Many people might enjoy watching the latest forensic science show on television and believe they have strongly grasped forensic science and what forensic scientists do, but is that perc

1Forensic Science and Criminalistics

Associated Press

Learning Objectives After reading this chapter, you should be able to do the following:

▪ Define forensic science and how it contributes to a case, as well as explain the CSI Effect and the scientific method.

▪ Summarize the history of forensic science and contributors to the field.

▪ List and describe some forensic science specialties.

▪ Identify the elements of a forensic investigation, how physical evidence can be produced, and forensic analysis.

▪ Describe the work and work product of a forensic scientist.

▪ Describe the U.S. court system, and the key rulings on physical evidence admissibility through expert testimony.

▪ List and discuss major issues in forensic science today.

1Forensic Science and Criminalistics

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Learning Outcomes After reading this chapter, you should be able to

▪ Define forensic science and how it contributes to a case, as well as explain the CSI Effect and the scientific method.

▪ Summarize the history of forensic science and contributors to the field.

▪ List and describe some forensic science specialties.

▪ Identify the elements of a forensic investigation, how physical evidence can be produced, and forensic analysis.

▪ Describe the work and work product of a forensic scientist.

▪ Describe the U.S. court system, and the key rulings on physical evidence admissibility through expert testimony.

▪ List and discuss major issues in forensic science today.

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Section 1.1Forensic Science

Introduction In this chapter, we will define forensic science and learn how it contributes to a case. This introduction will frame the context for the rest of the book, particularly in an area of forensic science called criminalistics. An overview of the scientific method will show how it underpins what forensic scientists do.

A summary of the history and development of the subject provides background for where we are today. The next section will cover a number of different specialties under the gen- eral “forensic science” heading. This book is primarily about criminalistics, which includes some, but not all, of those specialties. The elements of a forensic investigation will help you understand the way forensic scientists think about cases, and the methods and approaches employed. These elements will come up throughout the remainder of the chapters. Some of the approaches used have to do with the way physical evidence is produced. We will also dis- cuss the work products of a forensic scientist—what gets generated as a result of our work. A brief description of the American justice system will help you see how our work fits in to the overall scheme of things; the way the justice system treats the admissibility of forensic evi- dence is key to everything. Finally, we’ll cover some of the big issues in forensic science today and how they impact the work of the laboratories and scientists.

1.1 Forensic Science What is forensic science? Ask a forensic scientist or look it up, and you will most often hear or see the definition as “science applied to matters of the law.” That is indeed a broad def- inition of forensic science, but it is not very informative. The word forensic comes from a Latin word meaning “of the forum,” or the Roman Senate, which is associated with debating. We now take this to mean “associated with the law or legal proceedings.” Though you may hear people refer to this discipline as “forensics,” this is not entirely correct. Forensic science encompasses all scientific evaluation of evidence completed in order to assist decision-mak- ing in civil or criminal cases or government inquiries.

In the broadest sense, forensic science is indeed science and technology applied to matters of the law. The science could be a physical science like physics or chemistry, a biological sci- ence like biochemistry, or a biomedical science like pathology. As for technology, it could be a branch of engineering, such as mechanical or electrical, or it could be computer and informa- tion technologies applied to a forensic problem.

Two main features distinguish forensic science from more traditional physical and biological science. The first is that the goal of forensic scientists is to produce results and information for a legal case. The second is that forensic scientists are uniquely concerned with individualiza- tion. Individualization means establishing that a person or thing is unique among members of its class. Identifying a person is an example of individualization. Another example would be showing that a red fiber came from a particular article of clothing (which we cannot do— fibers simply do not have sufficient individualizing features). Identifying individual people is an important part of forensic science, and forensic scientists strive to achieve the individual- ization goal, but we will see that some categories of evidence are individualizable and some are not. Unlike forensic scientists, other scientists are not typically concerned with demonstrating that a substance or material or pattern is unique among the members of its class.

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Section 1.1Forensic Science

The CSI Effect The portrayals of forensic science featured on various television programs have not accu- rately defined or depicted forensic science. One of the most successful and well-known is the show CSI: Crime Scene Investigation. The original CSI, set in Las Vegas, spawned new shows based in Miami, New York, and Washington, D.C. In a typical show, a crime is commit- ted, and a team of police officers, who are also state-of-the-art forensic scientists, flies into action and works the case from the scene to the arrest and prosecution. They move effort- lessly between crime scene investigation, police work, and laboratory analysis. Their labs look sleek, modern, and clean and are equipped with devices, computers, and instruments that will accurately and quickly answer any question they might have. Another similar series is called Forensic Files, and features individual cases and the role various forensic sciences have had in solving the case.

