He had an MBA and no experience in the insurance world. However, he did know how to operate a calculator. What would follow was shocking. Shortly after Chandler’s arrival, Provident hired Ralph Mohney to take over Provident’s claims department. Mohney’s background was that of a tax accountant. He, too, had not handled a single insurance claim. But, like Chandler, (800) 423-9737

Mohney did know numbers. The end result of this corporate shake up: the thrust of the company became finding ways to refuse claims. Since interest rates on investments had dropped precipitously and couldn’t be changed, the company altered its bottom line by denying claims. Joan Hangarter was one person caught up in this seismic paradigm shift. Oddly, Joan had already had an independent examination with a Paul Revere doctor who had initially authorized disability payments. But Paul Revere, Inc. no longer existed. Provident bought Paul Revere, Inc. in 1997, and the deal was hailed as being worth more than $1 billion. Provident was now going to conform to Chandler’s vision. In March of 1999, Provident demanded a new independent examination by a doctor they approved of. This was a handpicked orthopedist named Aubrey Swartz. Joan brought in her MRIs, treatment notes from all the other

Understand that insurance companies don’t make big money on the premiums they collect. The big money that floats most, if not all, of these companies is in the investments the insurance company makes.”

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Sadly, this is not an isolated case. Big companies do pay many claims, but paying some claims is a part of their defense.”

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doctors, and most importantly, herself, for the “independent” examination. Dr. Swartz didn’t say a word throughout the “exam,” and Joan left assuming his findings would be consistent with the other examinations. A few weeks after the “independent” examination, a claims representative named Ken Seaman arrived at her door. He told Joan that upon reviewing Dr. Swartz’s report, it was clear to Provident that Joan had no disability and could perform her chiropractic duties with no hindrance. Joan next received her official termination letter from an adjuster named Joseph Sullivan informing her she was not entitled to any aspect of her benefits, and they were, indeed, terminated immediately. The decision had been reached using a number of factors, but primarily on the IE doctor’s report (Bourhis, 2005). Joan sued UnumProvident. She used Ray Bourhis, Esq. as legal council out of San Francisco. During pre-trial depositions, and later in actual trial testimony, it became clear that another medical specialist had been enlisted to cut claims. Joseph Sullivan often referred case files to the UnumProvident in-house medical specialist Dr. John Bianchi. It was Dr. Bianchi who read Dr. Swartz’s report and opted to recommend to

Sullivan that Joan Hangarter’s benefits be terminated. His findings were completely contrary to all the gathered medical evidence in Joan’s case. Sullivan also admitted that UnumProvident solicited doctors through an intermediary company (Brokerage Firm) called Genex, Inc. The initial strategy was to insinuate that Aubrey Swartz was totally “independent.” It came to light during cross-examination that UnumProvident actually owned Genex, Inc. Thus, the “independent” doctors that “independently” examined patients were, in effect, working for the main insurance company. Records indicated Dr. Bianchi had never met Joan Hangarter, much less examined her. Upon further testimony at trial, Dr. Bianchi referred to himself as an “independent contractor.” He performed “claims reviews” for UnumProvident as follows: A couple of times per week he would come to work and face a stack of files and attendant medical reports. He also had a page of written questions to answer on each file posed by the adjuster. He was paid extremely well for his “opinions” and he provided written answers on each file he was given. He never spoke to the patients, nor did he speak to the IE doctors who did the “independent examinations.” He reviewed records. Interestingly, Bianchi admitted

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that UnumProvident normally did not provide information on the “usual and customary” duties of the people he was evaluating. In this case, he was ignorant of exactly what chiropractors did and how they performed their services. How could someone that had no idea what people actually did for a living make an informed assessment about the claimant’s ability to return to normal duties? He reviewed the report of hired gun Dr. Aubrey Swartz and made an uninformed decision that negatively affected Joan’s life. Joan Hangarter eventually won her suit against the insurance company, which predictably appealed the decision immediately. The appeal added another year to her case, but in the end, Joan was awarded more than $7 million (Bourhis, 2005). Sadly, this is not an isolated case. Big companies do pay many claims, but paying some claims is a part of their defense. While they pay many of the day-to-day medical claims that come in, they save the most money on the denial of longterm disability claims. The mechanism of these denials is built and supported entirely around the “opinions” of IME (IE) doctors and “independent contractors” that may be far from independent. They save even more money on denials of personal injury and workers’ compensation claims. The denials are again based on the opinions of “independent medical examinations.” The authors have observed IME (IEs) reports and their validity since the early 1980s, primarily in the personal injury (PI) arena. We recognize that some IMEs perform their work fairly and reasonably. In our opinion, the workers' compensation system has similar problems. We foresee that these abuses will spread into the routine major medical/ health insurance system, which may further limit care. As we see it, the current abuses and failures in the IME system must be taken to task and cleaned up for the benefit of the public. *Note: The authors are in no way trying to suggest that it’s only the medical orthopedists who cause all the problems. Our next two stories involve chiropractor IEs. As stated in our previous essay, with the average everyday claim review/IE, at least here in Massachusetts, the medical orthopedists have been refreshingly fair, generally speaking, compared to chiropractor IEs. PART II—“Ask me no questions, I’ll tell you no lies.” In late 2004, Jerry Blackwood, a Doctor of Chiropractic practicing in Boston, contacted this author to review and, if possible, rebut a rather strenuous report rendered by one of the betterknown chiropractic IEs in Massachusetts. We’ll (800) 423-9737

call the IE doctor Dr. D. In short, we found this to be one of the most preposterous “reports” ever written by anyone. The IE report is allegedly supported by available critical literature. This appears to be an attempt to add scientific validity to the report and thus render it more “legitimate.” A closer look at this report shows that of the 12 pages included therein, more than eight pages are references. The first two pages of the report are more or less a table of contents, leaving about two pages of actual report writing. In those two pages, the IE manages to debunk literally everything in the entire chiropractic canon. According to this chiropractic IE, literally everything that chiropractors do (and for that matter, have ever done) is unsubstantiated and clinically irrelevant; thus, most, if not all, treatment should not be reimbursed. The rebuttal, written by me, dissects and forensically examines the literature and, more importantly, the doctor. In our previous essays, the authors have spoken about obtaining the CV of IE doctors. In an early draft of our first article, we mentioned a bogus CV that we had obtained. This was the actual case and the CV we have referred to. My forensic rebuttal explains the dishonesty and exaggerations in this CV. Some of you may be thinking, “Why not inform the Chiropractic Board of Registration and have them discipline this doctor?” The Board heard about the CV and did nothing. It seems most of the Board members are IE doctors or “insurance consultants” also. Final outcome: Dr. Blackwood was paid in full on his case, based entirely on my forensic examination of the IE doctor and his report (Haberstroh Rebuttal, 2004). Another strange case involves a different chiropractic IE doctor (Dr. M.) who was involved in a report with the other author of this article. In his report, Dr. M. stated, “As anyone knows, the chiropractic subluxation* has not yet been determined to be a clinical entity that is either reproducible or detectable amongst practitioners with any degree of consistency or reliability . . . None of my opinions as stated in my . . . report have changed in this matter . . . under the pains and penalties of perjury.” How odd then, that this same chiropractor, who is an IME and an insurance consultant, had a website that discussed subluxations in numerous areas. Furthermore, this same Dr. M. does not remember that we as chiropractic physicians, Doctors of Chiropractic, or chiropractors are licensed in Massachusetts and maintain that the term subluxation does exist. The term subluxation is actually cited on the Massachusetts Board website. Notwithstanding, this individual is certain this is not a clinical entity. (*Subluxation is a term used to describe vertebrae slightly out of place.) Dr. Mulhern rebutted this IE vigorously with a favorable outcome. So, what can be done about all of this?

Definitions of Key Words 1) IE: Independent Examiner or Independent Exam. A simple abbreviation of the more commonly used “IME” (IE, a.k.a. ICE, IME, DME, QME, etc.) contraction. A patient is, actually, physically examined by an examiner. The examiner is called an IE. 2) Paper Review: A review of a case file, not the actual patient. In this event, the review is still conducted by an IE. He or she may also be called a Peer Reviewer. The terms IE and Peer Reviewer are interchangeable here. 3) Forensic Exam: An examination that may ultimately lead to a discovery of detail in a legal setting. 4) Outcome Measures: These are generally questionnaires that are periodically handed to patients by the treating physician. They ask specific questions about how patient are feeling and their ability to perform activities of daily living (ADLs) throughout their treatment. The doctor, after the fact, tabulates the “values” of the answers via a point system not available to patients. These responses are considered to be valid indicators as to how a patient feels in an ongoing format that is suggestive of the efficacy of the treatment protocol the doctor is using. Oswestry is probably the oldest and most well known of these. However, one of the better measures of outcome is the actual return to work. Another is the reduced use of scripted meds. Both of these issues are quantifiable, and both save money for the insurance company. 5) Independent Contractor: Refers to another level of IEs that often review reports submitted by IEs and render a second opinion on a medical case on behalf of an insurance company. 6) Adjustment: This is the word used by chiropractors to describe the manual manipulation they perform on someone’s spine or extremities. “I gave Ms. Jones an adjustment to the neck today.” 7) Interrogatories: A set of questions that one party sends to another party during a lawsuit. Typically, both parties send interrogatories to the principles on either side. The answers are in affidavit form. They have to be honest and truthful in lieu of the responding individual committing perjury. 8) Brokerage Firms: The term “brokerage firm” in the insurance arena denotes a separate company that employs doctors and a support staff usually comprised of former insurance company employees. Thus, the strategy here is to make all parties (patients, unsuspecting attorneys, treating doctors, and judges) believe that the firm and its doctors are separate entities from the insurance companies. One key benefit was to coin the word “independent” for their contractors, even though these firms are at arm’s length from the insurance companies.

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Claim Concepts

1) Playing the Float: This is a banking and insurance company term for using other people’s money to earn interest. By withholding payments as long as possible, the insurance company has more money available to earn interest. Even though the insurance company knows it has to pay the claim, by using stalling techniques, it may hold the money for a longer period of time. As an example, if the company holds the money for 3 years earning 12% a year on the money, and inflation is 4% a year compounded over 3 years, the company has earned 50% on the money it withheld, paying, in actuality, only 50 cents on the dollar that it owes. 2) Setting Reserves: This is an insurance company term that involves the estimated cost of settling a claim. When a claim comes into the insurance company, an adjustor looks at the type of injury and claim, and based on actuarial tables, “sets a reserve.” This reserve is a prepaid expense, according to GAAP (Generally Accepted Accounting Principles). Now, here is the important part: If the insurance company can settle the claim for less than the reserve, the difference comes to the income side of the ledger statement and drops to the bottom line as profit. As an example, if a claim for reflex sympathetic dystrophy (RSD) is received, most insurance actuarial tables have the reserve listed as $1 million. However, with proper diagnosis, it turns out 71% of RSD cases are really nerve entrapments that can be treated for $50,000 (Hendler, 2002). If the RSD case turns out to be nerve entrapment and is properly treated, the insurance company can then move $950,000 ($1 million minus $50,000) to the income side of the

First, the everyday treating doctors (like your authors), regardless of discipline, need to meticulously document each and every case file. We’ve said this before, but it bears repeating. Second opinions are often helpful, but as we saw with Joan Hangarter’s case, several second opinions were ignored, and it took a lengthy lawsuit to bring justice to her cause. Nevertheless, in a particularly involved case, a second opinion is not only a good idea but nearly always indicated. With an extremely detailed and well-authored first day report, detailed treatment notes, use of outcome measures (*Oswestry Disability Index, SF36, SIP— this is becoming a highly important aspect of all practices at this point and should be done by all practitioners), occasional re-examinations to check progress or lack thereof, advanced imaging where indicated, and the possible inclusion of a second opinion and/or secondary treatment, the clinical case picture becomes more solid, harder to attack, and easier to defend, especially if the case goes to court. If an independent examination is scheduled and your patient does go, as the authors suggested in the first two papers, there is a checklist of things to do to level the playing field (Haberstroh et al., 2005; Haberstroh et al., 2006). A. Inform patients what is in store for them 48 THE FORENSIC EXAMINER Spring 2008

when they go to an insurance exam. Most patients seem to think that it is a friendly part of the process. The fact is, the IE is there to determine whether or not continued care is indicated. If the IE is more of a “hired gun” type of doctor, this encounter could lead to abridged care. The patient should be admonished to go to it but to understand it is not a “friendly” exam. The patient should be carefully instructed by the treating doctor to not attempt to exaggerate his or her condition in any way, but to just be truthful about the situation. B. If at all possible, bring a witness to the IE. The witness can verify what went on, take notes, and most importantly, make a forensic timeline as to when the exam started, how much of it was talking, how much was actual examination, and when it ended. The witness can provide another opinion as to what happened at the exam (or should we say, what didn’t happen). C. Have patients fill out a sworn affidavit after they return to you from the IE. In that sworn affidavit they should, among other inventories, describe the timeline of the exam. We urge that the witness, if there was one, fill out the affidavit as well. Too many people like Joan Hangarter simply

trust the IE and think things will be okay. Not necessarily, we say. D. The treating doctor should also examine the patient the same day as the IE. He or she can render a report as to what his/ her findings were that may or may not be consistent with the IE “findings.” Second, the field doctors are urged to refute any IME report they feel is in error. Explain what symptoms supported the clinical treatment regime, describe the outcome measures used, highlight and summarize reexaminations, and make available second opinions and/or imaging/testing, if applicable. One of the best ways to attack biased IME (IE) reports is to cite your own collection of literature and articles from peer-reviewed medical journals supporting your own treatment regime and/or debunking the opinions offered by the IME. Be advised: This technique works both ways as we saw with Dr. D. A classic IME fall-back position is to say, “Well, in my opinion . . .” We now know with the advent of the Daubert Criteria, this kind of ad hoc opinion won’t stand up well in court. Again, outcome studies are crucial for the practicing doctor of any discipline to document care, progress, and to substantiate the choices a doctor makes in treatment in-

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ledger and report $950,000 in additional profit. On the other hand, if a “whiplash” claim comes in, and the typical reserve is $12,000, but later it turns out to be a C5–6 herniated disc that requires an anterior cervical fusion, which costs $60,000, the insurance company has “under-reserved” the case, by $48,000. If this occurs multiple times, the insurance commissioner in the state where the insurance company is licensed can fine the company for being under-reserved. If there is a consistent pattern of “under-reserving” cases, the insurance commissioner can declare the company insolvent and revoke its license to operate. Setting the proper reserve is the single most important concept in the insurance industry. 3) Bad Faith: This refers to an intentional failure to honor contractual obligations, such as paying on a claim that the company is obliged to pay. If convicted of “bad faith” activity, the insurance company must pay triple damages. For example: A $60,000 claim is filed to pay for an operation following an accident, but the insurance company denies the operation is related to an accident. If it is proved in court that the operation was accident related, then the company has to pay $180,000.

