FBI Law Enforcement Bulletin - Mar04leb

8/9/2019 FBI Law Enforcement Bulletin - Mar04leb

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Geologic Material as

Physical EvidenceBy JOSEPH A. FINLEY, Jr., Ph.D.

Whenever two objects comeinto contact, there always is atransfer of material. Themethods of detection may notbe sensitive enough to demon-strate this, or the decay ratemay be so rapid that all evi-dence of transfer has vanishedafter a given time. Nonetheless,the transfer has taken place.1

he field of geology and itsrelationship to forensicscience has remained

in forensic science. Geologicmaterial, as with all physicalevidence, contributes scientificsupport that can assist in es-tablishing the guilt or innocenceof an individual. In general,the usefulness of geologic mate-rial as physical evidence de-pends on the number of signifi-

cant variations in the materialand the ability to compare andcontrast these variations. Theinorganic nature of geologicmaterial can make qualitative

Tshrouded in mystery for manyyears. Although the interactionof humans with the environmentlong has been the object of muchinterest to physical scientists,published literature on this topic

is relatively limited.Geologic material, com-monly used as physical evi-dence in both criminal and civilcases, can play an important role

March 2004 / 1

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2 / FBI Law Enforcement Bulletin

identification relatively straight-forward. Combined with the sci-entific objectivity of the analysis

and testimony of the expert wit-ness, geologic material has agreat advantage as physical evi-dence. To this effect, investi-gators must ensure that theyuse proper collection and pres-ervation techniques for process-ing and analyzing variousmaterials.

SOIL

Today, most major crime

laboratories throughout theworld, both public and private,study soils. The FBI was one ofthe first forensic laboratories inthe United States to extensivelyuse soil and mineral analysisin criminal cases.2 As earlyas 1935, the FBI Laboratoryworked with soils; by early 1939,heavy mineral separations andmineral identifications were

standard practices for the FBILaboratory in soil cases.3

Formation

Soil material generally isformed by nature in one of twoways, residual or transported.This loose material (soil) is com-posed of fragments of mineralsand rocks generated from thebreaking up or dissolving of theearths solid rocks. Residual soilmaterial forms in places wheresolid rock is exposed in outcropsat the earths surface. This solid

rock endures the natural weath-ering processes, which, overtime, break up and dissolve therock. This procedure turns theoutcrop into a mass of fragmentsand removes some of the mate-rial in solution (dissolving of theminerals normally occurs in rainor groundwater).

Transported soil mate-rials occur where fragments of

minerals are produced elsewhereand transported to the locationwhere they are found. Fragments

of rocks and minerals created bythe weathering of a rock outcropmay be carried away by riversand deposited as sandbars,gravel, or fine mud. Wind canmove vast quantities of frag-ments great distances, depositingthem as dunes and dust layers.Wave and current actions breakdown rock and mineral forma-tions along shores of seas andlakes, transporting this material

and depositing it as beaches orundersea sediment. The force ofgravity may cause landslides andmove tons of material down aslope, thereby producing a massof newly transported soil on theland below.

Composition

Characteristically, soil is avery complex system composedof certain quantities of solid, liq-uid, and gaseous materials. Theunconsolidated mineral matteron the earths surface has beensubjected to and influenced bygenetic and environmental fac-tors, such as parent materials,climate (including moisture andtemperature effects), macro- andmicroorganisms, and topogra-phy. Over a period of time, thesefactors produce a product (soil)

that differs from the materialfrom which it derived in manyphysical, chemical, biological,and morphological propertiesand characteristics.4

Special Agent Finley, formerly an expert witness in the Mineralogy Unit,FBI Laboratory Division, now serves in the FBIs Miami, Florida, office.

...investigators mustensure that they useproper collection and

preservation techniquesfor processing andanalyzing various

materials.


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March 2004 / 3

The important distinctionin a forensic definition of soilappears in the sampling of earth

material, either accidentally ordeliberately. For forensic pur-poses, the definition of soil isearth material collected acciden-tally or deliberately and associ-ated with a matter under investi-gation. In general, the usefulnessof most types of physical evi-dence, recognizing that probabil-ity and chance are most impor-tant, depends on the number ofsignificant variations easily ob-

served and measured in the ma-terial; specifically, how manydifferent kinds of classes can ex-ist and how widespread eachclass is. The value of soils, rock,minerals, and fossils lies in thefact that many variations andpossibilities exist. Any processthat aids in generating a uniquelyidentifiable material determinesthe value and type of examina-

tions that will prove most useful.These processes constitute thekeys to a meaningful soil com-parison from which the foren-sic scientist can draw validconclusions.

Soils pass through a cycle ofdevelopment involving youth,maturity, and old age.5 Basedupon this readily accepted con-cept of soil alteration, the com-parison of soil by color, texture,

and mineral composition is justi-fied. Color is one of the mostimportant identifying character-istics of mineralsvirtually allpossible colors of the visible

light spectrum occur. With mostgeologic materials and soils, thenative minerals contribute di-

rectly to the soil color, as well asorganic matter present.Soil structure, an arrange-

ment of the soil particles, can berecorded descriptively. Somesoils, particularly loose sands,consist of a structureless mass,whereas most soils tend to clus-ter together to form compoundstructures. Particle sizes of soil

constituent material that relatesdirectly to the ability to compareit by using a microscope. The

importance of mineral composi-tion is apparent in soil becauseminerals can comprise approxi-mately 45 percent of an entiresample.7 Geologists use variousmethods to positively identifythe sample. The soil examinationassociates or disassociates aknown sample from a ques-tioned sample. Some tech-niques used to make this com-parison may destroy the sample;

therefore, appropriate personnelshould use them accordingly.