One of our goals in this textbook is to show you that the portrayals of forensic science by CSI and similar shows are grossly unrealistic, sometimes even complete fantasy. Criminal justice scholars have begun to study the question of whether citizens who are called to serve on juries bring unrealistic expectations and beliefs to the courtroom as a result of TV programs. The influence that these programs may have on jurors, their expectations, and their decisions is known as the CSI Effect.

Some data suggest that jurors bring expectations to the jury room that are based on watching television, which are then factored into their deliberations (National Forensic Science Tech- nology Center, 2012). Jurors seem to expect sophisticated physical evidence analysis even in cases where prosecutors believe they have readily proven the elements of their case without it. Surveys indicate that jurors seem more concerned with what the prosecution did not do than what it did do, particularly in the absence of direct evidence against the defendant (Shel- ton, 2008). More and more, prosecutors are factoring these potential “CSI expectations” into their pretrial questioning of potential jurors (Thomas, 2006).

Criminalistics As mentioned, we will be covering the area of forensic science called criminalis- tics , which stems from the German word kriminalistik. The person most recognized for defining the boundaries of criminalis- tics is Hans Gross (1847–1915). Gross was an Austrian magistrate and a professor at the University of Czernovitz who pub- lished the two-volume book Handbuch für Untersuchungsrichter als System der Krim- inalistik (Handbook for Examining Magis- trates as a System of Criminalistics) in 1893. This publication was the first of its kind, and, as such, Gross is credited for establishing criminalistics as a defined discipline.

luckyraccoon/iStock/Thinkstock Laboratories play an essential role in assisting with substance and DNA testing. Can you think of more examples of how laboratories could be utilized for solving criminal cases?

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Section 1.1Forensic Science

Criminalistics encompasses the activities of a modern-day forensic science laboratory. It includes DNA analysis and the biological testing of blood and body fluid evidence that pre- cedes it (Chapters 10 and 11); the analysis of trace (or materials) evidence, including forensic microscopy and items such as fibers, hair, glass, soil, paint, and fragments of any material (Chapter 6); and drug/controlled substances identification chemistry (Chapter 4). It also includes crime scene investigation and reconstruction (Chapter 2) and pattern evidence specialties, which include fingerprints, questioned documents, and firearms identification (Chapters 8 and 9) and more recently, digital forensics (Chapter 3).

Sometimes when people say forensic science, they are talking about criminalistics. For our purposes, criminalistics is the narrower definition of forensic science. The broader definition, you may recall from above, is science and technology applied to legal matters. Forensic scien- tists working in criminalistics labs may have the job title of criminalists. Since criminalistics is not a mainstream term, the media frequently confuse it with criminology, which is a branch of sociology and has nothing to do with laboratory science. Forensic scientists working in laboratories all have at least Bachelor of Science degrees, usually in chemistry, biochemistry, or biological sciences. In addition to their formal education, they have undergone periods of training in the specific specialties that range from several months to several years. There are now around 100 colleges and universities in the U.S. offering forensic science degree pro- grams both at the bachelor’s and the master’s levels.

Forensic Science’s Contribution to Cases There are a number of things forensic science can contribute to a criminal case. They include establishing elements of a crime; identifying substances, materials, or persons; supporting or casting doubt on statements by witnesses, victims, or suspects; providing investigative leads; and establishing linkages between suspects, victims, and scenes. The contribution that foren- sic science makes depends on the type of case, the issue at hand, and the forensic specialty area. We will now discuss these potential contributions one by one.

Forensic science can help establish elements of a crime. In a criminal case, the state or the government has the burden of proof. To convict someone of a crime, the state must prove the elements of that crime beyond a reasonable doubt. The elements of a crime are called the corpus delicti, or body of the crime. An example can be found in a sexual assault case. The following excerpt is the Illinois Criminal Sexual Assault statute (2011). It states what must be proven if an individual is to be convicted of sexual assault in an Illinois criminal court.