Legal Note:

criteria comprised the proper standard to which scientific evidence and testimony must comply. Rule 702 of the “Federal Rules of Evidence” governs evidentiary issues such as expert testimony, and, furthermore, affirms what is minimally necessary in order for a judge to fulfill what has become essentially a gatekeeper role when screening and filtering scientific evidence trying to be entered in court. Thus, according the court’s ruling on the Rules of Evidence (including Rule 702), the standard is such that (1) it intends a grounding in the scientific method, (2) “knowledge” means a set of facts or ideas accepted as true on “good” grounds, and (3) the scientific data/testimony may be tested by applying several more rigorous criteria than heretofore appreciated in the federal system. Therefore, concerning the testimony of an IE who says merely, “In my opinion…”: this testimony is inadmissible in a federal court (Rast, 2006).

References

Hendler, N. (2002, October). Differential diagnosis of complex regional pain syndrome, Type I (RSD). The Pan Arab Journal of Neurosurgery, 6(2). Rast, P. (2006). The Daubert decision: Accident reconstruction considerations. The Forensic Examiner, 15(4), 37–41.

Daubert Criteria: Daubert v. Merrell Dow Pharmaceuticals (1993) was first filed in the Southern District Court of California in 1989. Eventually, it wound up in front of the Supreme Court of the United States, who decided that the more modern “Federal Rules of Evidence”

ventories. Do a forensic examination of the IE doctor. In Joan Hangarter’s case, it was found that Dr. Swartz was not a practicing doctor, but only engaged in examinations for the insurance company. Dr. Bianchi also did not practice, nor did he perform examinations. Both doctors worked for the brokerage firm Genex, owned by UnumProvident, which is a conflict of interest. Dr. Bianchi merely looked at files, and made relatively quick decisions on lifetime disability issues without meeting the patients. These details matter. Find out who is paying the IME; you may uncover the real motivation behind a denial of benefits (Bourhis, 2005). Third, many of the IE’s opinions will remain “unchanged” no matter what you are able to substantiate or how compelling the clinical case. If Daubert arguments don’t work in paper rebuttals, the patient or doctor should consider contacting a lawyer to seek reimbursement for services rendered. If a lawsuit is filed, the insurance company will be notified of the suit. If the lawsuit is big enough (larger than small claims), a set of interrogatories are sent out to the principles at the insurance company, the plaintiff, and the doctor. This is where meticulous care and well-documented case notes become crucial for the plaintiff. As (800) 423-9737

the lawsuit progresses, depositions may ensue. Depositions, although they appear “informal,” should be approached as seriously as an actual trial. They are legally binding sessions with the plaintiff ’s and defendant’s attorneys present and a court stenographer. The court stenographer will record everything that is asked and answered during the deposition. Depositions are known for being “fishing trips.” The latitude in questioning is vast and often the questioning lawyer(s) will keep pressing on a variety of issues to see what they can “catch” to weaken the deponent. After the deposition, the court reporter will create a written record of everything that was said. This transcript will be given to the deponent to read. The deponent may make corrections to the transcript at this point if they are needed. Once corrections are made, the witness signs the transcript. Make certain the deposing attorney understands you want a copy and your signature on the transcript. Both the original and corrected version will be available to be used as evidence in future court actions (Israel, 2001). Occasionally, a settlement may be offered by the defendant. In Joan Hangarter’s case, UnumProvident continually offered $500,000 to settle the case to make her go away (Bourhis, 2005). She held

out for more on the strength of the forensic medical data in her case and what Attorney Bourhis had uncovered via interrogatories and trial testimony. It was a good thing that she did. All cases are different and a settlement offer, if it comes, can sometimes be satisfying to all concerned. An offer like that should be carefully considered. If the case goes to trial, remember one main point: You must convince the jury of your cause and your issues. Jurists are people like you and me. They are affected by seemingly little things, like whether or not an expert witness smiled at them. When jurors were interviewed about which expert witness impressed them the most during the O.J. Simpson trial, they responded that they liked Dr. Henry Lee because he smiled at them as he approached and left the witness stand (Bugliosi, 1996). At some point the treating doctor/forensic examiner will be called to testify. You will be able to refer to your notes, so do so, and be confident of your case. Few experts have ever testified where a few points didn’t have to be conceded here and there during cross-examination. Speak the truth; if you can’t remember something, say you don’t remember. Stay away from terms like “never” and “always,” and do not speak in a condescending manner. Later, Spring 2008 THE FORENSIC EXAMINER 49

to insurance companies. State regulations, or lack thereof, are largely handled by the appointed or elected Insurance Commissioner. The McCarran-Ferguson Act does not itself regulate insurance, nor does it mandate that states regulate insurance. However, it does empower Congress to pass laws in the future that will have the effect of regulating the “business of insurance.” However, Federal acts that do not expressly claim to regulate the “business of insurance” will not trump state laws and regulations that do (U.S. CODE, Title 15). Everyone benefits from being educated to the realities of the insurance industry. If all else fails, then a lawsuit may be the only final option.

References About the Authors John J. Haberströh, DC: Private practitioner-Somerville/Boston, Massachusetts, U S A , Diplomate of the American Board of Chiropractic N e u r o l o g y, Diplomate of the American Chiropractic Academy of Neurology, Fellow of the American College of Forensic Examiners Institute, Certified Medical Investigator-Level 5, Certified Forensic Consultant, Certified: Spinal Trauma/ Sports Physician/Rehab. Methods and IME/Peer Reviewing. You may access his website at www.bostonspineclinics.com Kevin Mulhern, DC, FICC, is a private practitioner in Waltham/ B o s t o n , Massachusetts.

50 THE FORENSIC EXAMINER Spring 2008

upon re-direct, your lawyer will be able to rehabilitate you on whatever points may have arisen that clouded an issue. Just make sure everything is as clear as possible to the jury as you explain the case file. If the jury understands your case, the chances are good that you and your patient will prevail when the jury returns a verdict. In smaller court actions, such as small claims court, there is a court magistrate who will hear both sides of an issue in an anteroom somewhere in the courthouse. While expedient, magistrates may not be educated in your field of work. Again, it is crucial to get your points across and make the case as clear as humanly possible. There are no exceptions to a well-documented case file. For the treating doctor, this should include an extensive and detailed case history, all relevant orthopedic/ neurological findings (where applicable), a differential DX, final DX, treatment plan, consent to treat form, and prognosis.

Conclusion As it stands, the general public is unaware of the occasionally contemptuous, fraudulent nature of some IEs. Even an educated, intelligent, practicing doctor like Joan Hangarter went to her IE blithely unaware of the agenda-driven nature of the faux exam and its harmful conclusions. All people, treating doctors and their patients, need to be aware of what may go on in the IME (IE) arena and prepare for the worst. If a reasonable examination is conducted with reasonable conclusions, so be it. If not, precautions need to be taken. As stated, having a witness who can corroborate what happened at the IME (IE) and a signed IME affidavit are good strategies. There is no Federal protection from this behavior, either. According to the McCarran-Ferguson Act of 1945, the Federal government is prevented from enacting any consumer protection laws with regard

Bourhis, R. (2005). Insult to injury: Insurance, fraud and the big business of bad faith. Berrett-Koehler Publishers, Inc. Bugliosi, V. (1996). Outrage: The five reasons O.J. Simpson got away with murder. Island Books (through Dell Publishers). Dr. D. (2003, October). IME Report on patient RH. Dr. D. (2003, October). CV. Haberströh, J. (2004, May). Rebuttal of Dr. D. IME Report on patient RH. Haberströh, J., & Mulhern, K. (2005). Properly documenting a file and forensic examination of IME doctors. The Forensic Examiner, 14(4), 26–39. Haberströh, J., & Mulhern, K. (2006). Qualifications and paradigms for the independent examiner. The Forensic Examiner, 15(3), 24–32. Hendler, N. (2002, October). Differential diagnosis of complex regional pain syndrome, Type I (RSD). The Pan Arab Journal of Neurosurgery, 6(2). Israel, S.M. (2001). 130 Rules for Every Deponent. Litigation, 27(4), 46. Rast, P. (2006). The Daubert decision: Accident reconstruction considerations. The Forensic Examiner, 15(4), 37–41. Spitzer, E. (2004, October 14). Investigation reveals widespread corruption in insurance industry. Office of the New York State Attorney General. Press Release. U.S. CODE, Title 15, Ch. 20, Sec. 101

Earn CE Credit To earn CE credit, complete the exam for this article on page 80 or complete the exam online at www.acfei.com (select “Online CE”).

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Spring 2008 THE FORENSIC EXAMINER 51

Case Study

The Disability Claim Buyout By Arthur L. Fries

isability insurance companies sometimes offer a disability claimant a settlement in the form of a buyout. Rather than pay a monthly benefit over what might be a period of many years, the company offers a lump sum settlement in the form of a single check. If the claimant agrees to the settlement, he or she relinquishes any rights or additional benefits other than the specific terms of the settlement.

Finding Help Although few and far between, there are disability claim consultants who can assist claimants with a buyout offer. Consultants with the most expertise provide only claim consulting advice and do not sell a product or provide financial advice. Seek out a consultant who is experienced both in disability claims and in negotiating buyouts.

Who Approached Whom? There are varying company attitudes toward buyouts. Some disability carriers or administrators prefer to approach a claimant about a buyout. Sometimes clients approach companies that do not initiate buyout offers, presumably in a fashion in which the client does not reveal a clear preference for a buyout. Revealing such a weakness would unduly serve the carrier in negotiations. Other companies simply do not engage in buyouts. Some companies provide initial offers that are fair and based on sound actuarial principles, and they most likely will not deviate from the initial offer. Other companies tend to use the initial offer to test whether they can pay the lowest possible figure. There have even been extreme cases where companies send their home office personnel to clients’ residences and indicate that they would like to buy out the claim, offering 10 or 12 cents on the dollar of the actual value of the claim. Some representatives have pressured clients, including threatening them with another Independent Medical Evaluation or a Functional Capacity Evaluation. Clients often fear additional evaluations will cause pain as a result of their injuries. The representatives might also propose an additional neuropsychological exam or 52 THE FORENSIC EXAMINER Spring 2008

a variation including several or all of these components. The mention of additional video surveillance, which sometimes makes the claimant feel as if “big brother” is watching, is also used as a threat to try to get the claimant to cave in. Often in negotiating with a claimant, insurance company representatives will open with a request that the claimant provide them with a figure of what it will take to have the claim bought out. How the claimant responds at that point could be a crucial aspect of the buyout process. Claimants should always be advised to secure an offer in writing from an insurance company. In the offer letter, insurance companies normally cite the figure they are prepared to pay and discuss the present value of anticipated future benefits. The carrier often neglects to mention the future potential benefit of how much the monthly benefit is worth to age 65 or to the point of the individual’s life expectancy. The present value takes into consideration the insurance company reserves and a discount factor is applied, reducing the amount paid to the claimant by an amount that represents unearned interest for future years. Not knowing what the future potential benefit is makes it harder for the claimant to figure out what the claim is worth. A cost of living adjustment (COLA) benefit might also be included in the policy,

which the insurance company sometimes deletes from its calculations in coming up with an offer to the claimant. The COLA benefit might be paid on the basis of “simple interest” or “compound interest,” and it’s important to know which interest factor is applied in the application calculation. Almost all COLA benefits level out at age 65 and then, if a lifetime payout, continue at that level amount for life. On some rare occasions, there are COLA benefits that do not level out at age 65 and continue to increase for life. After reducing the future potential benefit down to the present value and applying an interest factor, an additional reduction is made for mortality in which the company estimates when it believes the claimant will die, as well as a morbidity factor, if the insurance company believes the claimant has a potential to return to work. Finally, companies often apply a further discount to give the insurance company a profit margin so that the buyout makes sense to them. Obviously, the lower the offer the company makes, the higher the profit margin.

Who Does the Calculations? In assessing such a proposed buyout, an actuary experienced in disability claims should be brought in to work up numbers for your client. Finding an actuary with expertise in such an area may be difficult because those

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currently working for insurance companies are usually not available to claimants. However, such experienced actuaries are out there, and the right actuary can make a vast difference in attaining the correct numbers for a client. CPAs are sometimes involved, but they typically lack the required background and experience in this niche area. Attorneys will sometimes offer to represent your client in a buyout, but will usually charge a contingency fee that often is at a very high percentage of the claim and that does not accurately reflect the minimum amount of time involved in the process. Some disability claim consultants have access to disability actuaries and can provide assistance to a client either unbeknown to the carrier, or with the insurance company aware of their involvement. There are many reasons to consider a buyout and all are unique to each personal situation emotionally and financially. It is wise to seek out a consultant who has handled many disability claims and is thoroughly familiar with the disability buyout negotiation process. The claimant may flounder trying to handle such negotiations on his or her own, but the help of an appropriately trained and experienced consultant can significantly reduce the anxiety involved and one will, most likely, find the consultantsâ&#x20AC;&#x2122; fees quite a bargain. Even when such a disability buyout turns out not to be in the claimantâ&#x20AC;&#x2122;s best interest, the consultant will be paid for his or her time, enabling the claimant to secure the most sound and objective professional consultation.

Actuarial Calculations The following are figures from an actuary related to an actual disability buyout the author was involved in this past year. Consider this claimant example: The 45-year-old claimant had been disabled by carpal tunnel and cervical problems since August 1996. He had lifetime benefits with cost of living adjustments (COLA) to age 65. His original monthly benefit, before COLA, was $18,550. Financial figures related to his annuity of benefits were also calculated. The claimant had a life expectancy to age 79.2, according to recent Society of Actuaries standard mortality tables. With COLA already applied, his current benefit is $25,228. COLA is related to CPI, has a 4% minimum increase, and has been assumed to be 4% in the future. His maximum payout, including future 4% COLA increases, would be $14,383,240. If these benefits were received today, discounting at a 5.50% interest rate, the value would be (800) 423-9737

reduced to $5,940,352, or 41.3% of his maximum anticipated payout. The reduction in value is significant because of his young age and long expected lifetime. An insurance company will hold reserves based on the 1987 Commissionerâ&#x20AC;&#x2122;s Group Disability Table and is allowed to include additional morbidity factors. This reduces the value of benefits to $4,058,169 or 28.2% of his full payout. Again, this reduction reflects his young age, which according to the standardized insurance table, projects a chance of recovery from disability. That prognosis may or may not apply to this claimant. Finally, an insurer might settle this liability for approximately 80% of the reserve, or $3,246,535, or 22.6% of his maximum payout. When a disability buyout can potentially provide substantial immediate funds, it is also complex and requires exact calculations to enable you to secure the most precise and meaningful information.

Conclusion In the final analysis, a disability buyout offer should be taken seriously and proper research conducted to determine if a buyout makes sense for your particular situation.

About the Author Arthur Fries is a nationally acclaimed disability claim consultant. Prior to retiring, he specialized for many years in the sale of individual disability insurance to attorneys in the Los Angeles/Beverly Hills area of California. His experience also includes having achieved first place nationally in the sale of health insurance six years in a row for a major health insurance company. He is located in Newport Beach, California and can be reached at (800) 567-1911 or www.afries. com.