Because forensic geologistsmust be aware of the contextand source of the samples exam-ined, investigators should ensurethat they remove earth materialfrom clothing, vehicles, or othersources with extreme care, en-suring preservation of theoriginal sample. Specifically, in-

vestigators should pay close at-tention to layering and lumps ofmaterials.8

Evidence value rests uponthe fact that soil varies frompoint to point on the surface, aswell as below the earths surface.For depth of the sample, investi-gators should note the approxi-mate depth of their own foot-prints in the soil at the scene.Investigators should take numer-

ous samples at the immediatescene radiating outward from thecenter and also an alibi sampleaway from the immediate scene.This type of sampling will allow

minerals are classified as sand,silt, and clay (based on a physicalmeasurement). A wide range oftextural (particle) size exists insoil, depending upon the rocksfrom which it derived and theprocesses by which the soil hasaccumulated.6 Soils are coarse-or fine-grained.

Soil structure constitutes oneof the most important soil prop-

erties, but forensic scientistsmust approach it carefully due tothe inherently smaller samplesizes. In most soil samples,mineral composition is the

Evidence value restsupon the fact that soilvaries from point topoint on the surface,as well as below the

earths surface.


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the forensic geologist to see anyvariation. If sample variationsare wet or moist, investigatorsshould air-dry them before plac-ing them in a vial or similar con-

tainer to prevent biological ac-tivity from continuing and toavert any breakdown of thesample. The amount of samplerequired for analysis depends onthe type of examination con-ducted; however, most analysesrequire approximately 1 cup ofsoil. If considerable gravel orother coarse material is present,investigators should increase thesize of the sample. They can

make the first determination ofthe soils color at the scene, forexample, and the color of the soilon a suspects clothing. Theyshould ensure that the soil is dry

when packaged and limit thepossibility of contamination.Only plastic locking bags orglass vials should be used, neverenvelopes.

BUILDING MATERIALS

Building materials long havebeen an important part ofpeoples interaction with and im-pact upon their environment.Natural materials used to formmanmade products that will be-come part of a structure, dwell-ing, or similar fixture can beclassified as building materials.

When handling building ma-

terials, investigators must con-sider the various types of com-binations at a given location.Because building materialscommonly are made of mineral

materials and represent the com-bination of a variety of mineralsor rocks at a specific time for acertain purpose, they can behighly distinctive. Regional dif-

ferences in the base aggregatesused to produce these materialsprove useful to the forensic sci-entist. Different building materi-als contain suitable aggregates,such as quartz, gravel, crushedstone, bituminous or anthracitecinders, burned clay or shale, andpumice or volcanic scoria, all ofwhich may indicate a particulargeographic area.9

Building materials can in-

clude bricks, cinder and con-crete blocks, cement, plaster,ceramics, fiberglass, abrasives,cleaning and face powders,and commercial sands. Each

The stereobinocular microscope helps identify the various minerals and mineral sitespresent in a sample. The widefield, low-power stereobinocular microscope gives an erect,

three-dimensional image that makes it ideal for manipulating a sample. Minerals also havedifferent densities, an identifiable property. Normally, these differences are divided into twogroups of heavy minerals and light minerals with the boundary drawn at approximately2.9 grams/cc.

Additionally, forensic geologists use a polarizing or petrographic microscope to posi-tively identify the sample. This differs from the stereobinocular microscope in that it hasfilters for polarizing the light and rotating the state and attachments for viewing the charac-teristic effects on light that has passed through minerals. Minerals, especially small-sizedones, commonly are identified using x-ray diffraction and spectrographic techniques. Otherinstruments of value to the forensic geologist exist, particularly the scanning electronmicroscope and the electron microscope. With these instruments, geologists can examine

extremely small mineral particles using magnification in excess of 100,000 times. Whereapplicable, pH-size particle determination and elemental analysis may be used in conjunc-tion with color, texture, and mineral composition.

Examining Geologic Evidence


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March 2004 / 5

particular type of material lendsitself to similar comparative ex-aminations. Most plaster and ce-

ment contain rock and mineralparticles. Investigators must en-sure that these materials areplaced in airtight containers andnot heated again, as in the initialformation, to prevent the pos-sible conversion of the gypsumback to the plaster, or low-water,form.

Cleaning and face powderscommonly have a mineral baseor mineral filler. The specific

minerals used tend to differ fromone product to another, andmanufacturers often change thesize and composition of mineralsthrough time. Abrasive materialsmay be natural or artificialnatural materials tend to be morediverse. Further, a wide varietyof sands are used for commercialpurposes.