§ 720 ILCS 5/11-1.20. (As renumbered and amended by P.A. 96-1551, effective July 1, 2011) Criminal Sexual Assault

Sec. 11-1.20. (a) A person commits criminal sexual assault if that person commits an act of sexual penetration and:

(1) uses force or threat of force;

(2) knows that the victim is unable to understand the nature of the act or is unable to give knowing consent;

(3) is a family member of the victim, and the victim is under 18 years of age; or

(4) is 17 years of age or over and holds a position of trust, authority, or supervision in relation to the victim, and the victim is at least 13 years of age but under 18 years of age.

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Section 1.1Forensic Science

The relevant words for forensic scientists here are “an act of sexual penetration.” A sexual assault evidence collection kit (rape kit) may be taken from a sexual assault complainant (Chapter 10). One item in that kit is a vaginal swab. The lab would examine that swab to see if sperm cells were present on it. If they are, it shows that an act of sexual penetration has occurred, and the finding establishes one of the elements of the crime.

Forensic laboratories are also involved in identifying substances or materials, the most famil- iar example of which is a controlled substance, such as heroin or cocaine. A substance taken from someone accused of controlled substance possession must be identified using chemical techniques to support the charges. Another example in which a forensic laboratory would be utilized is in identifying persons using DNA typing and profiling. This role could come up in a criminal case where blood or body fluids were shed at a scene, or in the case of an unidenti- fied human body.

Another role for the lab’s results is supporting or casting doubt on statements people have made to investigators. People may be untruthful to cover up their involvement in a crime. But peoples’ statements about events can also be unconsciously affected by their perspectives or biases. Physical evidence analysis may provide an objective way of testing these statements.

Laboratory findings can also help investigators by providing leads. This has not been a com- mon role for forensic science labs historically, but a good modern-day example is the use of DNA profile databases of convicted offenders. If a DNA profile developed in a new case matches a DNA profile in an older case, there is strong evidence that the same person was involved, even if the person’s identity is not yet known. We will talk about this more in Chapter 11.

Perhaps the most common contribution forensic science makes in criminal cases is help- ing law enforcement officers establish connections between a suspect and a crime scene or victim. Often, these associations from physical evidence analysis provide circumstantial evi- dence in cases where there is no eyewitness account of what happened. Sometimes, forensic scientists will need to testify to these facts in court as expert witnesses.

Trials are dependent on the testimony of witnesses for the prosecution and defense. Two types of witnesses are involved: the witness of fact and the expert witness. The witness of fact, or lay witness, can only testify regarding their experiences and direct knowledge. The expert witness (such as a forensic scientist) delivers unbiased results and analysis in the form of an opinion in court. Generally, only an expert witness can provide an opinion, as this person demonstrates skills and knowledge above that of the general public, and delivers informa- tion to the trier of fact (judge or jury) that will help prove or disprove the matters at issue. A judge must find a forensic scientist qualified to be an expert witness in an area or discipline

Think About It

Can you think of some examples of how physical evidence analysis might test a statement made by a person in a criminal case?

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Section 1.1Forensic Science

every time the scientist appears in court. Later in this chapter, more information on when an expert witness is required or how one is chosen to testify in court will be provided. For now, we’ll move on to the role of the scientific method in forensic science.

The Scientific Method and Forensic Science The scientific method is a model that scientists use to design and execute experiments to test theories about how nature works. This method applies only to questions that can be tested in experiments. Figure 1.1 shows the steps scientists must take in implementing this model.

Figure 1.1: The scientific method

The scientific method is used by scientists to answer questions that can be tested using experiments. What kind of questions do you think can be answered using this method? What are some questions that could not be answered using it?

Observation

Question

Experimentally testable

hypothesis

Experiment

Accept hypothesis Reject hypothesis

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Section 1.1Forensic Science

Briefly, the scientific method begins with an observation about which one can ask a question and eventually develop an experimentally testable hypothesis—an educated guess that pro- vides an explanation for the phenomenon observed. The next step is to formulate an experi- ment to test the hypothesis. It is important that the experiments be controlled; that is, that only one parameter or variable is changed at a time. True hypotheses generate true predic- tions, but unfortunately, false hypotheses can also generate some true predictions in addition to false ones. It is thus necessary to do lots of experiments to test a hypothesis.

If more and more experiments yield the same or similar results, scientists will come to call the hypothesis a theory. Thus, a theory is a well-tested hypothesis that has not yet been shown to be incorrect. Some theories are so well-tested that they eventually come to be called natural laws. However, even natural laws can be found to be wrong or incomplete. In sci- ence, no proposition, hypothesis, or theory is too sacred or well-established to be considered permanent. There is always another experiment that can be done that may cast doubt on the proposition. In this way, the scientific method is self-correcting. New information and data supplants older versions and improves or corrects existing hypotheses and theories.