Spring 2008 THE FORENSIC EXAMINER 53

Commentary

Workers’ Compensation: A Broken Medical System By Michael A. Baer, PhD, ScD

believe even the least interested citizen is aware that we have a broken medical system in this country. Millions of our children are without medical insurance and the cost of treatment has skyrocketed. Currently, we don’t have enough health-care providers, and the long wait for treatment and the quality of services by the health-care industry is discouraging. As we tackle the issues of how to repair or change this medical nightmare, I would like to look at one aspect of the mismanaged system. The aspect I would like to examine is the New York Workers’ Compensation (WC) System, but one could just as easily select another state, or the Federal Workers’ Compensation System. The system is run by the state bureaucracy; it has become political and has been handed over, dishonestly, to the insurers to manage, much like the HMOs that have destroyed medical treatment for Americans by pure greed. The large insurance companies inserted themselves into the patient-doctor two-part system, and began making decisions—taking a chunk of the money for themselves, while denying needed treatment to the patient and reaching deep into the provider’s pocket. These companies promised to control the rising “out-of-control medical costs,” which was a big lie. Now they are just another failed part of the system that still has its hand out. Treatment is at an all-time low for patients, and the HMOs have failed to stop waste in the system. Specifically, what is required in the WC System for a patient to receive attention for an injury? I believe that there are two major problems that riddle the system. The first is the belief of the insurers that all who apply for benefits are fakers. That is, all who have been allegedly injured are faking the injury or are at least exaggerating their symptoms for monetary gain. The second belief is that the insurers should act as judge and jury by withholding treatment, creating, thereby, an additional crisis. Allow me to provide an example that I believe is representative. A rehabilitation physician is treating a man who may have suffered a head injury when the bus that he was driving was forced off the road and hit a pole. He was treated at the emergency department of the hospital, bandaged, and sent home. He then went to see his primary care physician two days later, as he had been instructed to do by the hospital emergency department. 54 THE FORENSIC EXAMINER Spring 2008

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Seen, examined, and treated for his physical injuries by his primary-care physician, he is either referred to a physiatrist or sent directly for a neuropsychological evaluation. He has numerous complaints and symptoms that suggest a brain injury. He had a CT scan at the hospital, but it was negative. He chooses to visit my psychotherapy office; however, when my office contacts the insurer about permission to see this man, the insurer is non-committal. They will not give us permission for the examination we are requesting, but state that they will look into it after we submit the report and bill. Thirty years of dealing with these companies has taught us that if we do eventually get paid for our work, the wait may be as long as 3 years. Payment is likely to depend on the ambition of the patient’s lawyer. Is he or she willing to fight for the doctors’ payment? There is no guarantee that the provider will ever be reimbursed for the evaluation of the workers’ compensation client. Most clients are anxious to return to work or, at least, to have their wounds repaired. The insurance companies, along with denying reasonable evaluations, also deny treatment to the client, creating an additional set of problems. The client has to enter into long litigation, employing an attorney, who gets paid out of his workers’ compensation benefits. The patient, meantime, still not receiving proper treatment, is suffering, causing other problems—chronic pain onset, depression, iatrogenic attitudes, and family turmoil. The patient, while waiting for needed, but denied, treatment, is likely to become dependent on or addicted to pain medications. The other problem is the serious depression and financial hardship that the family endures during this long wait. First, the client may be denied benefits while the insurer questions his injuries. Second, even if the insurer is paying part or all of the money allotted, compensation under this outmoded system is not enough for a family to live on while the worker waits to receive treatment. The worker may be denied treatment, benefits, and may lose the family home, as well. Such a system robs the worker of dignity and self-esteem—he or she sits at home waiting for this crippled system to adjudicate his case through its slow, overwhelmed process. Many have lost hope as the years drag on. The worker also becomes someone who now has to prove that he or she is injured or in pain from the untreated injury. He or she must attend numerous Independent Medical Examinations and be examined by the insurance companies’ doctors. Some of these doctors have reputations for being brutal in their handling of the patients. Others have actually handled the patients so roughly as to create additional injuries (800) 423-9737

Federal Government Programs The federal government offers four workers’ compensation programs for its employees, which provide wage replacement benefits, medical treatment, vocational rehabilitation, and other benefits to federal workers or their dependents who are injured at work or acquire an occupational disease. The programs include the following, each of which deals specifically with their relevant groups of employees: • the Energy Employees Occupational Illness Compensation Program • the Federal Employees’ Compensation Program • the Longshore and Harbor Workers‘ Compensation Program • the Black Lung Benefits Program Workers’ compensation laws for the private sector are covered by individual states. The contact information for each state’s workers’ compensation official can be found by visiting http://www.dol.gov/esa/regs/compliance/owcp/wc.htm.

or exacerbate the existing ones. Either way, the patient is thrust into the role of someone who must “act” the part of the suffering patient. If a physician or therapist chooses to treat one of these patients with pain interventions, or attempts to relieve their depression, the treating physician or therapist has no way of knowing whether he or she will ever receive payment for the work for which he or she bills, seriously reducing the number of eligible health-care professionals willing to take on these WC cases, thus driving providers out of the market. This is what the HMOs, Medicaid and Medicare, and systems hijacked by the “clerk/ physicians” practicing medicine without a license at insurance companies have left us with. They have assumed the role formerly held by health-care professionals who, in the past, decided whether a patient required a medical procedure. Those who possess the proper training, credentials, and licenses to evaluate and treat the injured worker have been marginalized by this crooked system. Health-care professionals must submit opinions to high school clerks who ultimately decide who has treatment or surgery and if the professional complains about this system, there are reprisals against him or her. A couple of years ago the governor of New York made a stab at reforming the Workers’ Compensation System. I sent a letter to the governor requesting to participate in the reform process. A very polite letter from a functionary informed me that outside assistance would not be required, as they had it all under control. When all of us have had enough of this failed health system, we will agree to skip watching American Idol one night and instead we will have a revolution to change the corrupted system into one that works for patients.

Treatment is at an alltime low for patients, and the HMOs have failed to stop waste in the system.”

About the Author Mike Baer, PhD, ScD, CRS, was chair of the American Psychotherapy Association’s Executive Advisory Board for 9 years. He is a Life Fellow of the Association and has been a member since 1997. He was awarded APA’s Master Therapist designation in 2005.

Spring 2008 THE FORENSIC EXAMINER 55

By Mark Withrow, DABCHS, CHS-V and Roger E. Rickman, DABCHS, CHS-V

Staying on Track and Learning from the Best

e’s wanted by the FBI, Special Forces, the Border Patrol, sheriff departments, SWAT teams, and at least a dozen police agencies within California and Nevada. Law enforcement personnel are aware that he camps in the mountain ranges near Reno and that he uses “Grasshopper” as an alias. What makes him so hard to find is his ability to cover his tracks, never leaving a trail. By looking at him, you would never suspect he is capable of doing what he has done: His dark, peaceful eyes, gentle smile, warm laugh, and calm demeanor are his most notable traits. But like the strategic chess player, his mind is always several moves ahead of you. The dictionary describes him to a tee under the word stealth. His name is Fernando Moreira, the most sought-after tracking instructor in the United States. In 1988, he was awarded the distin-

guished title of World’s Best Tracker. His certifications, merit letters, and commendations would fill an oversized notebook and include such honors as the American Red Cross Real Hero Award (2005, 2006), Rescuer of the Year (2001), Excellence in Search and Rescue Medal (1999), and recent nominations for the Jefferson Award (2005, 2006) and the America’s Most Wanted All Star Award (2006, 2007). Moreira became interested in the art of tracking while serving in the Portuguese Army. The year was 1976, and as a 16-year-old boy living in Portugal, he was required to join the military due to mandatory enlistment. After 9 months of 56 THE FORENSIC EXAMINER Spring 2008

training, he was deployed to Angola to fight in the war against Africa. Over the next 2 years, he received specialized instruction in tactical tracking from the Rhodesian military, as they tracked enemy forces and provided crucial intelligence for ground and air attacks. Each day, the lives of numerous soldiers relied on trackers’ abilities to gather precise information about the enemy’s movements and position. After an honorable discharge, Moreira moved to the United States, where he lived with his grandmother and continued to hone his tracking and wilderness survival skills. Throughout history, man has used tracking as a part of his daily survival. Prehistoric man, for example, had to track animals for food. Today, tracking has become increasingly utilized by Search and Rescue (SAR), and is being used by hunters, law enforcement agencies, and the military. It has recently gone through a rebirth, thanks to Moreira and his hard-working associates, who strongly believe that the more people they can train, the more lives they can save. The time-honored tradition of tracking is an art that has proven its worth many times over. Not only is this skill used to find lost or missing subjects, it can also be used to track fugitives and escapees, as well as discovering, identifying, and interpreting various types of evidence at a crime scene. Tracking involves following sign (traces) or footprints, monitoring the subject’s course, and carefully observing and pursuing that target to a successful end. A tracker is one who has the discipline needed to develop these skills, and like most specialties in the field of Search and Rescue, tracking uses skills that must be regularly practiced and perfected, or they risk becoming stale and lost. The use of a specific type of tracking called mantracking is an invaluable ability to the ground searcher. It involves the art of tracking man-made

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s The author pictured here with instructor Moreira during an excursion near Tracy, CA.

types of sign, the most common example being the footprint. Man-made sign is physical evidence, which means that mantracking yields important results for law enforcement. A person’s actions, gender, and intentions can be read from the signs they leave—this can often link a specific subject to a crime scene and validate a criminal act. It’s important to note that when a search is initiated and rescue efforts are in full swing, the coordinator cannot merely flood the area with warm bodies and expect instant results; he must rely on a few highly trained volunteers—among them are a small group commonly referred to as trackers—to use their skills in finding the subject. These trained searchers can locate and differentiate sign in order to establish a direction of travel from a point last seen or last known. By pointing the SAR Coordinator in the right direction, the trackers can assist the search effort by placing other volunteers into a quadrant of higher probability during the initial stages of the operation, thereby saving valuable time and increasing the chances for success. Anything that moves will leave some kind of sign that shows its journey across terrain. Animals, people, and machines all leave sign. It is an established fact that the average adult male leaves at least one clue every 18 to 20 inches. A trained and highly skilled tracker can detect and follow this sign, often when the untrained person sees nothing at all. “If it moves over the ground it must leave sign. A tracker is able to identify and follow sign,” says Moreira to a group of sheriff deputies who recently participated in his P.O.S.T. certified course on Crime Scene and Evidence Preservation. For many law enforcement officers, it’s an entirely new learning experience—one that is life-changing because anyone can benefit others using Moreira’s skill set. “For those who think that distinguishing a single footprint from another and following it is a simple task, I recommend they go to a lo(800) 423-9737

s During a recent course on Crime Scene and Evidence Preservation, Moreira teaches law enforcement officers the proper chain of custody techniques.

cal park and try it. If you can follow a single set of tracks for a distance of one mile in less than 30 minutes, then you are exceptional indeed. A tracker who has developed and practiced these skills can easily do that and much more. Just imagine being able to tell your SAR Coordinator not only a subject’s direction of travel, but also his or her approximate speed, height, weight, and mental attitude, as well as other various tendencies. Pretty cool, huh?” Moreira quips as he adjusts one of the straps of his tactical vest and checks the contents of his rear pouch. Whether it is a bent branch, a broken twig, or something that has been dropped, the tracker’s duty is to find and follow this sign. A leaf that has been crushed may appear bruised and turn a dark color from damage. A log that is stepped on may show dirt transfer or scuffing. Even rocks show marking and disturbance. For example, a branch of crushed needles becomes transferred to a shoe, which, in turn, is transferred to a rock. These are important clues to look for. Consider a crime scene: A common myth is that the subject (or suspect) has left several clues, making the initial search effort rather straightforward. In actuality, however, most scenes are contaminated because first responders have other priorities during their response efforts. Their main concern is to save a life, examine a corpse, put out a fire, set up a barrier, and so on. Tracking a suspect takes a professional like Moreira, who knows the procedures of documenting crime scene evidence: making sketches

t Moreira demonstrates the use of a mirror to harness the sun, a technique used to highlight tracks during peak hours of sunlight.

Photos courtesy of Peggy Siers and Kim Hernandez

Spring 2008 THE FORENSIC EXAMINER 57

‘In my experience,’ says Moreira, ‘I have taught and used the art of mantracking successfully countless times to assist agencies in need. . . . Together we can save lives.’”

s Top: Moreira instructs students on the proper methods of measuring a lost subject's footprint. Middle: A group of students pose after a 4-day Tactical Tracking course near Reno, NV. Bottom: Tactical Snow Tracking is one of the most demanding courses offered, especially when conditions become subzero.

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of sign, completing a track report for each set of tracks, establishing a perimeter, recording all personnel who have entered the scene, processing and photographing, and marking trails and tracks with flagging and GPS coordinates. This is the stuff that solves cases and puts offenders behind bars. “Taking really accurate notes has its advantages because they [notes] may be used in court years later. Your careful documentation can lead to a conviction,” remarks Moreira, recalling just such a case. During his travels to different counties and states teaching the art of mantracking, Moreira offers his services at an affordable cost to ensure that volunteers are properly trained. “I feel volunteers should not have to pay too much for their own education in order to help save a life. After all, they are already spending their own money to purchase equipment, food, gas, and maintenance expenses.” Moreira is no stranger to news crews—he’s been interviewed by the media so many times regarding his searches in Washoe County, Nevada, that he practically has a camera and microphone with his name on them! For liability reasons, a local law enforcement agency must request Moreira prior to his involvement with a search; he cannot just show up at the scene and announce his arrival. An example among many that illustrates why Moreira has been the two-time recipient of the American Red Cross Real Hero Award occurred this past year while he and team member Travis

Osterhout were en route to teach a class. They came upon a traffic accident in which an elderly retired surgeon had fallen asleep at the wheel, striking an RV head on. The two took immediate action and notified the Highway Patrol, rendered first aid to the victims, assisted paramedics and fire personnel, then remained at the crash site for over an hour until an inbound helicopter arrived to medivac the injured parties to a hospital. Though the types of cases Moreira has solved is expansive, the development stage of each case determines the kinds of details that can be disclosed. He explains further, “For cases that are pending, meaning the investigation is still continuing and there has been no resolution as yet, then I am not at liberty to discuss any details.” His hand re-positions his boonie hat as he considers the frustrations encountered on the recent search for billionaire (and world-record holder) Steve Fossett, which was more of an aerial search than a tracking exercise. Then there was the 1977 high-profile case against Siaosi Vanisi, who brutally murdered campus police officer George Daniel Sullivan. Moreira discovered key evidence that ultimately led to a conviction and sentencing that may not have been possible otherwise. The judicial system is still talking about that case! Although many believed it was impossible to track a fugitive on concrete and asphalt, Moreira managed to re-trace Vanisi’s movements from the crime scene, through the city of Reno, along sidewalks, across the univer-