The alteration of the environ-

ment with building materials canprove important to the forensicscientist who will use variousmethods to examine buildingmaterials broken down into sev-eral areas. However, for the fo-rensic scientist to make an accu-rate determination, investigatorsshould sample all types of mate-rial present at the scene. Mostcases involving building mate-rials are related to burglaries

where someone has broken intoa dwelling or structure. Brick,cinder block, fiberglass, andgypsum board most likely wouldbe involved, and investigators

should take representativesamples of each material. Theyshould package materials in

appropriate containers, suchas plastic locking containers,to avoid any chance ofcontamination.

sample dry and intact to preventdestroying any of the uniquephysical characteristics of the

insulation. Additionally, theyshould ensure that cross-con-tamination of specimens doesnot occur. Investigators shouldleave any questioned material in-tact on the specimen because re-moving the insulation may ren-der its value worthless in theforensic examination.

CONCLUSION

Geologic material can prove

an invaluable tool as physicalevidence in criminal and civilproceedings. The field of foren-sic geology can expand to con-tain virtually all inorganic mate-rials used as physical evidence.Soil, building materials, and safeinsulation represent just threeexamples of the numerous typesof geologic materials that canbenefit law enforcement agen-

cies as evidence in cases.The usefulness of most typesof physical evidence depends onthe number of significant differ-ences that exist in the material.Nature has provided geologicmaterials with large variationsand possibilities.10 Investigatorsmust ensure that they follow ap-propriate procedures when se-curing, packaging, and preserv-ing geologic materials. The

forensic scientist then can pro-vide an expert opinion to theinference or conclusion drawnfrom facts determined during theexamination of these materials.

SAFE INSULATION

Found between the walls offire-resistant and burglar-resis-tant safes and safe cabinets, safeinsulation often is soft and very

porous and, therefore, can bereadily transferred to tools andclothing. Various types of mate-rials are used as safe insulation,including wood chips, gypsum,fiberglass, and asbestos. Manysafes made before 1936 containnatural cement as insulation.

Collecting safe insulation ata crime scene is a relativelysimple procedure. If the safe ispresent at the scene, investiga-

tors should take samples of allwalls because replacement ofone or more walls with differentsafe insulation is common. In-vestigators should keep the

Soil, buildingmaterials, and

safe insulation...canbenefit law enforce-

ment agencies asevidence in cases.


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Endnotes

1 The Locard exchange principle,

developed by Edmond Locard in 1929,

is the basic precept of forensic geology.2 R. C. Murray and C. F. Tedrow,

Forensic Geology (Englewood Cliffs, NJ:

Prentice-Hall, Inc., 1992), 23-24.3 Ibid.4 G. D. Smith, et al., Glossary of

Soil Science Terms, Soil Science Society

Proceedings 26, no. 3(1965): 305-317.5 A. K. Lobeck, Geomorphology: An

Introduction to the Study of Landscapes,

Soils (New York, NY: McGraw Hill,

1939).6 L. C. Nickolls, Identification of

Stains of a Nonbiological Nature, in

F. Lundquist, ed.,Methods of ForensicScience, 1 (New York, NY: Interscience

Publications, 1962), 355-362.7 Although scientists have identified

over 2,000 minerals, only about 20 are

commonly found in soils, with the bulk of

soil containing only 3 to 5 different

minerals.8 Two possible types of known

samples exist: samples collected from the

crime scene, or alibi location, and

samples scientists use as part of their

normal professional resources. Known

samples from scientists normal profes-

sional resources are numerous and varied.Use of these samples for comparison may

provide the scientist with a correct

identification of the material and, in some

cases, the particular area of origin.9 American Society for Testing

Materials Standards,Book of ASTM

Standards, 1955, 421-611.10 Supra note 2.

Law Enforcement Funeral Manual,by William P. Sanders, Charles C. Thomas,

Publisher, Springfield, Illinois, 2001.Death is never easy. However, wheneverit strikes within a law enforcement agency,

it can have long-lasting effects on officersand administrators alike. Therefore, to copewith such a tragedy, it is imperative for anadministrator to be prepared. Less than 100pages long, the Law Enforcement Funeral

Manual provides sample funeral services,memorials, poems, short readings, andhymns for use under a wide range of cir-cumstances. Containing information gatheredby the International Conference of PoliceChaplains, the book presents administratorsand law enforcement personnel with the toolsto help promote healthy healing. In addition,this manual provides services for multiplereligious beliefs. Overall, this concise,helpful book compiles components nec-

essary to conduct a thoughtful and appro-priate ceremony for a law enforcementfuneral.


Book Review


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Chapter 1 provides a brief overview onhow to notify family members or loved onesregarding the death of an officer. The authorstrongly suggests that the department enlistthe services of a police chaplain when makingnotifications.

Chapter 2 describes the basic elementsof the law enforcement funeral. The authorexamines U.S. flag etiquette and the use ofpipe and drum corps, bugler, honor guard,badge mourning bands, flowers, and ribbonsin detail. This chapter also offers specialreligious funeral considerations for those

officers of varied beliefs (e.g., Buddhist,Hindu, Islamic).Chapter 3 gives the law enforcement

administrator the entire funeral services forofficers killed in the line of duty, killed offduty, and retired. As part of the funeralservice, the author provides prayers, scrip-tures, readings, hymns, and closing benedic-tions. In addition, this chapter providesnecessary information on how the motorcadewould proceed to the cemetery. This latterpoint often is overlooked in prior planning

and policy determination.While the first three chapters focus on the

deaths of human officers, chapter 4 containsmemorial services for law enforcementservice animals. Although most agencies haveexisting policies regarding officer deaths,work dogs and horses rarely are mentioned,even though their deaths occur much morefrequently. As a result, administrators oftenare at a loss as to how to handle these events.This chapter fills a much-needed void in the

extant literature.Chapter 5 offers those conducting memo-rial services poems, prayers, hymns, and short

readings specifically designed for officerswho have passed away. In addition, thischapter mentions the needs of the survivorsand points out the necessity of advisingfamily members and loved ones that theagency will be honoring the deceased officerin ceremonial fashion. To promote healthyhealing, this chapter also focuses on survivorresources and support agencies.