It is important to note that experiments must have reproducibility—that is, they must be repeatable in order to be accepted by all scientists studying the same question. If an experi- ment does not yield the same results across scientists, the results are not accepted by the scientific community. This is sometimes a criticism of forensic science, as conclusions may be drawn from data and observations from a crime scene, and those exact conditions and circumstances cannot be repeated.

In their everyday work with cases, forensic scientists don’t use the scientific method as such, but the tests are all based on principles that have been established using it. Further on in this chapter, and in the next chapter, we will talk more about reconstruction. Reconstruction fol- lows a series of steps that is very similar to those of the scientific method. The difference is that with the crime scene, the data are a given and cannot be altered.

A final topic that should be discussed in connection with the scientific method is the scien- tific literature and peer review. The scientific literature is found in journals, which are the primary means of formal and documented communication among scientists. Observations or data that have not been published are considered anecdotal, and scientists do not take anec- dotal evidence seriously.

Scientists submit their experimental work to journals in their field for review and publica- tion. Only a fraction of all papers submitted to journals are actually published. Some journals are extremely influential and broadly read, such as Science, Nature, the New England Journal of Medicine, and Cell, and are considered important sources of scientific information. They have much lower acceptance rates, probably well under 1%. Because they are so selective, the peer review of papers submitted to those journals is considered more rigorous than the average. Two or more scientists who are familiar with the subject area review papers sub- mitted to a journal. They do not repeat the work, but they make a reasoned judgment on the data’s validity and whether the data support the conclusions. The reviewers may recommend acceptance, modification, major revisions, even more experiments, or outright rejection to the journal’s editor.

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Section 1.2A Brief History of Forensic Science

There are variations in the way peer review is done. Some journals conceal the authors’ identity from the reviewers, and almost all journals conceal the reviewers’ identity from the authors. The purpose of this is to “blind” people so that prejudices, scientific competition, and personal likes and dislikes do not come into play. It is not a perfect system, but it has served the scientific community well for many decades.

Peer review does not guarantee that the published work is correct or that the data are real. There have been some spectacular instances of fabrication, falsification, and plagiarism in major scientific literature, and numerous instances of it in less-publicized places. Major jour- nals have had to retract papers as a result. Retraction of a paper is an editor’s only option after the paper has been published and then shown to be defective. In science, there is an assumption of integrity—we believe one another until we have a reason not to. Integrity is at the heart of the process, and people who are caught violating it cannot remain in a scientific or research career.

1.2  A Brief History of Forensic Science Forensic science as we understand it today depends on considerable knowledge from chem- istry, physics, biology, and other basic sciences. It was not until the basic sciences were devel- oped, at least to some extent, that we began to see their applications to legal matters.

The basic sciences began to develop in the late 18th century, and many of the early developments in forensic sciences took place during the 19th century. There is at least one very early work in forensic medi- cine from China that dates back many cen- turies, but the early development of toxi- cology, forensic biology, forensic pathology, and fingerprint comparison occurred between 1820 and 1900.

Forensic Science in Europe One of the earliest pioneers of forensic science was a Spanish doctor, Mathieu Joseph Bonaventure Orfila (1787–1853). He attended medical school in Paris as a young man, and rose to become what we would today call the chief medical

Think About It

Do you see value in peer review? Would you trust something you read in the New England Journal of Medicine more than you would if you read it in your local newspaper? More than you would if you read it in a supermarket checkout tabloid? Why?

Prisma/Album/Superstock Known as the father of forensic toxicology, the work of Mathieu Orfila influenced the development of modern-day criminalistics labs both in Europe and the United States.

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Section 1.2A Brief History of Forensic Science

examiner of Paris. His work was primarily focused in forensic pathology, but he was the first to perform toxicology testing based on a basic understanding of chemistry. Because of this, he is sometimes referred to as the father of forensic toxicology. In addition, he devised some very early tests for blood and for determining the species of origin of blood.