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sity campus, over parking lots and busy streets, and eventually to Vanisi’s residence. In fact, it was during the courtroom trial when Moreira amazed everyone. The presiding judge decided to put Moreira to the test with a little demonstration. During a court recess, the judge took the jury outside, and, for the next several minutes, walked around on pavement to see if Moreira could validate his skills. When asked to come outside and re-trace the judge’s steps, Moreira did just that—right down to the last print. Officials who witnessed the demonstration were so impressed, Moreira was deemed an expert witness by the court system. One of Withrow’s favorite tracking cases from Moreira’s repertoire deals with the armed robbery of a U-Haul truck from Reno, Nevada. On a November evening in 2004, the Nevada Highway Patrol initiated a routine traffic stop with two subjects, only to be met with gunfire. As the subjects sped away, they continued to fire at the officer, who was able to take cover, radio dispatch, and request backup. Nearly 20 minutes into the pursuit, the subject’s vehicle crashed into a guardrail near Lake Tahoe. One subject was apprehended while the other fled the scene on foot, running into thick brush and a heavily forested area. An APB (all points bulletin) listed the subject evading capture as armed and dangerous. Moreira and the county SWAT team were assigned to track the subject, who now had been at large for nearly 6 hours. A background check of the subject revealed prior military training and evasive tactics. Somehow, the subject became privy to the information that a tracker had been called to assist in the search, so he began using several methods to throw searchers off the trail—removing his shoes and walking in socks, stepping on rocks and logs instead of the forest floor, doubling back to leave false clues—anything to aid his escape. Although he traveled through heavy vegetation that did not leave prints, Moreira was able to successfully track his movements, leading the SWAT team into position and surrounding the subject just 3 miles from the crash site. He surrendered and was taken into custody without incident. Another case involved a child molestation. The FBI contacted the Washoe County Sheriff ’s office regarding a divorced male with federal warrants who was wanted for pornography and child abuse in another state. He had crossed the Nevada state line and abandoned his vehicle in a remote mountain area. Once Moreira was assigned to the case, he was able to identify faint traces of the subject’s prints and began to track sign for more than 2 miles. (800) 423-9737

As he got closer to where the trail was leading him, he could smell a campfire. Tracking carefully into the camp, Moreira noticed the fire was still warm and contained a melting pot of plastic and paper. He was so intent on his find and so focused on the evidence in front of him that he forgot to look up. There, in a tree just a few yards away was the subject, who had hanged himself after attempting to destroy a collection of incriminating photographs. Moreira tells each episode with such gusto, one can’t help but get excited. “He has the wonderful ability to take your imagination, sprinkle it with flavor, and make you feel as though you are actually there as part of the search team,” says Roger Rickman, Regional Director for NEMT Region 9. “He is one of the most humble people I have met in a long time. He lives his life according to the SAR creed—So that others may live—and doesn’t search because of the money or publicity,” says Dave Moezzi, DSS Officer for the U.S. Department of State. Despite his many accolades, Moreira gives much of the credit to his tracking staff, the search team members who have proven their loyalty by remaining with him through the years, assisting in a variety of tasks that promote the art of mantracking. The staff is available 24/7/365, and, with Moreira’s leadership, will travel wherever their services are requested. Moreira has this to say to those who are interested in Search and Rescue training: “Tracking is a specialized skill that needs to be a part of every SAR organization. The tools required are few to none; this skill is successful where modern technology has been known either to fail, or at least create unnecessary complications. There is much to learn in order to become a competent and reputable tracker. “In my experience,” says Moreira, “I have taught and used the art of mantracking successfully countless times to assist agencies in need. If you have the dedication and time, I strongly suggest you become involved and make a difference. Together we can save lives.” In his spare time, Moreira is compiling the materials necessary to publish the first of two books on Search and Rescue Tracking and Crime Scene and Evidence Preservation for the SAR Tracker. The anticipated release date is set for June 2008. These texts will include plenty of photos, along with numerous tracking techniques and exciting stories from Moreira’s adventures during his 30 years as a tracker, both in the military and as a civilian. The only thing better than reading his books is registering for a class and being taught by him in person.

For more information, refer to Moreira’s website: www.searchandrescuetrackers.com. Take time to view the site, schedule a training class, or contact him with questions.

About the Authors Mark Withrow, NEMT Regional Coordinator for Region 9, grew to love the outdoors through his involvement in Scouting, receiving the Eagle Scout award while in high school. His passion for flying encouraged him to join the Civil Air Patrol, and he became active in Search and Rescue as a cadet in Mendocino County, California. Since meeting instructor Moreira, he became certified as a tracker and plays an active role in promoting the art of tracking to law enforcement personnel, and continues to hone his skills by attending Moreira’s P.O.S.T. courses. He can be reached at issacpl@aol.com Rev. Roger Rickman, NEMT Region 9 Regional Director, is a CHS Life Member, private investigator, and church pastor. Raised in the Ozark Mountains, he achieved Scouting’s highest honor, the Eagle Scout award, and later went on to serve his country in the U.S. Air Force. He devotes his time promoting the CHS program, and offers his skills to the SAR community. He can be reached at rrickman@garlic.com

Spring 2008 THE FORENSIC EXAMINER 59

Case Study

The Tally Stick: The First Internal Control? By Nicholas Apostolou and D. Larry Crumbley

Tally Stick Languages Many languages have their own names for tally sticks: Chinese—chi-chi German—kerbholz (notched wood) Hebrew—teomin (twins) Greek—symbolon (put together) Adams, L. C. (n.d.). Fraud in other words: Professional jargon and uncensored street slang. Retrieved 9 January 2008, from http://www. larry-adams.com/200509_article.htm

60 THE FORENSIC EXAMINER Spring 2008

ne of the most important aspects of the Sarbanes-Oxley Act of 2002 (SOX), the most significant securities legislation passed since the Securities Exchange Act of 1934, is the strong emphasis on an effective system of internal control. Under SOX, all public companies are required to have an adequate system of internal control, and company officers who fail to comply are subject to fines and even imprisonment. SOX section 404 requires companies to include a report of management on the company’s internal control over financial reporting in their annual reports. In addition, SOX requires companies to develop sound principles of control over financial reporting and continually assess that these controls are working. Finally, external auditors are required to present a report attesting to the level of internal control. The internal control requirements of SOX mean that external and internal auditors must understand how internal controls are designed and operated so that they can be assured that the controls have been implemented.

What Are Internal Controls? Although internal controls have been an integral part of business for centuries, confusion exists over the exact meaning and scope of the term. Historically, the term internal control applied to the domain of accounting. The term was applied to the effort to safeguard assets and ensure

the accuracy of the accounting records. More recently, the definition of the term has evolved into a broader concept that extends beyond the accounting functions of an enterprise. The Committee of Sponsoring Organizations of the Treadway Commission (n.d.) defines internal control as a process, affected by an entity’s board of directors, management, and other personnel, designed to provide reasonable assurance regarding the achievement of objectives in the following categories: • Effectiveness and efficiency of operations • Reliability of financial reporting • Compliance with applicable laws and regulations.

Before Luca Pacioli Traditionally, the history of accounting begins with the invention and recording of doubleentry bookkeeping focusing upon Luca Pacioli as the author of the first text (published in 1494) describing basically the same accounting cycle we learn today. But this history omits the centuries-old evolution of accounting systems beginning with the earliest known records of commerce in the Mesopotamian Valley in about 3500 BC and continuing through the Middle Ages. Interestingly enough, the earliest form of writing dating from more than 30,000 years ago is represented on tally sticks in the absence of paper. A tally stick is a stick on which notches are

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cut to keep a count or score. Notches have been found cut on a variety of animal bones from ancient times, including those from wolves and baboons. A baboon bone found in Swaziland called the Lebombo bone dates from approximately 35,000 BC and is marked by 29 clearly defined notches. This particular bone may have served as a lunar phase counter and ranks with the oldest mathematical artifacts known to exist. This ancient tally stick is similar to the calendar sticks still in use by Bushmen families living in Namibia (Williams, 2005). More recent historical references to tally sticks are represented by Pliny the Elder (23–79 AD), describing the best wood to use for tally sticks, and Marco Polo (1254–1324), who mentions the Chinese use of tally sticks (Baxter, 1989).

For later verification of the transaction the two halves were put together so that the notch cut across the peg was in exactly the same place on each half of the peg. If the tally was made out of a wood with a very clear grain, usually pine, it was furthermore impossible to falsify either half of the tally without detection. The grain in the wood served the same function as the watermark in today’s paper money.

By splitting the tally it had become a means of proof. The notches in the tally provided evidence of each piece of work done. The tally’s function as verification, even as acknowledgement of debt, can be seen in many documents (court registers and deeds) from the 17th and 18th centuries in Sweden and Finland. The tally stick was used also for verification Earliest Internal Control Tool in bookkeeping. There is a 1662 Swedish deUnsplit tally sticks started as mathematical ob- cree that states that the bookkeeper on the jects serving as mnemonic aids to counting, but Crown’s estates should verify the bailiffs’ regthey eventually found another use as commerce isters with the threshers’ tally sticks (Grandell, developed. Because so few people could read 1977). Monasteries in medieval Italy would acand write, tallies provided the earliest form of cept deposits of money or goods for safekeepbookkeeping for recording both physical quan- ing, giving the depositor part of the split tally. tities and money. By the medieval period, tallies This portion had to be presented at withdrawal had really come into their own as the English (Edler, 1934). equivalent of today’s credit card and as an in- But King Henry expanded the role of tally strument of internal control. King Henry I, son sticks beyond simple record keeping. Because of William the Conqueror, assumed the throne tally sticks could be used to pay the taxes imof England in 1100 AD, and in an effort to en- posed by the king, he created a demand for talhance his power, invented a unique money sys- ly sticks. This demand for tally sticks expanded tem called the tally stick system. their role, and they began to circulate as a form Tally sticks were made of polished hazel or of money (Carmack, 2003). willow wood, and transactions were recorded by Some might ask the question: Why would notches carved into the square tally with a knife. sticks of wood ever be accepted as money? The size of the notch indicated the denomina- History shows us that anything of value or pertion. A tally was officially described as follows: ceived value was accepted as money. Salt, silver, The distance between the tip of the forefin- copper, gold, cowry shells, whales’ teeth, and pager and the thumb when fully extended . . . per have all been accepted as currency. In other The manner of cutting is as follows. At the words, anything can be money as long as people top of the tally a cut is made, the thickness accept it as having value. of the palm of the hand, to represent a thou- In England, tally sticks continued to be used sand pounds; then a hundred pounds by a cut until 1826, when they were officially abolished. the breadth of a thumb; twenty pounds, the The tally sticks were then taken out of circulabreadth of the little finger; a single pound, tion and stored in the Houses of Parliament. In the width of a swollen barleycorn; a shilling 1834, the burning of the huge number of acrather narrower than a penny is marked by a cumulated tally sticks in an overburdened stove single cut without removing any wood. resulted in a fire that started with the paneling, (Treasures from The National Archives) and eventually destroyed the old Houses of Internal control was implemented by splitting Parliament (Holzmann, 2000). the tally stick lengthwise through the notches, leaving one half of the notches on each piece. Then Came the Term Stockholder Each party to a transaction kept one half of each Tally sticks had been used as a recording or tally stick, and the accounts were audited by counting device virtually since the dawn of refitting the two pieces together to determine if corded history. By the Middle Ages under the they would “tally.” According to Axel Grandell reign of King Henry I, the role of tally sticks had (1977, p. 103): expanded to include records of financial trans(800) 423-9737

Ishango Bone The Ishango Bone is a bone tool handle that was first thought to have been a tally stick. It was found c. 1960 and dated to c. 9000 BC. At one end of the bone is a piece of quartz for writing, and the bone has a series of notches carved in groups on three rows running the length of the bone. The markings on two of these rows each add to 60. The first row is consistent with a number system based on 10, because the notches are grouped as 20 + 1, 20 - 1, 10 + 1, and 10 - 1, while the second row contains the prime numbers between 10 and 20. A third seems to show a method for multiplying by 2 that was used in later times by the Egyptians. Additional markings suggest that the bone was also used as a lunar phase counter. Darling, D. (n.d.). The Internet encyclopedia of science. Retrieved 9 January 2008, from http://www.daviddarling.info/encyclopedia/I/ Ishango_bone.html

The Bank of England

The Bank of England, being a sensible and conservative institution naturally suspicious of new technologies, continued to use wooden tally sticks until 1826: some 500 years after the invention of double-entry bookkeeping and 400 years after Johann Gutenburg’s invention of printing. The tally sticks were then taken out of circulation and stored in the Houses of Parliament until 1834, when the authorities decided that the tallies were no longer required and that they should be burned. As it happened, they were burned rather too enthusiastically and in the resulting conflagration the Houses of Parliament were razed to the ground Birch, D. (n.d.) Tallies & technologies. Retrieved 9 January 2008, from http://www. arraydev.com/commerce/JIBC/9811–11

Spring 2008 THE FORENSIC EXAMINER 61

Great Roll of the Exchequer

s A pipe roll from 1194

The oldest surviving accounting record in the English language is the Pipe Roll, or “Great Roll of the Exchequer,” which provides an annual description of rents, fines and taxes due the King of England, from A.D. 1130 through 1830. Compiled from valuations in the Domesday Book and from statements of sheriffs and others collecting for the royal treasury, the Pipe Roll was the final record on parchment of a “proffer” system which extensively used a wooden stick as a basis of accountkeeping. Twice a year, at Easter and Michaelmas (September 29), the various county sheriffs were called before the Exchequer at Westminster. At Easter, a sheriff would pay about half of the total annual assessments his county owed. In accepting a sheriff's payment on account (the proffer), the treasurer would have a wooden tally stick prepared and cut as a record of the transaction. ... At Michaelmas, each sheriff returns for the final accounting, at which he pays the whole year's revenues. The treasurer reads the amount due from the Pipe Roll, and the sheriff must justify any unusual expenses claimed. Final settlement occurs at a table covered by a checkered cloth, for which the Exchequer is named. “Counters” are placed on the squares to visually represent the amount due the king from that county. Another row of counters represents the Easter payment, which is verified by fitting together the sheriff’s tally stock with the Exchequer’s foil to demonstrate that the notches and cuttings correspond. Alexander, J. R. (n.d.) History of accounting. Retrieved 9 January 2008, from http://www. acaus.org/acc_his.html

62 THE FORENSIC EXAMINER Spring 2008

actions. Splitting a tally stick in half lengthwise prevented either party from adding notches on his half of the tally stick. This control measure ensured that any attempt at fraud would be recognized as soon as the two halves were combined. Although this internal control procedure might seem primitive, history records its effectiveness for hundreds of years. It was accepted as proof in medieval courts under the Napoleonic Code. According to Thomas Madox, “when the two parts came afterward to be joined, if they were genuine they fitted so exactly that they appeared evidently to be parts the one of the other” (1711, p. 709). This split tally was almost fraud proof— “an intricate but robust form of record not replaceable readily till carbon copying” (Baxter, 1989, p. 50). A refinement of the split tally was to make one-half of the marked stick shorter. The longer half was called the stock and was given to the party advancing the money to the receiver (e.g., the stockholder or stock market) (“Tally Stick,” 2007). The shorter part, the foil, went to the debtor, who “got the short end of the stick.” If holes were placed at one end, many tallies could be strung on a rod or thong. A sixteen-sided tally of 1863 served a Swedish mine foreman as an output record with one side per employee (Baxter, 1989).