In the appendices, the author provides asample departmental policy or standard oper-ating procedure model that can be modifiedquickly to assume the needs of the individual

agency. Additionally, a funeral checklist con-tains the important components in a handy,to-do format, as well as a model for debrief-ing personnel after critical incidents.

TheLaw Enforcement Funeral Manualis a well-designed guide for police adminis-trators. It is presented in a fashion that isacceptable to those having no experience inpolice funerals, as well as seasoned veteransand clergy alike. Although it is in sharp con-trast to most law enforcement publications,the manual provides basic information that an

agency can use to quickly and professionallyprepare after tragedy strikes. It should be anecessary, if not totally welcome, addition toany law enforcement agencys library.

Reviewed byCharles Mesloh,

Assistant Professor,Florida Gulf Coast University

Jennifer James-Mesloh,

President,Advanced Research Solutions, Inc.Labelle, Florida

March 2004 / 7


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Focus on Identity Theft

Identity thieves have targeted U.S. Departmentof Education federal student aid programs, with apotential impact on million of students at thou-sands of institutions of higher learning nation-wide. The department processes over 11 millionapplications for student financial aid and dis-

burses over $60 billion a year in federal studentaid funds.The departments Office of Inspector General

(OIG) serves as its law enforcement arm. Withregional offices and over 70 special agents, theOIG investigates allegations of identity theftinvolving federal student aid funds in conjunctionwith the U.S. Attorney Generals Office. Withinthe last year and a half, OIG investigationsconducted along with other federal, state, andlocal police have resulted in over $1 million incourt ordered restitutions. And, the numbers

continue to grow.The methods that these perpetrators employ

vary from the fraudulent use of personal informa-tion belonging to family members and friends toconspiracies that involve groups of individualswho have access to student information. Identitythieves also have used the identities of deceased

dentity theft is a rapidly growing crime thathas reached the hallowed halls of academia.

individuals and prison inmates to apply for andobtain federal student aid. Beginning in 2002, thedepartment began checks of Social Security

numbers against death records to identify thefraudulent use of numbers formerly issued todeceased individuals.

A recent example of student identity theftresulted in a 26-count indictment against anindividual in U.S. District Court, Western Districtof New York, for his role in allegedly defraudingthe Department of Education of over $160,000 bysubmitting fraudulent student loan applications inthe name of his mother and brother. The indict-ment also charged that the individual preparedand submitted approximately 2,370 additional

student loan applications requesting disbursementof approximately $43.8 million. These applica-tions were prepared using multiple fictitiousidentities that claimed attendance at variouscolleges in the United Kingdom.

OIG collaboration with the Mesa PoliceDepartment, Mesa Community College, theSocial Security Administration, and the U.S.Secret Service recently resulted in an individualpleading guilty to one count of student aid fraudand one count of identity theft. He also admitted

to forfeiture allegations. The investigation re-vealed that he had assumed over 50 differentidentities to obtain approximately $313,000 infederal student aid. Many of the victims wereprison inmates. He faces a potential sentence of20 years and a $270,000 fine. Because he admit-ted to forfeiture allegations, he faces forfeiture ofhis house, car, computer and electronic equip-ment, and nearly $70,000 in cash and bankaccounts.

Crimes such as these have resulted in Secre-tary of Education Roderick Paige, Inspector

General John Higgins, and Federal Student AidChief Operating Officer Theresa Shaw launchingan identity theft prevention initiative to alert stu-dents who are particularly vulnerable to this typeof financial crime. The Web site www.ed.gov/misusedprovides information about how to pre-vent and report identity theft that involves federal

I

Identity TheftWithin FederalStudent Aid ProgramsBy Sharon Jones-Davis

Digital Stock


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student aid funds. The OIG has increased its data-mining efforts to identify potential trends andpatterns involving identity theft and other crimes

involving fraud against the student aid programs.As a result of data mining, the OIG also was ableto assist other federal law enforcement agenciesidentify foreign nationals with terrorist links whofraudulently obtained student aid.

The OIG will continue in its efforts to com-bat identity theft by conducting investigations

involving individuals who steal personal informa-tion to commit fraud within federal student aidprograms. The OIG seeks to expand its role in

preventing student aid identity theft by workingwith other law enforcement agencies and educat-ing students to the long-term economic threat thiscrime poses.

Bullet Cartridge Knives

This unusual weapon appears to be a riflecartridge with a head stamp that reads 30-06SPRG. Instead, it has a sharp metal bladeinside that poses a serious threat to lawenforcement officers.

This weapon looks like a handgun car-tridge, but contains a sharp metal blade witha head stamp that reads, 30-06 SPRG.Law enforcement officers should be awareof the possible threat of this weapon.