Much of the development of forensic medicine and biology took place in Europe, especially in Germany, Austria, France, Italy, and a few other countries. In these countries and those that followed their lead, medico-legal institutes came about in the 19th century and some of these still exist today. The institutes were associated with medical schools and provided autopsy and forensic pathology services as well as laboratory testing. Lab testing included toxicology and, in the early years, blood and body fluid characterization. An autopsy is a dissection and examination of a dead body and its tissues and organs to document wounds, medical history, and any disease conditions present. The objective of an autopsy is to discover the cause of death. In much of continental Europe today, there are still medico-legal institutes providing pathology and toxicology services. Many of the countries have also developed criminalistics labs at the national and/or state level. Those labs are similar to criminalistics labs in the United States.

Forensic Science in the United States In the United States, a few medical schools in eastern cities developed medico-legal institutes, modeled after those in Europe, in the early 20th century. These institutes did not persist in American medical schools, and forensic pathology (medical examiner) services, often with their own toxicology labs, became separate entities of city, county, or state governments. A medical examiner is a medical doctor specialized in forensic pathology and empowered by law to investigate the cause and circumstances of questioned death. Fingerprints also came into use by United States police agencies in the early 20th century. We will discuss the history of fingerprints more in Chapter 8.

Military firearms expert Calvin Goddard was one of the first to use the newly developed tools of forensic firearms identification, and he matched weapons to cartridge cases and bullets recovered from the St. Valentine’s Day Massacre of 1929. Because of this, Goddard is widely regarded as the father of firearms identification. The St. Valentine’s Day massacre was a mass murder of people from one organized crime “family” by members of another. There was quite a bit of violent crime in Chicago at the time because of organized crime activities. Even in a city accustomed to the street violence of the time, the St. Valentine’s Day massacre shocked the public. Goddard’s work on this case led to the formation of a forensic laboratory for Chi- cago that was housed for some time at Northwestern University. This lab was eventually transferred to the city of Chicago.

In August 1923, August Vollmer, another figure who had a strong interest in using modern sci- entific methods and procedures to fight crime, became Chief of the Los Angeles Police Depart- ment. Soon afterward, the first government forensic lab was established within the LAPD. Today, this laboratory is still operating. It, along with the more recently formed Los Angeles County Sheriff ’s forensic lab, is located on the campus of the California State University at Los Angeles.

Dr. Paul L. Kirk (1902–1970) became a professor at the University of California, Berkeley, in 1929. Dr. Kirk’s influence was enormous in forensic science, both in California and across the nation. He was a biochemist who quickly developed an interest in forensic science, and

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Section 1.2A Brief History of Forensic Science

developed the subject and its underlying philosophy for many years. He also established degree programs in criminalistics in the School of Criminology. Most of the graduates of Berkeley’s criminalistics program went on to work in forensic labs, and many of the ones who had Doctor of Criminology degrees became faculty members in other forensic science aca- demic programs in the U.S. Dr. Kirk was involved in many cases during his long career. He and his students did research as well as providing forensic lab services. Perhaps his most famous case was that of Dr. Sam Sheppard.

Case Illustration: State of Ohio v. Dr. Sam Sheppard Sam Sheppard was a doctor in a Cleveland, Ohio, suburb called Bay Village in the 1950s. His father was a doctor and so were his brothers, and they had a thriving practice. Sam was married to Marilyn Reese Sheppard in a house located on the shore of Lake Erie.

On the Fourth of July weekend, 1954, Marilyn, who was pregnant at the time, was violently murdered. Sam afterward told police a story about a bushy-haired intruder he had got- ten a look at and confronted. He said he had been sleeping on the sofa downstairs and was aroused by noise from the upstairs bedroom. Running upstairs, he got a glimpse of the intruder who fled. He said he checked Marilyn and found that she had no pulse. He also said he quickly checked on his son sleeping in a nearby room and noticed that he was okay. Running back downstairs, he got another glimpse of the intruder whom he chased outside and down the beach.

The case became a press sensation. Members of the press quickly decided that Sam had killed his wife and wrote stories urging Cleveland authorities to arrest and try Sam. After some time, Ohio authorities did so. The trial was a media circus. There was not a great deal of evidence directly implicating Sam, but many did not accept his story either. During the investigation, it had been revealed that he had had a several-year affair with a nurse, and prosecutors contended that this relationship provided the motive for the crime.

In retrospect, commentators have noted that his defense attorney was not very effective. On the other hand, it is not clear that anyone could have overcome the extreme media storm pressing for Sam’s conviction. Sam had suffered significant injuries, and a physician testified to their severity and to the fact that they could not have been faked. The scene was very bloody, and Sam had only a small spot

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