Conclusion The tallies reached their peak in the fourteenth century, but their decline was slow even with the introduction of paper. The role of tally sticks was mentioned by Shakespeare in Sonnet 122.2 from Henry VI: “nor need I tallies thy dear love to score” and “whereas before, our forefathers had no other books but the score and tally” (as cited in Baxter, 1989, p. 63). Although tallies were not the ancestors of double-entry accounting, tallies did foster credit transactions and multi-sized transfers (Baxter). In addition, tally sticks were a crude but effective tool of internal control for centuries. Although, we currently define internal control more broadly to include promoting the efficiency of operations and complying with regulations, the use of tally sticks provides a useful illustration of the essence of internal control.

References Baxter, W. T. (1989). Early accounting: The tally and checkerboard. Accounting Historians Journal, 16(2), 43–83. Carmack, P. S. J. (2003, December 2). The money changers. Retrieved November 27, 2007, from http://reactor-core. org/money-changers.html

The Committee of Sponsoring Organizations of the Treadway Commission. (n.d.). Internal control—integrated framework executive summary. Retrieved November 9, 2007, from http://www.coso.org/publications/executive_ summary_integrated_framework.htm Edler, F. (1934). Glossary of medieval terms of business: Italian series, 1200–1600. Cambridge, MA: The Medieval Academy of America. Grandell, A. (1977). The reckoning board and tally stick. Accounting Historians Journal, 4(1), 101–105. Holzmann, G. J. (2000, June). Tallying up. Inc. Magazine. Retrieved November 27, 2007, from http://pf.inc.com/ magazine/20000615/19392.html Madox, T., Fitzneale, R., & Gervase, of Tilbury. (1711). History and antiquities of the exchequer of the kings of England. London: J. Matthews. Tally Stick. (2007, November 13). Wikipedia, the free encyclopedia. Retrieved November 27, 2007, from http:// en.wikipedia.org/wiki/Tally_stick Treasures from The National Archives. (n.d.). Thirteenth century tally sticks. Retrieved November 27, 2007, from http://www.nationalarchives.gov.uk/museum/item. asp?item_id=6 Williams, S. W. (2005). Mathematicians of the African diaspora. The Mathematics Department of The State University of New York at Buffalo. Retrieved November 9, 2007, from http://www.math.buffalo.edu/mad/Ancient-Africa/ lebombo.html

About the Author Dr. D. Larry Crumbley, CPA, Cr.FA, is KPMG Endowed Professor at Louisiana State University. He is the co-author of a new book entitled Forensic and Investigative Accounting, published by Commerce Clearing House. Dr. Nicholas G. Apostolou, CPA, Cr.FA, is U.J. LeGrange Professor at Louisiana State University. He is the co-author of a book published by Barron’s Educational Series Inc., Keys to Investing in Common Stocks.

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ACFEI News

Management Executives, Inc: A Name You May Not Know The American College of Forensic Examiners, Institute (ACFEI) is a name that has long been associated with excellence in forensic science. Thousands of the word’s elite forensic professionals belong to ACFEI and have earned certification in forensic fields such as forensic consulting, medical investigations, forensic nursing, and forensic accounting. A name that may not be as widely known is Management Executives, Inc. (MEI), which is the company that manages ACFEI and its sister organizations such as the American Psychotherapy Association (APA), the American Board for Certification in Homeland Security (ABCHS), the American College of Counselors and the American Association of Integrative Medicine (AAIM). MEI has its origins in 1992, when Dr. Robert L. O’Block founded ACFEI. The forensic membership association has experienced exponential growth, becoming the world’s largest membership organization for forensic professionals.

The ACFEI’s success produced other associations to serve the interests of ACFEI members. For instance, many ACFEI members are forensic psychologists, and some of them expressed a need for a membership association devoted to psychotherapy. In 1998, the American Psychotherapy Association formed and immediately became a powerful proponent for the psychotherapy profession. Similarly, many forensic professionals work in government agencies and private organizations with ties to promoting homeland security. In the spring of 2003, as the United States continued its war on terror, the American Board for Certification in Homeland Security formed. Its mission is to certify and train professionals whose expertise involves the area of Homeland Security. As the number of organizations associated with ACFEI grew, a need arose for a company to unite the growing list of associations and to provide management services for other groups in need of effective association management. Management Executives, Inc. formed in

2005 as an association management company. With a staff boasting many years of success with groups such as the ACFEI, Management Executives, Inc. offers creative and effective services for associations of all types. An exciting new venture for MEI is producing online learning courses for its associations. The field of online education is exploding as more and more students experience the convenience and effectiveness of taking courses over the Internet. One of the first new products produced by MEI educators is Sensitive Security Information, Certifiedsm. This comprehensive course and certification is essential to anyone who handles sensitive information. Forensic professionals, who often handle evidence that must be kept confidential until the time of public release, will especially benefit from being SSI, Certifiedsm. Many new certifications and educational programs are coming soon as MEI continues to grow. See MEI’s catalog advertisement on Page 81.

All Online CE Credits are FREE to Members in Good Standing The price of many goods and services will be going up dramatically in 2008, but many of the best things in life will remain free. Add to the latter list the online Continuing Education credits offered by the American College of Forensic Examiners, Institute to its members. This year the online Continuing Education credits that previously cost members $15 have become a complimentary part of membership. “We are constantly looking at ways to better serve our members,” said Robert Philibert, chief association officer of the ACFEI. “It’s clear that CE articles and the chances to earn Continuing Education credits are important to our members. We want to encourage our members to take advantage of Continuing Education as much as possible, so we’ve decided to offer the credits free of charge.” Continuing Education credits are important because many organizations such as the ACFEI require a minimum number of CE credits to maintain certification, licenses, or other types of renewing designations. (800) 423-9737

The ACFEI is approved by the American Psychological Association (APA) to sponsor continuing education credits; accredited by the Accreditation Council for Continuing Medical Education; it is an NBCC Approved Continuing Education Provider; it is approved as a provider for continuing education by the Association of Social Work Boards (ASWB); and it is an approved provider of the California Board of Registered Nursing and California Board of Behavioral Sciences. To qualify for the free CE credits, examinations must be taken online, using the web address printed at the end of each article. Printed CE forms will continue to be published in each Examiner edition, but the $15 charge will remain for grading paper forms because of the increased labor involved. Nonmembers can continue to qualify for CE credits, but they will continue to pay the $25 grading fee. Each edition of the Examiner contains CE articles. The ACFEI website, www.acfei.com, also has an archive of CE articles. Continuing Education courses, which are separate from the quarterly publication CE

It’s clear that CE articles and the chances to earn Continuing Education credits are important to our members. We want to encourage our members to take advantage of Continuing Education as much as possible, so we’ve decided to offer the credits free of charge.” articles, will continue to be available to members at discounted rates. The Examiner staff also reminds professionals that writing Continuing Education articles is a great way to get important work published and seen by thousands of leading experts in the field. Articles are viewed worldwide, appear nationwide in newsstands of companies such as Borders and Barnes & Noble, and are indexed on EbscoHost. To submit an article, send a message to editor@acfei.com, or call toll free 1-800-4239737, and ask for the Examiner editor. Spring 2008 THE FORENSIC EXAMINER 63

ACFEI News

Executive Security Focus of New Course Disgruntled employees, unstable or insecure areas—even terrorism—can put buisness executives in danger. How do security personnel go about establishing a plan to protect key individuals in an organization? When facing a need to establish protection programs for designated individuals, how does one approach this task? What are the components of such a program? Is there a way to measure and quantify the risk factors? If so, how are those used in the development process of such a program? A new online course offered by the American Board for Certification in Homeland Security will help companies protect vulnerable staff. Establishing Executive Security Programs has been written by a

top professional in the field, David L. Johnson, CHS-V. The course presents a threat assessment-based method of determining resource requirements necessary to establish, or modify, an executive security program. Executive security operations, methodology, and goals will be discussed. The conduct of threat assessments will be outlined, sources of information and other resources will be identified, and the student will gain an understanding of how to apply the results of such assessments to the design of the security program. There are no prerequisites to take the course. To find out more, call 1-800423-9737, or go to www.acfei. com/ees and click on the online catalog link.

ACFEI’s Principles of Professional Practice ACFEI and its members are to remain completely objective and use their ability to serve justice by the accurate determination of the facts involved. ACFEI members are not advocates for one side or the other. Members should not intentionally withhold or omit any findings or opinions discovered during a forensic examination, which would cause the facts to be misinterpreted or distorted. ACFEI members should not misrepresent or overstate their credentials, education, training, expertise, or membership status. ACFEI members are expected to refrain from any conduct that would be adverse to the best interest and purpose of the ACFEI. Members are to be forever vigilant of the importance of their role and to conduct themselves only in the most ethical and professional manner at all times.

THIS LAND IS YOUR LAND “Victory at all costs, victory in spite of all terror, victory however long and hard the road may be; for without victory, there is no survival.” —Winston Churchill “There is a mysterious cycle in human events. To some generations much is given. Of other generations much is expected. This generation of Americans has a rendezvous with destiny.” —Franklin Delano Roosevelt “Freedom is never more than one generation away from extinction.” —Ronald Reagan

Protect Your Homeland. Become Certified in Homeland Security today. Call 1-800-423-9737 or go online at chs.acfei.com.

Academy of Certified Chaplains Forms to Provide Support

id you know that a chaplain was the first confirmed fatality of the terrorist attacks of 9/11/2001? While chaplains serve in many organizations, they are united in their devotion to serving others through faith. They minister in police and fire departments, in the military, in schools, and in many other settings. A new division is forming to unite chaplains and to advance and advocate for the profession. The Academy of Certified Chaplains seeks to provide a unified front for devotion, education, and training within the area of chaplaincy and to provide a voice for the dedicated chaplains of this nation.

of Certified Chaplains include an optional free 1-year membership with a Certified in Homeland Security National Emergency Management Team, a discounted National Conference membership registration (prominent keynote speakers featured), and free subscriptions to three quarterly publications: Annals of the American Psychotherapy Association, Inside Homeland Security, and The Forensic Examiner.

Three membership levels

Many benefits of membership The Academy will provide resources, continuing education opportunities, and chances to network with colleagues. Academy members will be members of the American Psychotherapy Association, sharing common threads of service, devotion, and counseling.

Academy members will receive Certified in Homeland Security Level-I Certification. Additional benefits of the American Psychotherapy Association and the Academy

The Academy of Certified Chaplains offers three membership categories based on the member’s qualifications. During this limited grandfathering period, minimum qualifications have been revised to provide opportunities for the maximum number of interested prospective members. Don't delay! Join like-minded professionals dedicated to the service of others, and call (800) 205-9165 to become an Academy Certified Professional Chaplain today!

National Criminal Justice Reference Service Offers Information on Wide Range of Topics The National Criminal Justice Reference Service (NCJRS), one of the many services offered by the Office of Justice Programs, is an online resource covering a wide range of topics involving criminal justice. The NCJRS, founded in 1972, offers information on justice and substance abuse for worldwide use in “research, policy, and program development.” Federally funded, it is sponsored by several agencies from both the Department of Justice and the Executive Office of the President. The NCJRS website offers a multitude of free full-text articles, related links, and a knowledge base of questions and answers. These topics range from corrections and drugs to juvenile justice and law enforcement. The online articles are provided by the sponsoring Federal agencies and can be viewed in text, HTML, and PDF formats. Hard copies of publications and products can also be searched and purchased direct(800) 423-9737

ly from the site. Comprehensive online resources called Spotlights are also available. The Spotlights cover information involving data, legislation, and training and technical assistance. Additionally, the website offers a library of criminal justice abstracts for quicker referencing and research.

Large database The database is one of the largest in the world, with more than 190,000 abstracts of criminal justice publications from the 1970s to the present. Each abstract provides a 100- to 200word summary, publication information, and instructions on how to purchase a copy of the article. If they are available, links to the full-text articles appear with the abstract.

For those interested in attending conferences, seminars, or workshops on various criminal topics, a comprehensive list of the events is posted under Justice Events. The list is easy to navigate and can be searched by topic, location, or date. Organizations are encouraged to post their upcoming events on Justice Events. Pending approval from the NCJRS, anyone will be able to view the event information on the calendar. The resources on the NCJRS site are available to anyone interested in criminal justice, law enforcement, or legislative policies. This includes educators, professionals, or the general public. For more information about NCJRS, visit the NCJRS website at http://www.ncjrs. gov. Information retrieved from the National Criminal Justice Reference Service (NCJRS) website at http://www.ncjrs.gov

Spring 2008 THE FORENSIC EXAMINER 65

New Diplomates, Fellows, and Life Members

Fellows

New Fellows since October, 2007

Diplomates

New Diplomates since October, 2007 Kenneth E. Blackstone Velva Boles Thomas P. Davis Charles J. Fuhrman Paul W. Harrison Olie R. Jolstad Chester B. Kulak Marina Lerner Roger E. Rickman Robert H. Shullich Dean A. Wideman

Nicholas Albergo Barbara L. Ayers Barry R. Berman James C. Bonk Ron L. Borel Vaia Delidimitropulu George V. Delson Timothy R. Detamore Stephen E. Doyne Therese E. Finn John C. Flatowicz David A. Frederick William W. Friday Philip Geron Nicholas J. Giardino Vinobha Gooriah Logan L. Green Theodore M. Hankin Michael Haymes Samuel C. Klagsbrun Eugene M. Kornhaber Debra A. Krichau Antonio J. Larranaga Abraham M. Lazar

Edwin J. Lowd Joseph Kelly Moreno Richard B. Morgan Richard E. Moses Glenn V. Nazareno Henry A. Paine Carol A. Paras Alcides Pinto Rebecca A. Powers Mike Raper C. David Rhoades Jose R. Rodriguez-Gomez John W. Salm Martin Shaffer Michael D. Shinnick Sandra S. Smith-Hanen Kenneth Alvin Solomon Marjean S. Spayer Cyla Trocki-Videll W. Roy Wilkinson Daniel R. Wynn

Life Members

New Life Members since October, 2007 Velva Boles Marvin Bullington Jerry Dennis Ed Dougherty David Dwinell Ted Felix Tod Fisher Frank Goldstein Steven Gray Stuart Hart Kenneth Hofbauer Hubert Klein Beth Anne Lux Dan Ostrander Michael Pimental Christine Routhier Paul Sanberg Donald Stonefield Catherine Wylie

Attention Forensic Educators The Commission on Forensic Education

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66 THE FORENSIC EXAMINER Spring 2008

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 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.