Sharon Jones-Davis is a program management analyst at the

U.S. Department of Education, Office of Inspector General,Investigation Services.

March 2004 / 9

Unusual Weapon Alert


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nvestigating sudden, unex-plained infant death (SUID)in the United States serves

through a SUID investigation,providing a much greater chanceof an accurate determination ofwhat caused or contributed to achilds death.

SUID AND SIDS

SUID cases involve infantdeaths that occur outside of a

doctors care without an imme-diate explanation of their cause.People should not confuse SUIDwith sudden infant death syn-drome (SIDS),1 which refers to

the sudden death of a child under1 year of age that remains unex-plained even after a thoroughcase investigation2scientistscall it a diagnosis of exclusion.SIDS is the most frequently de-termined cause of SUID.3

SUID investigators shouldconsider that SIDS claims more

infant lives in the United Statesthan congenital anomalies, ill-nesses, injuries, and homicidescombined. In fact, SIDS deathsoutnumber abuse and neglect

as one of the many challengesfacing law enforcement officers.Federal, state, and local investi-gators alike often receive littleintroduction to SUID and do notfully understand their role in a

SUID investigation when re-quired to handle one. A morecomplete understanding of thisrole can enable law enforcementofficers to work effectively

I

Sudden,UnexplainedInfant DeathInvestigationsBy ERNST H. WEYAND

Digital Juice


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March 2004 / 11

...without a completeinvestigation, the

circumstancessurrounding a babys

death will remaina mystery.

Special Agent Weyand serves in the Indian Country Unitat FBI Headquarters in Washington, D.C.

deaths in children under 1 year ofage nearly 9 to 1.4 Law enforce-ment officers that investigate in-

fant deaths on Indian reserva-tions must face an even morealarming concern: SIDS deathsamong Native American babiesoccur at a rate of nearly 3 timesthe national average (6 per 1000)for that of Caucasian infants (2per 1000)in North and SouthDakota, the rate is approximately4 times that figure (8 per 1000).5

THE SUID

INVESTIGATIONAgencies should treat the

sudden, unexplained death of aninfant like any other mysteriousdeath. A meticulous investiga-tion must begin immediately todetermine if criminal behaviorcaused or contributed to thedeath of the child. Often, if in-vestigators find no such evi-dence during the initial stages ofa SUID case, health profession-als (e.g., medical examiners, fo-rensic pathologists, and coro-ners) in large metropolitan areaswith ample investigative re-sources complete the investiga-tion to determine the cause andmanner of the infants death. Inmore rural areas where thesemeans may not exist, law en-forcement officers commonlyassist them in solving these

cases. Regardless, without acomplete investigation, thecircumstances surrounding ababys death will remain amystery.

Approximately 15 percent ofSUID investigations will iden-tify a cause of death other than

SIDS.6

Murder serves as one ex-amplein 2000, the homiciderate for children under the age of1 year reached a 30-year high(9.1 murders per 100,000 in-fants), a number twice that re-ported in 1970 and nearlyequivalent to the 2000 homiciderate for American teens betweenthe ages of 15 and 19.7 Manyresearchers consider this numberlow, not accurately depicting the

number of infant murders in theUnited States.

Many law enforcement offi-cers find the SUID investigationenigmatic; instead of looking forpossible wrongdoing, they oftenmust focus their efforts on estab-lishing an overwhelming lackof evidence. In other words, aninvestigator engages in an

investigation of exclusion byexamining various areas outsidethe normal scope of a criminal

case to rule out such possibilitiesas abuse, neglect, environmentalfactors, illness, accidental as-phyxiation, or strangulation. Tostreamline this process and toensure that they do not overlookcritical evidence, officers shouldconsider dividing a SUID inves-tigation into four general catego-ries: the death scene analysis, theautopsy, an examination of theinfants medical history, and a

review of the family case history.

The Death Scene

The death scene is the phaseof a SUID investigation most af-fected by the passage of time. Towork efficiently, investigatorsmust know what to look for andhow to document the findings.Officers should begin at the


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place where the infants deathwas pronounced and quicklymove to the location (if differ-

ent) where the baby was founddead or unresponsive. If pos-sible, investigators ought to oc-cupy both places as soon as thedeath is reported and quicklyidentify the individuals who lo-cated the child because their ob-servations can greatly assist there-creation of the death scene.

At the scene, investigatorsshould describe, in detail, the sitewhere witnesses found the baby.

For example, if the death oc-curred at home in the infantsbedroom, officers ought to in-clude a description of the room,as well as their observations ofthe sleeping surface. Investiga-tors must take great care in docu-menting these details (e.g., Themattress is too small for the cribor Officers noticed a brokenspring in the bedding). They

also should determine if anyonewas sleeping with the child at thetime of death and if this personwas impaired by alcohol or otherdrugs. After examining thesleeping site, investigators thenwould record a variety of envi-ronmental factors, including in-side temperature, outside tem-perature, type of heating present,type of air conditioning, any hu-midifier or vaporizer use, type of

flooring, state of the homescleanliness, number of peopleliving in the residence, and anypresence of animals.