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Case Study

The Incomparable Witness:

Sir Bernard Spilsbury By Katherine Ramsland

n October 18, 2007, international headlines announced the possibility that Hawley Harvey Crippen, a patent salesman convicted of the 1910 murder of his wife, had been wrongly executed for this crime. Two forensic scientists, John Trestrail and David Foran, claimed to have proven with DNA analysis that the headless human remains found in Crippen’s basement could not have been those of Cora Crippen (a.k.a. Belle Elmore). While a debate has ensued, one name has cropped up in many media accounts: that of Sir Bernard Spilsbury, the eminent pathologist who had testified so confidently that the remains were those of Crippen’s wife. It had been his first important case and had made him a forensic celebrity in his day. Over the course of Spilsbury’s 40-year career (some 25,000 autopsies), he had privileged access to so many cases, others had difficulty scoring points against him in court—even when he was wrong. His critics called him arrogant, territorial, and smug, while those who recognized his contributions said Spilsbury was among the century’s geniuses in forensic science. For this, he was even knighted. Spilsbury got his start when another British pathologist, Dr. Augustus Joseph Pepper, viewed him as a promising protégé. The student then surpassed the teacher, raising the bar in their field. It was a judge who recognized Spilsbury’s implacable courtroom skills and dubbed him “that incomparable witness.” When he came to Pepper’s attention, Bernard Spilsbury was a medical student in 1905 at St. Mary’s Hospital in London. His fascination with “necropsies” soon involved him in the “beastly science” of pathology. A colleague described him as a thorough professional with “no room for half-truths.” Because Spilsbury spoke in a quiet, deliberate manner about only the facts he knew, in contrast to predecessors who often made unsupported speculations, he commanded immediate respect in the courtroom. A handsome man over six feet tall, he dressed well and appeared entirely self-contained. Among his skills was the ability to address jurors in simple terms, so they could understand difficult medical concepts. His method “was to implant in the mind of the other person that which he believed to be the truth, and this involved making that person understand even to 70 THE FORENSIC EXAMINER Spring 2008

s Hawley Harvey Crippen

a limited extent.” He thought carefully about what he would say, strove for excellence, and soon set the standard in England by which autopsies should be performed and explained (Browne & Tullett, 1952). The introverted Spilsbury worked quietly at St. Mary’s, inconspicuous to all but his closest colleagues, until he made a distinct impression as an expert witness in the controversial Crippen case. Then everything changed. In July 1910, Crippen boarded the S.S. Montrose in the company of a slender person who resembled a boy—his disguised mistress, Ethel le Neve. They were bound for Quebec. A telegraph to the ship’s captain trapped him, and he was arrested on board for his wife’s murder and returned to England for trial. Because his capture had been so unique, news media focused on the case, making it an international sensation. Cora, a bossy woman who fancied herself an opera singer, had been Crippen’s second wife, and they had moved from America to England in 1900. Reportedly, at some point, she became involved with a man named Bruce Miller. Around the same time, Crippen hired le Neve as a typist, and they eventually became lovers. She, too, was domineering, as well as a hypochondriac and documented liar (Wilson & Wilson, 2003). The Crippens resided at 30 Hilldrop Crescent, living beyond their means. Crippen,

48, was a bespectacled, mild-mannered man, but Cora was reportedly abrasive and demeaning. After a dinner party at their home on January 31, she vanished and Crippen soon pawned some of her jewelry. He also sent resignation letters in her name to various organizations and by February 2 had moved his mistress into the house. She was seen wearing Cora’s furs and jewelry. When asked, Crippen said that Cora had gone to visit friends in America, and soon he was adding that she had grown ill and died there. People who knew Cora were aware that she had learned about her husband’s affair and had threatened to drain their joint savings account and leave. A friend of Cora’s eventually reported her disappearance to Scotland Yard, where an investigator reported that there was no record of Cora’s having sailed to America in February. Chief Inspector Walter Dew, from the famed Murder Squad, questioned Crippen, who then changed his story. Now it was the embarrassing fact that Cora had run off to be with Bruce Miller, and they were together in Chicago. Dew searched the house but observed nothing to indicate foul play, so Crippen was not detained. Yet, when Dew returned to the house to verify a date, he discovered that Crippen had fled. Suspicious, he and his team performed a thorough search. In the coal cellar, beneath some bricks, they found a decomposing torso, sans bones, some organs, and the genitalia. Crippen was caught before the ship docked in Quebec and brought back. A tissue analysis indicated that the dismembered victim had ingested a lethal dose of hydrobromide of hyoscin—the same substance that Crippen had purchased earlier. He picked it up on January 19, and shortly thereafter, Cora “ran off.” Despite the incriminating circumstances, the identity of the torso became the key issue at the trial. While Crippen’s counsel, Arthur Newton, insisted that no one could prove that the remains found in the cellar were those of Cora Crippen, he nevertheless offered nothing that proved she was alive after February 1. He also could not explain why she would take a journey during the winter without her jewels, clothing, and furs. In any event, a body had certainly been found in the cellar, which had to be explained. Newton said it was a victim placed there before Crippen moved in.

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It fell to Spilsbury, Pepper, and two other physicians to tell the court just why they were certain the remains provided firm proof that Cora had been murdered, dismembered, and stashed beneath bricks. In Spilsbury’s card file, the remains were thus described: “Medical organs of chest and muscle removed in one mass. Four large pieces of skin and muscle, one from the lower abdomen, with old operation scar 4 in. long—broader at lower end” (Browne & Tullett, 1952). In court, he and Pepper both stated that Cora had endured a surgical procedure that would result in a scar in precisely the area on the mass of abdominal skin that bore it. Shoring up this testimony were circumstantial items, such as Crippen’s purchase of poison, his odd behavior after Cora’s disappearance, and the fact that the remains had been buried with a man’s pajama jacket identical to two others that Crippen owned. (Three had been delivered to his home.) While a defense expert said the skin in question was actually from a thigh and called the “scar” a crease where skin had folded over, the consensus was that he made a poor showing against Spilsbury, who supported his own finding with a microscope demonstration. There were glands at both ends of the skin fragment, he stated, but none in the middle, which proved it was a scar and not a fold. He also pointed out the arrangement of certain muscles and tendons that made the skin section more likely to be from the abdomen than a thigh. Spilsbury made a significant impression on the court that day, right down to the red carnation in the buttonhole of his suit— which would become his trademark. As he left the witness box, people remarked, “There is a coming man.” After five days of testimony, the jury took only 27 minutes to convict Crippen and, in short order, he was hanged. (In a separate trial for accessory after the fact, Ethel le Neve was acquitted.) Spilsbury was soon in demand as a Home Office pathologist for other cases. Detached and imperturbable on cross-examination, he came to expect that his word was as good as the truth. He believed his own press, and apparently, had decided he was never wrong. He was offended if contradicted by other professionals in his field, and did not forgive easily. Nevertheless, he did make an impressive showing in a number of sensational cases. In 1914, Margaret Lloyd died in her bath in Highgate, England. A relative of a victim of a similar drowning spotted her obituary and brought the matter to the police, who noted the criminal record of her husband, George Joseph (800) 423-9737

Smith. He had not only married Margaret Lloyd under an assumed name, but had also married three times and each of his wives had drowned in her bath. Despite the apparent impossibility that this was coincidence, it seemed unlikely that someone could assault a woman in a bathtub without her having struggled fiercely. Yet there had been no marks from violence on any of the bodies. Smith was arrested, and Spilsbury supervised the exhumations of the remains of his two previous wives’ bodies for autopsy. On the first victim, for whose murder Smith was to be tried, Spilsbury found evidence from “gooseflesh” on her skin indicating that she had died suddenly. Analyzing her organs, he found no defect or disease that might have killed her while she was bathing. (There was none in the other two victims either.) The defense attorney claimed she had experienced an epileptic fit. Spilsbury effectively dismissed the possibility that the five-foot-seven woman could have gone into an epileptic fit in a five-foot-long tub that would place her head under water. Spilsbury then set up a demonstration to show the jury outside the court how Smith could have committed murder without leaving a mark. Detective Inspector Arthur Neil Young and he had already tried some experiments. Women in bathing outfits had agreed to sit in bathtubs and allow Young to try to drown them. After repeated failures, it seemed impossible to accomplish it without an incredible struggle. But then the detective deduced the answer: Smith had killed them by raising their knees into the air, which pulled their heads down. The quick action and the rush of water made them helpless. Thus, as the jury looked on, the experiment was performed and the female participant went unconscious at once. She had to be revived. As risky as this demonstration had been, it paid off. Since Smith had benefited financially from all three deaths, his motive was clear as well. Within 20 minutes, the “Brides-in-theBath Killer” was convicted, going to the gallows in 1915. Spilsbury admitted to the difficulty of a 1924 case in which he had been involved. It took place in a rented bungalow along a twomile strip of the Sussex shore known as the Crumbles. Emily Kaye, a 34-year-old secretary, was involved with an Irish crook and philanderer named Patrick Herbert Mahon. When she became pregnant, he invited her for a “romantic” weekend at the Crumbles. In the bungalow, he killed and dismembered her. He used a knife and saw to carve her up and tried boiling pieces of her over the fire. The rest he placed into a trunk, locking it in the bedroom. He

then brought back another woman with whom he had made a date, and they spent the weekend there. When Mahon returned to London, he left a bag at the luggage office of Waterloo train station and went home to see his wife. Mahon’s wife found a ticket for the bag and asked a former member of the railway police to check it out. Inside, he found blood-soaked women’s underwear, a case with Emily’s initials on it, and a bloody carving knife. These items were turned over to the police, who placed Mahon under arrest. He quickly contrived a story about how he and Emily had quarreled, whereupon she had come at him with a hatchet. He’d pushed her away, killing her accidentally when she fell and hit her head against a coal pot. He’d worried that he would be charged with murder, so he had dismembered her body. Spilsbury traveled to the bungalow to look at the body and found pieces literally everywhere, including some that had been partially boiled over the fire. There were organs in a biscuit tin, and body grease and human blood splashed all over the place. He would say later that this was the most gruesome crime scene he had ever encountered. His task was rather odious as well: He had to collect the hundreds of fragments, already several days decomposed, and reconstruct the body to prove identity and ascertain the cause of death. He found a bruised shoulder that indicated a sharp blow inflicted ante-mortem. However, once the body was assembled, he discovered that the victim’s head, uterus, and right leg were all missing. Police took dogs all along the train route, in case these items had been tossed out the window as Mahon returned to London. They did not find any of the missing parts. Since Mahon claimed that Emily had hit her head, without it, Spilsbury could not establish a cause of death. Nevertheless, he did determine from the condition of her breasts that Emily had been pregnant. He also found that she could not have died from hitting her head on the coal bucket, as it showed no sign of blood, hair, or damage. But there was more. Mahon claimed to have burned Emily’s head in the fire and broken up the charred remains with a poker. In his usual thorough manner, Spilsbury burned a sheep’s head to try to duplicate these conditions and see if the ashes from the fireplace matched those in the bungalow’s grate. It did turn out to be possible to use fire to turn a head into something brittle enough to smash into pieces. Nevertheless, when Mahon claimed he had purchased a knife and saw after the “accident,” he caused his own undoing, as the police proved he had purchased these items before Emily Spring 2008 THE FORENSIC EXAMINER 71

died. Thus, his intention to kill her was clear. That she had been pregnant provided motive, and the jury took 40 minutes to convict. Always thinking, Spilsbury then performed a complete autopsy on Mahon’s executed corpse—the first of many he would use to study the results of this type of sudden death. Since the time of death was known with accuracy, he believed a comparative analysis of many such corpses would yield useful information. In 1940, Spilsbury suffered a stroke from which he never fully recovered. He also lost two sons to early deaths, a personal blow that further debilitated him. His mental alertness declined and his reflexes grew slower, while arthritis made his postmortem work more difficult. However, his need to control the cases he was involved in remained unabated. He refused to surrender to the realities of aging. After two milder strokes, his insomnia worsened and his friends noticed an alteration in his personality. He seemed to know his work was at an end— something he could hardly endure. In December 1947, Spilsbury penned a letter to a friend, Dr. Eric Gardner in Switzerland, telling his friend that by the time he read the letter, “it would all be over.” Spilsbury had no intention of watching himself decline and become a burden. On the 17th of December,

Spilsbury performed a postmortem as usual, distributed Christmas gifts to his staff, and spent the afternoon destroying his papers. He then dined at his club and said a few words to close friends. No one guessed what was on his mind, but no one should have been surprised, given his lifelong exercise of control. At 7:30 P.M., Sir Bernard Spilsbury went to his private laboratory, turned on gas burners, and lay down to die, ending a remarkable era of important strides in forensic pathology. His competitors, who had gone well beyond him with modern tools, recognized that he had inspired them to rise to the challenge. Some thought Spilsbury’s belief in his own infallibility caused some miscarriages of justice, but many hailed him as the very embodiment of Sherlock Holmes.

Sources Browne, D. & Tullett, E.V. (1952). The scalpel of Scotland Yard: The life of Bernard Spilsbury. New York: E. P. Dutton and Company. “Crippen mystery remains despite DNA claim.” (2007, October 18). BBC News. Evans, C. (2004). The second murder 2 casebook. New York: John Wiley & Sons. Larson, E. (2006). Thunderstruck. New York: Crown. Thorwald, J. (1964). The century of the detective. New York: Harcourt, Brace & World.

Wilson, C. & Wilson, D. (2003). Written in blood: A history of forensic detection. New York: Carroll and Graf Publishers.

About the Author Katherine Ramsland, PhD, CMI-V, has published 22 books, including The CSI Effect and Beating the Devil’s Game: A History of Forensic Science and Criminal Investigation. Dr. Ramsland is an assistant professor of forensic psychology at DeSales University in Pennsylvania and has been a member of the American College of Forensic Examiners International since 1998.

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Log on to www.acfei.com/crfa for details. Call 1-800-423-9737 to talk to a CrFA specialist. Act now to start enjoying the benefits of certification.

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orensic nurses are often the bridge that spans medicine and justice. They tend to needs of victims and help gather and protect the evidence that can lead to a conviction and ultimate justice.

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If you are a forensic nurse, join the CFN team today by becoming certified. Tell the forensic nurses you know about the CFN program. Go to www.acfei.com/cfn or call 1-800-423-9737.

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Case Study

Stand Your Ground, Revisited: Measuring Reasonable Fear By Patricia A. Wallace

his commentary follows the expansion of the new laws characterized as Stand Your Ground (SYG) since their introduction in Florida in 2005. Both proponents and opponents agree that there is a dire need for clarity and uniformity as the emergent SYG Laws are being rapidly enacted throughout the United States. Presently, the laws tend to be flawed in two critical ways: First, the laws are ambiguous and second, they are being promulgated without universally accepted standards for authenticating the concept of reasonable fear. Here, the need for standardization of the concept of reasonable fear is addressed, and a procedure for doing so is recommended.