The collection and thoroughdocumentation of physical evi-dence at the death scene can

prove essential in accurately es-tablishing an infants cause ofdeath. Items considered impor-tant to a SUID investigation in-clude the babys clothes and dia-per, bedding, formula, time andcontents of the last bottle, over-the-counter or prescribed drugs

familiar with basic medical con-cepts and terms related to infantdeath. When documenting the

general appearance of the child,officers should note the body,face, head, and neck positions;rigor mortis; postmortem lividity(creating a drawing and depict-ing the pattern); birthmarks;body temperature; physical de-velopment; evidence of trauma;state of hydration; and any fluids(e.g., vomitus, blood, mucus, orother secretions) or obstructionspresent in or around the babys

mouth or nostrils. Additionally,they ought to document all at-tempts to resuscitate the child,along with any physical signs ofattempted resuscitation (e.g., en-dotracheal tube, chest ecchymo-sis,8 EKG monitor pads, or intra-venous lines).

The Autopsy

The forensic autopsy of the

infant serves as a critical step in aSUID investigation. Without athorough autopsy by a compe-tent, experienced health profes-sional, the cause and manner ofthe babys death will remain inquestion. The law enforcementofficer plays a critical, thoughlimited, part in this phase of theinvestigation. While carrying outtheir role in this process, in-vestigators ought to remain

sensitive to the needs of thechilds family and effectively ex-plain the importance of a foren-sic autopsy.

or medications, and other appro-priate items, such as folk rem-

edies or unpasteurized honey (ifingested within 30 days of thetime of death). In addition, in-vestigators should collect anytoys located nearby and docu-ment their relative position to thechild.

Officers also must meticu-lously document the babys gen-eral appearance. This serves as acritical portion of the death sceneinvestigation and provides in-

valuable information to thehealth professionalin thisregard, investigators can com-municate more effectively when

People shouldnot confuse SUIDwith sudden infantdeath syndrome

(SIDS)....


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March 2004 / 13

1.Remain sensitive to the family, but stay focused. Although painful for the family, adetailed investigation may shed light on the true cause of death.

2. Time is critical. Crucial evidence will become lost or destroyed if the investigation doesnot begin immediately.

3. Trust your investigative instincts. Remain alert to the possibility of rollover death (alsoreferred to as overlying death), accidental suffocation, strangulation, positional asphyx-iation, child abuse, child neglect, or homicide. Investigators should use their expe-rience, training, and judgment to develop additional leads in any stage of the SUIDinvestigation.

4. Use a SUID investigative protocol.9 This written checklist, or guide, ensures that inves-tigators do not overlook critical evidence during the investigative windowof a SUIDinvestigation.

Considerations During a SUID Investigation

First, the officer obtains pa-rental consent, a coroners direc-tive, or a court order authorizingthe autopsy. Next, the investiga-tor must coordinate the transpor-tation of the infant (while main-taining a proper chain ofcustody). The officer also should

make efforts, early in the investi-gation, to obtain the babysmedical records, as well as docu-mentation of the mothers prena-tal care. Copies of these recordsought to accompany the infant tothe autopsy. Finally, the investi-gator should remain available,either in person or by telephone,to provide input and observa-tions to the health professional atthe time of the autopsy.

The Infants Medical History

Investigators can gathermuch of the information about

the childs medical history fromrecords, as well as interviewswith parents, guardians, or care-takersof course, if the infantsdeath resulted from abuse, ne-glect, or homicide, these indi-viduals may be suspects. Impor-tant information to gather during

this phase of the investigation in-cludes if the baby had an illnesswithin 48 hours of the time ofdeath, received any medications(prescribed or over the counter),or exhibited any recent changesin behavior or sleeping habits.Officers also should determine ifthe infant had exposure to to-bacco smoke or illicit drugs atany time.

As the investigation into thechilds medical history contin-ues, the investigator must deter-mine if the infant experiencedprevious traumatic injuries, had

illnesses not documented inmedical records, or contractedillnesses or medical complica-tions during the first week of life.If the baby required resuscitationat any time since birth, it shouldbe documented in detail. In addi-tion, officers ought to determine

if the child ever required oxygen,an apnea monitor, pacemaker, orantibiotic or anticonvulsantmedications.

To complete the medical his-tory, the investigator must exam-ine the date and circumstances ofthe infants last doctors visit;determine if the child ever re-ceived emergency room atten-tion and, if so, under what cir-cumstances; and ascertain if thebaby ever required a hospitalstay or surgery. The officer alsoshould document, in detail, theinfants immunizations and


15/35


when they were administered.Finally, the investigator ought todevelop information about the

childs feeding history (e.g., Didthe infant have any food intoler-ances?) and establish the babysexposure to illness through con-tact with adults or animals.

The Familys Case History

A review of the infants fam-ily case history may prove themost time-consuming part ofa SUID investigation. The inves-tigator begins by interviewing

immediate family members todetermine if they have experi-enced any suspicious childhoodaccidents, a history of infantor childhood death, SIDS, con-genital anomalies, infections,pneumonia, premature birth,

life-threatening trauma, HIV,hepatitis, or sickle-cell anemia.If so, the officer ought to conduct

a logical and thorough investiga-tion to gather as much informa-tion as possible about each par-ticular instance. If necessary, theinvestigator should widen thisphase of investigation to includeextended family members. Afterthe interviews of family mem-bers, the officer must contact anappropriate agency, such as so-cial services or child protectionservices, and inquire about any

family contacts and the nature ofthese contacts.