Introduction Dawn is breaking and Marguerite W., an emergency room nurse, is leaving her home for work. As she approaches her car, she notices two young males walking toward her. She wrestles with her keys, the chain snaps in her pocket, and she drops several of the keys. She begins to walk rapidly toward her home. As her pace quickens, she reaches into her jacket pocket and feels a key, relieved when she realizes it is her house key. The two men follow her in the same direction and step on the edge of her property. With her spare house key, she unlocks the door, enters her house, and immediately reaches for the gun kept near the front door. She points the gun and fatally shoots one of the young men just as the other man tries to hand her the car keys she dropped. The questions for the police officers responding to the scene include the following: Is Marguerite acting within her legal rights? Does she have the right of self-defense, allowing her to use deadly force in situations that might have otherwise subjected her to prosecution for murder? Are her fearful presumptions of impending harm insufficient for a claim of justifiable homicide due to reasonable fear? Equally unclear is the decision regarding who will ultimately determine her level of fear and by what criteria her perceptions will be assessed. Depending upon which of the 50 United States she is in, the legality of Marguerite’s behavior in response to a perceived fear of personal harm differs substantially. In about 74 THE FORENSIC EXAMINER Spring 2008

two-thirds of this country (34 states), she is expected to make every effort to get away from the situation and abide by the “duty to retreat” principle. However, across certain state lines, she may have a right to stand her ground and use deadly force to protect herself in response to her perceived fear of impending harm. Throughout the remaining 16 states, where the SYG Laws have been passed, the right of the individual is still unclear. The dilemma lies not only in the location at the time of the act, but also more specifically in determining the legitimacy of perceived fear. There is no standardized or accepted method of authenticating one’s claim of reasonable fear for clarification in the new SYG Laws. What then, constitutes a circumstance of genuine fear? Is it the situation, the location of the actor, or the behavior of others who happen to be in the environment? How much fear is reasonable?

What does the genuine perception of fear of impending harm look like?

The Law Founded on the premise that there is a universally accepted understanding of the concept of reasonable fear, the SYG Law gives potential victims the right to use deadly force against a presumed attacker, providing the victim has reasonable fear of the “assailant.” Since first enacted in Florida in October 2005, 14 additional states have adopted variations of the SYG Law bringing the total to 15 as of November 2007. Those 15 states are Alabama, Alaska, Arizona, Florida, Georgia, Idaho, Indiana, Kansas, Kentucky, Louisiana, Michigan, Mississippi, Oklahoma, South Carolina, and South Dakota. Utah had no need to consider the new legislation, since historically the state law has provided that “a person does not

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have a duty to retreat from where a person has lawfully entered or remained.” The Utah law also specifically indicates that a person is justified in the use of deadly force to defend one’s own property. Across all of these 16 states, the modified Castle Doctrine Laws include a number of provisions that vary for each state. Some state laws actually expanded the circumstances where force could be used in self-defense without a duty to retreat, and some also adopted provisions regarding criminal or civil immunity for using force in self-defense within the limits of the law. The original intent of the Castle Doctrine Law (also referred to as the Castle Law or the Defense of Habituation Law), as derived from English Common Law, was to provide citizens the rights to protect their homes, including the use of deadly force. However, the rapid expansion of the law extends the rights of citizens from home to place of work to any place the citizen has a right to be. Generally, the SYG Laws allow people to defend themselves with deadly force even in public places when they perceive a situation as life threatening for themselves or others. The law protects individuals by assuring that they would not be held criminally liable, even if spectators were wounded during the act of self-defense. The Florida law, which served as a model for others, gives citizens the right to use deadly force against intruders entering their homes, when it can be shown that the intruder entered unlawfully or forcefully. The law also extends this principle to vehicles and other places where the individual had a right to be. In addition, the law does away with an earlier requirement that a person attacked in a public place must retreat if possible. Currently, citizens “have no duty to retreat” and have the right to self-defense in reaction to a reasonable perceived “fear of harm” in states with SYG provisions. Some citizens may construe the new SYG Laws as a right to engage in proactive behavior to avoid the possibility of harmful actions by another. In the emotion-laden attempt to ward off potential injury, a person could conceivably be inaccurately predicting the actions of another. Should this fear be considered unreasonable or merely unfounded? Is the action of a citizen using deadly force based on an unfounded fear equally as justified as one using such force based on the legally defined reasonable fear? This brings to question the need to distinguish between unfounded fear and unreasonable fear. This perplexing issue could raise questions regarding proactive attacks versus reactive behavior; in either case there would likely be a claim of fear. Thus, responding police officers would (800) 423-9737

Citizen’s Arrest By Kristin Crowe, Associate Editor The Castle Doctrine is an extension of citizens’ basic rights. However, many do not know or understand some of the basic rights already granted. One of these is the right to enact a citizen’s arrest. All states except North Carolina allow citizens’ arrests under certain circumstances specific for that state. There are no national guidelines for a citizen’s arrest, so every person should research his or her state laws. In most cases, state laws allow citizens to follow the directions of a law enforcement officer to act or react in a certain way in a particular situation. The state-specific circumstances include information such as type of crime, whether the arresting person actually saw the crime being committed, whether or not the arresting person is a citizen, and whether the arrest took place immediately following the crime. In Washington D.C. any “private person” may initiate an arrest, regardless of their citizenship status, while Tennessee law states that the arresting person must be a “private citizen” (emphasis added). In Tennessee, the private citizen may arrest another when “a felony has been committed and he has reasonable cause to believe that the person arrested committed it. Reasonable grounds will justify the arrest, whether the facts turn out to be sufficient or not” (Citizens’ Justice Programs, 1994). Thus, the the person making the arrest does not have to see the arrested commit the offense, he or she must only have “reasonable cause to believe” that the arrested did commit such act. Also, if the reasonable cause is not sufficient to prosecute, the arrested does not have the right to sue the arresting party. However, this is not true in Massachusetts. There, a person may arrest another for committing a felony, but if the arrested is acquitted of the felony charge, he or she is permitted to sue the arresting for false imprisonment or false arrest. In Kentucky, the law expects a person who witnesses a felony to prevent the felony if possible, and citizens are allowed to kill fleeing felons if the citizen is in the process of making a citizen’s arrest. Utah law explicitly prohibits the use of deadly force, but does allow citizens’ arrest. In Missouri, a private person is justified in using deadly force “in effecting an arrest or in preventing escape from custody” only when “he reasonably believes such use of deadly force is immediately necessary to effect the arrest of a person who at the time and in his presence (a) committed or attempted to commit a class A felony or murder; or (b) is attempting to escape by use of a deadly weapon” (563.051). However, the witness may use physical force (not deadly force) to arrest or detain a person who has committed a crime (not limited to felonies). In Washington state, a private person may arrest someone who has committed a misdemeanor if it was committed in the person’s presence and constituted a breach of the peace. The person may also arrest another for a felony. In addition, if an offense is committed in the presence of a district judge, the judge may require, through verbal direction, a citizen to arrest the offender and to hold him or her in custody for up to one hour. These are just a few of the differences between state laws concerning citizens’ arrest. Be sure to research and understand your state laws. Also understand that it is safer in many respects to call the police and be a good witness rather than to undertake a citizen’s arrest procedure. The possibility for physical harm is great, as is the possibility for lawsuit if the procedure is not exactly and correctly carried out. Know your rights and the limitations to them, and use them wisely.

Spring 2008 THE FORENSIC EXAMINER 75

be responsible for differentiating between (1) reasonable fear, (2) unfounded but reasonable fear, and (3) unreasonable fear. Examples of these designations of fear can be evaluated by looking again at the perplexing scenario of Nurse Marguerite W. Let’s suppose that she had just watched a live TV news show before leaving for work and that the news commentator had cautioned residents of her neighborhood to be on an alert for two dangerous male criminals who were presumed armed and who had recently attacked a citizen. Let’s further presume that the demographics (height, weight, and ethnic origin) of the dangerous criminals fit the profile of the two men Marguerite observed walking toward her at the time she dropped her keys, and whom she perceived as chasing her toward her home. If, because of the newscast and demographic match, her assumptions were that the men were indeed the dangerous criminals being sought by police and that they were chasing her to harm her, then her behavior would be determined as (1) reasonable, based on legitimate fear. However, if the similarity of the demographics was only vague and coincidental, then Marguerite’s fear could be characterized as overzealous and her violent reaction could be identified as (2) unfounded. Finally, the story takes a new turn if Marguerite had recently been robbed and this was her first day back to work after a lengthy recovery. Based on that recent experience, she immediately assumed that any two males she saw had intentions to harm her and she was set on deterring them. Because of that, she pulled her gun despite hearing the two males try to explain that they were on their way to school, but happened to see her drop her keys on the ground and were trying to give them to her. In this situation, her claim of fear could be deemed as genuine, but her proactive behavior could be regarded as (3) unreasonable. Both proponents of the new law (such as the National Rifle Association) and opponents (such as the Brady Campaign to Prevent Gun Violence) would likely both agree on the need for clarity of the parameters of perceived fear before the courts become inundated with cases using these types of defenses for justifiable homicide. Thus far, the utilization of the SYG defense strategy is not yet known. There are no empirically developed published studies concerning the impact of these laws. An article in the June 11, 2006, publication of the Orlando Sentinel stated that it was too early to determine the impact of Florida’s new law, which took effect October 1, 2005, and that 76 THE FORENSIC EXAMINER Spring 2008

there were no statewide statistics available as of yet regarding the number of self-defense claims before or after that date. The Orlando Sentinel found 13 people who used justifiable homicide as a defense in central Florida over a 5-month period, resulting in six deaths and four injuries. In the investigation of the 13 people who used the SYG defense, three were charged with a crime, five were exonerated, and the five remaining cases were still under review. According to the Orlando Sentinel, police and prosecutors handled investigations of these cases in a variety of ways. The array of ways that a claim of reasonable fear can be interpreted and processed provides extraordinary opportunities for misinterpretation or errors of false positives. Given the disparity of handling claims of reasonable fear, it is apparent that there is a great need for uniformity in defining and assessing reactions to genuine reasonable fear. To ascertain whether an individual’s claim of fear of harm is ingenuous requires an objective examination of how the actor’s cognitive abilities and personal history affect his judgment of reasonable fear. To date there is no clear, generally accepted methodology designed specifically for clarification or validation of one’s claim of use of deadly force precipitated by reasonable fear of impending harm. Advocates of the SYG Laws would likely view standardization of the construct of reasonable fear favorably. They would realize that by employing a standard delineation, the possibilities of feign or misuse of the genuine intent of the law are lessened tremendously. Hopefully, opponents of the law would be confident that the law could not be used in illegitimate situations. The answer for both sides of the issue resides with fairness and objectivity in the execution of the law. The initial steps toward unifying the positions for and against the SYG Laws can be the development and implementation of a valid, fair, and clear psychological assessment tool, which examines genuine and reasonable fear in reaction to impending harm. Trained forensic psychologists are best qualified to offer opinions relevant to determining this issue, given their expertise in assessing cognitive ability and its influence on decision-making and actions.

Objective Measure of Reasonable Fear In the body of psychological research, fear is defined as an emotion composed of five fundamental components—the composite of the interaction of five identifiable elements. In this interaction, fear is (1) induced by an ambiguous stimulus, (2) exhibited by physical arousal,

thereby (3) giving rise to cognitive appraisal of the source of the arousing stimulus and (4) resulting in a subjective feeling (usually learned), precipitating a reaction to the stimulus, which (5) brings about behavioral expression in accordance with the feeling. As a broad construct, fear is generally described as a basic emotion occurring in response to an arousal or sensation that invokes a unique response set within each individual. Fear of certain people or situations can be learned and is easily explained by theories of conditioning. The level or degree of fear an individual perceives is dependent on personal history and the circuitry of the brain. Specifically, fear is an emotion that neurologists identify as linked to the amygdalate neurons. Personal fear ranges in degrees from mild caution to extreme phobias that could cause disassociation reaction. Psychological theorem has lead investigations of the concept of fear, but the characterization of the concept of reasonableness has been in the domain of courts and lawmakers. Typically courts have distinguished between standards of reasonableness by characterizing them as either objective or subjective. An objective standard of reasonableness requires the fact finder to view the circumstances surrounding the accused at the time force was used from the standpoint of a hypothetically reasonable and prudent person. Under the subjective standard, the issue is not whether the circumstances surrounding the accused use of force would be sufficient to create in the mind of a reasonable and prudent person the belief that the use of force is necessary, but rather whether the circumstances are sufficient to induce in the mind of the accused a reasonable belief that he must use force to defend himself. These new SYG Laws require law enforcers to assess and determine the underlying intent of human behavior in claims of self-defense based on reasonable fear. In several states, the potential victim who finds it necessary to use deadly force may not be arrested unless the officers responding to the scene have reason to believe that the actor was not operating out of genuine fear when he attacked his “assailant.” In these instances, it is the officer responding to altercations, including those involving deadly force, who must be able to substantiate that reasonable fear actually existed and that any violent or deadly action was in direct response to that reasonable fear. But how do law enforcement officers assess perceived fear? Is that method of assessing reasonable fear in accordance with the intent of the legal doctrine?

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This dilemma evidences the need for an investigative tool to assess basic human patterns of behavior in response to fear. Recognizing this need, Dr. Rosalynn Moten-Travis joined with this writer and initiated development of the Reasonable Fear Inventory (RFI©), a screening device designed to objectively assess individual perceptions of fear. The method of investigating a scene where the nexus of reasonable fear and deadly force is involved requires expertise in assessing basic human patterns of behavior. The Reasonable Fear Inventory can be the essential tool necessary for objectively ascertaining an individual’s motive, mood, and perception of fear when administered following initiation of an act of violence. Much like the introduction of the lie detector test or other innovative investigative tool, the new Reasonable Fear Inventory will be hailed by some and criticized by others. The cynics will complain that it is too easy and lacks the sophistication of certain traditional measurement instruments. While enthusiasts may recognize the significance of the ease of administration and reliability of this validated assessment system, law enforcement and judicial agencies will, hopefully, recognize the value of the Reasonable Fear Inventory as supportive forensic evidence either to move for a dismissal of or to initiate procedures for prosecution of criminal or civil charges. The impetus for the Reasonable Fear Inventory was the early and precise understanding of the implications of the rapid promulgation and passage in state legislatures of the SYG Laws. Beginning by surveying a stratified sample of law enforcers, mental health practitioners, clergy, medical professionals, forensic specialists, college students, lawyers, judges, and convicted criminals, in addition to undertaking an in-depth analysis of archival data found in appellate court cases where definitions of justifiable self-defense were based on claims of perceived fear, rigorous statistical analysis was applied in validating the construct variables contained in the RFI. On the RFI, reasonable fear is characterized as “the global capacity of a person to act appropriately, to think rationally, and to deal effectively with his/her fear.” The inventory contains 24 core items and is designed for administration by trained clinical practitioners or law enforcement officers to measure and assess possible manifestations of fear. The measurement constructs include state of mind, emotional stability, cultural influence, mental competency, safety assessment, criminal recidivism, and personal history. The RFI form is user-friendly, uncomplicated, and cost effective. Clinical interpretation of the RFI is performed by obtaining a raw score and com(800) 423-9737

piling ratings for each of the constructs. The response patterns of inventory respondents are then categorized into four rankings of reasonable fear. The categories provide law enforcement or courts the ability to incorporate this score as additional information to be used in reaching decisions and recommendations of further investigation. The scored assessment form is designed to be used as an objective gauge of the use of deadly force and empirically define the evaluator’s perceptions of how reasonable the fear was. The scores further suggest the need for intervention and/or additional investigation. The RFI manual provides detailed instructions on the expeditious administration, objective scoring, and interpretation of the assessment form. The form can be completed by hand or generated by using optional software. The RFI manual also discusses the development, validity, and reliability of the program.