The investigator also needsto examine and document themothers prenatal history andmedical care. Information oughtto include any health problems

(e.g., anemia, diabetes, highblood pressure, infections,physical trauma, or sexually

transmitted diseases) or use ofalcohol, controlled substances,or tobacco during pregnancy. Inaddition, the officer should de-termine if the mother had anyprevious pregnancies, previouslive births, previous abortions ormiscarriages, or a history of fer-tility treatment.

Finally, the investigatorought to document the infantsgestational age (considering 40

weeks as full term) and weightat birth, method of delivery(vaginal birth or cesarean sec-tion), and if the baby was part ofa dual or multiple birth. To en-sure completeness, the officershould determine the age and

Online Resources

SIDS Alliancehttp://www.sidsalliance.org

Interagency Panel on Sudden Infant Death SyndromeGuidelines for Death Scene Investigation of Sudden, Unexplained Infant Deathshttp://www.cdc.gov/mmwr/preview/mmwrhtml/00042657.htm

Office of Juvenile Justice and Delinquency PreventionRecognizing When a Childs Injury or Illness Is Caused by Abusehttp://www.ncjrs.org/html/ojjdp/portable_guides/abuse_02/key.html#sids

Canadian Association of Chiefs of Police

Code of Police Practice - A Guide for First-Line Officershttp://www.rcmp-learning.org/copp/encopp/d_infant.htm


16/35

health of the other children in theinfants family and describe thefamilys demographics (e.g., em-

ployment, education, income,ages of parents, and citizenship).After examining and docu-

menting the family history, theSUID investigator must contactthe health professional involvedwith the case and provide the in-formation gathered during the in-vestigation. A discussion ofthese findings then determinesthe need for additional work bythe officer. Regardless, the in-

vestigator must remain availableto provide input as necessaryduring the autopsy/investigationto help determine cause andmanner of death.

CONCLUSION

Law enforcement officerscan play a crucial role in SUIDinvestigations. The informationgathered during an extensiveanalysis of the death scene, ex-amination of the infants medicalhistory, and review of the familycase history can greatly supple-ment the autopsy results and en-able the medical professional toproperly interpret postmortemfindings.

Sudden, unexplained infantdeaths can prove challenging toboth the law enforcement andmedical communities. The team

effort between the investigatorand the health professional inensuring a thorough, complete

investigation is essential in es-tablishing the true cause andmanner of an infants death.

Endnotes1 For further information, see Linda

Esposito, Larry Minda, and Claire Forman,

Sudden Infant Death Syndrome: Police

Can Make a Difference, FBI Law En-

forcement Bulletin, September 1998, 1-5.2 A thorough case investigation

includes a complete autopsy, an examina-

tion of the death scene, and a review of the

infants clinical history. See Jodi Shaefer,

Kathleen Fernbach, and Mary McClain,

SIDS Is Not Homicide But...; retrieved

on September 17, 2003, from http://

www.asip1.org/sid_not_homicide.html.

Without such an analysis, an infant death

cannot be attributed to SIDS; it must

remain in the undetermined or unex-

plained category.3 Interagency Panel on Sudden Infant

Death Syndrome, Guidelines for Death

Scene Investigation of Sudden, Unex-

plained Infant Deaths; retrieved on

September 17, 2003, from http://

www.cdc.gov/mmwr/preview/mmwrhtml/

00042657.htm.4 Arizona SIDS Advisory Council,

Facts About Sudden Infant DeathSyndrome (SIDS) for Police Officers and

Pre-Hospital Personnel, Infant Death

Support Series (April 29, 1994).5 Department of Health and Human

Services,Mi Cinca Kin Towani Ewaktonji

Kte Sni, Results of the Aberdeen Area

Infant Mortality Study (June 6, 1998).6 Supra note 3.7 Laura Sessions Stepp, Infants Now

Murdered As Often As Teens, The

Washington Post, December 10, 2002, sec.

A, p. 3.8 Evidence of ruptured blood vessels.9

A model protocol is available at http://www.fbi.gov/hq/cid/indian/about.htm.

March 2004 / 15

Wanted:Photographs

heBulletin staff isalways on the lookoutT

for dynamic, law enforce-ment-related photos forpossible publication in themagazine. We are interestedin photos that visually depictthe many aspects of the lawenforcement profession andillustrate the various taskslaw enforcement personnelperform.

We can use either black-and-white glossy or colorprints or slides, although weprefer prints (5x7 or 8x10).

We will give appropriatecredit to photographers whentheir work appears in themagazine. Contributorsshould send duplicate, notoriginal, prints as we do notaccept responsibility fordamaged or lost prints. Sendphotographs to:

Art DirectorFBI Law Enforcement

Bulletin, FBI Academy,Madison Building,Room 209, Quantico,VA 22135.


17/35

The National Institute of Corrections (NIC) presentsGender-Responsive Strategies: Research, Practice, andGuiding Principles for Women Offenders, which summa-rizes current knowledge on the characteristics of womenin correctional settings, the ways in which gender makesa difference in current criminal justice practice, andmultidisciplinary research and theory on womens livesthat have implications for managing women in the crimi-nal justice system. For availability and ordering informa-tion, contact the NICInformation Center at 800-877-1461 and referenceaccession number 018017.This publication also isavailable electronically athttp://www.nicic.org/pubs/2003/018017.pdf.