Summary To revisit the scenario concerning Nurse Marguerite W., imagine that as the police officers respond to the scene, Marguerite explains that she shot a man she perceived as an intruder who was on her property and who, she feared, intended to harm her. The issue at hand for police and the court concerns how reasonable her fear was. Were Marguerite’s actions reasonable in comparison to the general population or were they reasonable actions for her, given her individual history? Was her fear genuine? Drawing on the scores from the RFI, Marguerite’s fear analysis could be more adequately measured and assessed. The score profile would dictate to the police officers what the next step might be. Bringing together the police officers’ training, the results of the standard case interview, and the results of the RFI would yield a fair and impartial examination of the situation.

About the Author Patricia A. Wallace, PhD, FACFEI, DABFE, DABFM, is a member of the Editorial Advisory Board for The Forensic Examiner® and has been an active ACFEI member since 1996. She has extensive experience as an expert witness in thousands of civil and criminal court cases as a Michigan licensed psychologist. Dr. Wallace is a graduate of Wayne State University. Her experience includes service as chief psychologist for the Recorder’s Court Psychiatric Clinic for Wayne County, Michigan. In cooperation with the Family and Law Program of the University of Michigan Medical Center, Child and Adolescent Psychiatric Hospital, Dr. Wallace prepared and facilitated training programs for psychiatric residents focusing on issues related to understanding psychological testing, forensic evaluations, and expert witness testimony. She is also a psychological consultant with the Detroit Police Department, Detroit Public Schools Public Safety Department, and Selfridge Air National Guard Base in Mt. Clements, Michigan. Dr. Wallace is founder/president of Wallace & Associates, Forensic and Psychological Consultants in Southfield, Michigan.

Spring 2008 THE FORENSIC EXAMINER 77

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. ONLINE 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 20) LEARNING OBJECTIVES

ARTICLE 2 (PAGE 26) LEARNING OBJECTIVES

“SANE PEER REVIEW: WHAT IS IT? DO WE NEED IT?”

“THE ARROGANT CHAMELEONS: EXPOSING FRAUD-DETECTION HOMICIDE”

After studying this article, participants should be better able to do the following: 1. Describe the peer review process. 2. Identify the reasons why a peer review should be done. 3. Identify resources in particular practice arenas that can validate the peer review process.

After studying this article, participants should be better able to do the following: 1. Understand the psychological characteristics of red-collar criminals. 2. Assist law enforcement and attorneys in their interviews with possible murder suspects. 3. Consider forensic accountants and fraud examiners as members of a homicide investigation team to uncover a motive to commit murder.

1. True or false: SANE nurses must adhere to their State Board of Nursing scope of practice,

1. True or false: Psychopathological criminals are sincere and truthful.

the International Association of Forensic Nursing scope of practice, and their individual insti-

a. True

tutions' policies and procedures.

b. False

a. True 2. True or false: The interview of the red-collar criminal cannot be based on appeals for sym-

b. False

pathy, remorse, regret, or social obligations. 2. Peer review should NOT be done to

a. True

a. Assure competency in documentation.

b. False

b. Embarrass the SANE nurse. 3. True or false: When interviewing a psychopath, it is better to begin with a specific strategy

c. Prepare a non-biased report.

and not try to elicit an emotional confession. 3. The nursing process for peer review includes all EXCEPT

a. True

a. Assessment.

b. False

b. Evaluation. 4. True or false: Red-collar criminals are nonviolent.

c. Interpretation. d. Implementation.

a. True b. False

4. The ultimate reason to perform a peer review is to 5. Murder for hire red-collar criminals are more apt to

a. Improve patient outcomes. b. Increase job responsibility for the coordinator/director.

a. Be found guilty at a trial.

c. Allow someone else to fix the errors in documentation.

b. Give statements to the police.

d. Write a good report.

c. Avoid detection. d. Provide the weapon to commit murder.

5. A peer reviewer has increased objectivity because a. He/she does not witness and cannot be subject to the affects of an emotional patient.

6. True or false: Red-collar criminals are psychopathological.

b. He/she takes all the photographs and therefore knows all the particular injuries in the case.

c. He/she also works as an advocate in addition to peer reviewing.

a. True b. False

d. He/she has interviewed the suspect and therefore has heard both sides of the case. 6. True or false: Peer review is recommended, but it will not ultimately lead to better patient outcomes. a. True b. False

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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. ONLINE 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

ARTICLE 3 (PAGE 34) LEARNING OBJECTIVES

ARTICLE 4 (PAGE 40) LEARNING OBJECTIVES

“THE LIFE DEVELOPMENT OF GANG MEMBERS: INTERVENTIONS AT VARIOUS STAGES”

“INJURY ASSESSMENT AND MANAGEMENT: Controversies and resolutions”

After studying this article, participants should be better able to do the following: 1. Distinguish between the various levels of development of gang members. 2. Identify various interventions for each level. 3. Discuss how different agencies approach gang problems.

After studying this article, participants should be better able to do the following: 1. Distinguish between an injury and a muscle strain. 2. Understand the importance of the initial diagnosis and treatment regimen. 3. Recognize the point in the treatment program at which the injury has healed and the ongoing symptoms are no longer due to tissue damage, but are influenced by other factors surrounding the injury.

1. Socialization into gang culture may begin as early as

1. When assessing a person involved in an accident, what is the first thing to do?

a. Middle school.

a. Give him an appropriate injection for pain.

b. Young adulthood.

b. Establish a diagnosis.

c. Infancy.

c. Give him something to eat or drink.

d. Secondary school.

d. Obtain his insurance number.

2. Gang members who survive to middle age and remain members usually follow two courses.

2. To manage the pain of an accident victim, which order would be best?

They are

a. Give appropriate medication, diagnose the injury, splint the area, and explain the treatment

a. Drug dealers and hit men for the gang.

plan.

b. Neighborhood "leaders" or part of a national/international criminal organization.

b. Explain the diagnosis and treatment plan, give medication, and splint the injured area.

c. Protectors and recruiters.

c. Splint the injured area, explain the diagnosis and treatment plan, and give medication.

d. Informants and bookkeepers for the gang. 3. What is the most important role of the treating practitioner? 3. Many gang members never reach the highest levels due to

a. Filling out forms for the attorney.

a. Long-term Incarceration or violent death.

b. Relieving the patient's pain.

b. The lifestyle becoming boring.

c. Treating the injury.

c. Finding legitimate employment that pays better. 4. What is the purpose of treatment of the injury?

d. Becoming informants for the police.

a. To relieve the patient's pain. 4. Primary school children may be used by the gang as

b. To aid and facilitate the healing of the injury.

a. Witnesses during trials.

c. To return the patient to his or her work and family.

b. Keeping the parents too busy to attend to the gang member.

d. To aid the patient in his or her lawsuit.

c. Scouts and runners. 5. Who is ultimately responsible for the return to function from the injury?

d. A means to learn the basics the older gang member missed in school.

a. The insurance company. 5. The older, established gang members

b. The treating doctor.

a. Help select the style and signs of street gang members.

c. The patient's attorney.

b. Frequently are overthrown or killed by younger gang members.

d. The patient.

c. Lose interest and inform on the gang. 6. True or false: The treating practitioner and independent evaluator’s objective findings and

d. Distance themselves from any obvious gang connections.

conclusions need to be in reasonable agreement. 6. True or false: “Easy” money is a selling point for attracting middle and secondary school age

a. True

members.

b. False

a. True b. False

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Spring 2008 THE FORENSIC EXAMINER 79

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

ONLINE

ARTICLE 5 (PAGE 44) LEARNING OBJECTIVES “STORIES FROM THE FRONT: IE (IME) EXCESSES AND HOW TO COUNTER THEM” After studying this article, participants should be better able to do the following: 1. Quickly understand the immense gravity of an IE performed on a patient, client, or friend and better prepare the patient for the encounter. 2. Formulate a forensic plan to adjudicate either the IEs and/or the report submitted. 3. Identify the legal aspects and remedies available to combat the more egregious fraud perpetrated by the IEs in the name of “cost containment.” 1. Insurance companies make the bulk of their profits through a. Policyholder’s premium payments. b. Denying claims and through various investments such as T-bills, real estate, interest on CDs, etc. c. Lawsuits. 2. Intermediary companies that hire and temp out (IE) doctors are a. Completely independent. b. Owned by the federal government. c. Often owned by an insurance company. d. There for the good of the patients. 3. True or false: The general idea is that IME doctors are trusted to be objective and render a fair and objective report. a. True b. False

The Forensic Examiner Articles and Tests Online! Find and read new and old articles from The Forensic Examiner using the American College of Forensic Examiners Institute’s website’s easy-to-use searchable database! Search by keyword or author and have instant access to relevant articles and the corresponding CE tests. Log on to www.acfei.com and click “Online CE” to search the database or find the latest articles!

4. True or false: A doctor’s CV should be accurate, un-embellished, complete, and up to date. a. True b. False 5. Outcome measures are useful because a. The insurance companies enjoy reading them. b. They make the patients feel better about treatment. c. They are considered valid indicators of how a patient feels and responds during a treatment regime, and they help document a case file, especially treatment protocols. 6. True or false: It is strongly advised to bring a witness along to an IE. a. True b. False

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80 THE THE FORENSIC FORENSIC EXAMINER EXAMINER Spring Spring 2008 2008 80

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Case Study

Falsely Accused:

Justice and the Willing Suspension of Belief

n 1987, Larry Peterson was 36 years old, divorced, and living with his mom in Pemberton, New Jersey (population [in 2000] around 1,200). Peterson’s problems included the abuse of both alcohol and drugs, and NPR journalist Robert Siegel notes, “he had a record for petty crimes” (“Exoneration,” 2007). Peterson admits, “I became involved with the wrong people” (“Exoneration”). In 1987, Larry Peterson “made his living in the woods, collecting and coiling vines that stores [sold] as ornamental wreaths” (“Exoneration”). Locals recall the morning of August 24, 1987, when the body of Jacqueline Harrison was found raped and strangled in the woods. The newspaper report included sordid details hard for a grieving family to read—it was believed her death had followed “a night of partying: Police found evidence of crack cocaine in her system and of sex with more than one man” (Siegel, “Exoneration,” 2007)—hard for the mother who will raise her two small granddaughters, hard for the sister who sees her sister’s reputation and memory reduced to a forensic report. Peterson had not been identified as a suspect, but Peterson’s neighbor saw scratches on his arms [recall his woodsman livelihood] and called the police. Peterson “denied any involvement” (Seigel, “Exoneration,” 2007), but immediately found himself the object of police attention anyway. Three weeks later, they arrested him. Seventeen months later, months Peterson spent in jail, his trial began. Gail Tighe, a forensic scientist at the New Jersey State Police crime laboratory, “testified at Peterson’s 1989 trial that the hairs found on the victim physically ‘compared’ or ‘matched’ to those of Peterson” (“Key players,” 2007). Siegel reports that this evidence was “the heart of the prosecution’s case” (“Exoneration,” 2007). Particularly damning was the inexplicable testimony of Peterson’s friend Robert Elder, who told the police that on the morning of the murder’s discovery, “during a car ride together, Peterson bragged about the crime” (“Key players”). Though sentenced to 40 years in New Jersey’s Trenton State Prison, Peterson maintained his innocence, and in 2003, with the help of the Innocence Project, he won the right to DNA testing of the hair used as evidence at his 1989 trial. “The DNA tests showed that the hairs from Peterson’s trial belonged not to him but to the victim,” and further, the 82 THE FORENSIC EXAMINER Spring 2008

tests “turned up the tissue and semen of an unidentified man—a ‘Mr. X’ whose DNA, so far, has not turned up in any criminal database” (Siegel, “Exoneration,” 2007). Further DNA testing found “there was no DNA evidence linking Peterson to the crime” (Siegel, “Exoneration,” 2007). In July 2005, Judge Thomas Smith vacated Peterson’s 1989 conviction declaring, “The strength of the [state’s case] is different at this point. We’ve got substantial biological evidence that would tend to indicate that, in fact, Mr. Peterson was not involved in the offense” (Siegel, “Exoneration”). That should be the happy ending to a wretched story with no winners, but it is not over. The current Burlington County Prosecutor, Robert Bernardi, “told reporters that the case was weaker but that it was certainly ‘not an untriable case’” (Siegel, “Exoneration,” 2007). Immediately upon Peterson’s release from prison, the county rearrested him with intent to retry him. His mother’s joy at his release cut short, she managed, over a month’s time, to scrimp and borrow to post his $20,000 bail. August 27, 2005, 18 years after his conviction, Peterson was free on bail; awaiting trial (again); he was unemployed; and his mother was 20 grand in debt. Then came April, 2006. Robert Elder reappeared to recant his 1989 testimony. To get out of an interrogation that had gone on for three days, he said he had told the police what clearly they wanted to hear. The police, he said, discussed the details of the case outside his interrogation room, leaving the door open. He said he had merely repeated their own story back to them, throwing in a few details he had made up. It took prosecutor Bernardi, who had “fought Peterson’s claim to have his DNA tested” (“Key players,” 2007), 2 more months to admit that he did not have a case, and even then, in June 2006, he would admit only that “there was not enough evidence to persuade a jury beyond a reasonable doubt” (Siegel, “Larry Peterson,” 2007). He wasn’t the only one who wouldn’t change his mind. William Buckman is a civil rights attorney who has filed litigation to have Peterson’s record expunged; he is also suing, under New Jersey law, for monetary compensation for Peterson’s wrongful conviction, though it will take several years for Peterson, now 56, to see any compensation. Harrison’s daughters responded with an eloquence and dignity beyond their years: “We don’t know all the facts . . . someone out there

s A mugshot of Larry Peterson

is not giving all the information they know” (“Voices,” 2007). They have determined not to set their minds until all of the facts can be known, even in the face of the possibility that such a day may never come.

References Key Players in the Larry Peterson Case. (2007, June 15). National Public Radio (NPR). Retrieved June 15, 2007, from www.npr.org/templates/story/story. php?storyld=10956464. New Jersey Association of Forensic Scientists (NJAFS). (2006-2008). Retrieved June 19, 2007, from www.njafs. org/administration.html. Pemberton, New Jersey. (2003-2007). City data. Retrieved June 18, 2007, from www.city-data.com/city/ Pemberton-New-Jersey.htm. Siegel, Robert. (2007, June 13). The Exoneration of Larry Peterson. National Public Radio (NPR). Retrieved June 13, 2007, from www.npr.org/templates/story/story. php?stroyld=10961075. Siegel, Robert. (2007, June 15). Larry Peterson: Life After Exoneration. National Public Radio (NPR). Retrieved June 15, 2007 from www.npr.org/templates/story/ story.php?storyld=10974437. Siegel, Robert. (2007, June 15). DNA, Exoneration and Compensation: A Discussion. National Public Radio (NPR). Retrieved June 15, 2007, from www.npr.org/ templates/story/story.php?storyld=11012152. Voices from the Case. (2007, June 15). National Public Radio (NPR). Retrieved June 15, 2007, from www.npr. org/templates/story/story.php?storyld=10974437. Link to Voices from the Case.

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