Corrections

The Office of Juvenile Justice and Delinquency Preven-tion (OJJDP) presentsJuvenile Gun Courts: Promoting

Accountability and Providing Treatment, which draws onthe experiences of policymakers and practitioners involvedwith juvenile gun courts to describe their development.Juvenile gun courts are targeted interventions that exposeyouth charged with gun offenses to the ramifications ofsuch acts. Like its better-known counterpart, the youth drugcourt, the juvenile gun court is a specialty court that fea-tures small case loads, frequent hearings, immediate sanc-

tions, family involvement, and treatment services. Thisbulletin, part of the Juvenile Accountability IncentiveBlock Grants Best Practices Series, reviews the OJJDP-supported Jefferson County, Alabama, Juvenile GunCourt. This report is available electronically at http://ojjdp.ncjrs.org/pubs/courtsum.html#187078 or by contact-ingthe National Criminal Justice Reference Service at800-851-3420.

Juvenile Justice


Bulletin Reports


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The Office of Community Oriented Policing Services(COPS) presentsMutual Respect in Policing, a teaching aidfor instructors and facilitators who provide information topolice officers on the subject. This videotape and lessonplan provide officers with a greater awareness of respectfulpolice behavior, help them strengthen their ability to worktoward better community relationships, and enhance theirawareness of culturally sensitive issues. The video containsfive scenarios of police-citizen interaction that can be pre-sented separately during successive roll calls or together in

one classroom presentation. The lesson

plan guides the instructor through thetraining video, highlights teachingpoints, and poses specific questionsabout the scenarios from the video.Availability and ordering informationare available through the U.S. Depart-ment of Justice Response Center at800-421-6770.

Training

The Bureau of Justice Statistics (BJS)presentsHomicide Trends in the United States,a section of its Web site that contains over 50charts that describe homicide patterns andtrends in the United States since 1976. Homi-cide is of interest not only because of its sever-ity but also because it is a fairly reliable barom-eter of all violent crime. This site can be

accessed at http://www.ojp.usdoj.gov/bjs/homicide/homtrnd.htm.

Web-Based Resources

March 2004 / 17

Bulletin Reportsis an edited collection of criminal justice studies, reports, and project findings. Send yourmaterial for consideration to: FBI Law Enforcement Bulletin, Room 209, Madison Building, FBI Academy,Quantico, VA 22135. (NOTE: The material in this section is intended to be strictly an information source andshould not be considered an endorsement by the FBI for any product or service.)


19/35


discussion concerningthe definition of com-munity policing can in-

clude vastly different connota-tions, depending upon the viewsheld by those involved. Street-level officers might conjure up ascenario that requires the transferof officers from traditional en-forcement duties to an assign-

ment that requires little policeaction but, instead, concen-trates on helping citizens con-front order maintenance is-sues. Community groups may

envision a police force that re-sponds exclusively to the de-mands voiced by them. Re-searchers usually define themodel by their particular orienta-tion. Politicians typically sup-port the concept, but often re-main unsure of what the theorymeans. Law enforcement admin-istrators tend to view the idea as

another federally supported ini-tiative that they must implementto receive grant funds. Finally,officers and citizens working in asuccessful project often reach a

consensus interpretation entirelydissimilar to any of these. Withsuch a wide range of viewpoints,formulating a definition of com-munity policing becomes adaunting task. However, one ex-planation highlights nine wordsthat can provide the key to betterunderstanding the concept.

Community policing is aphilosophy of full-service,personalized policing wherethe same officerpatrols andworks in the same area on a

permanentbasis, from a

A

Community PolicingExploring the Philosophy

By DAVID M. ALLENDER

Mark C. Ide


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March 2004 / 19

Public support forcommunity policingcan vary dependingon how an agency

plans and implementsthe effort.

Captain Allender serves with the Indianapolis,Indiana, Police Department.

decentralizedplace, work-ing in aproactive partner-ship with citizens to identify

and solveproblems.1

Based on this definition, thefirst indication that this form ofpolicing differs from other ap-proaches is its label as a philoso-phy. Three other critical aspectsinclude personalized, partner-ship, and problem-solving ingre-dients. Other identified factors,while important, are not as es-sential to understanding the con-cept of community policing.

CHANGINGTHE APPROACH

Over the years, American so-ciety has embraced a number ofpolicing methodologies. Manyscholars have defined the type ofwork done by officers in the1950s through the early 1970s astraditional policing. This ter-minology, in fact, can prove mis-

leading. Several factors, includ-ing the massive shift of manypolice forces into vehiclesequipped with radios, reform ini-tiatives designed to remove poli-tics from the police agencies, andearly steps toward professional-ism, already had altered themethods and tactics employed bylaw enforcement. Moreover, noteveryone in the profession ac-cepted the traditional policing

approach.To this end, several law

enforcement agencies attemptedto implement team policingin the 1980s. Poorly defined

and improperly marketed to lawenforcement and the public, thismodel had little chance of suc-

cess. Rising crime rates, espe-cially in the categories of violentcrime, dictated the need to de-velop a more successful modelfor police to follow. Communitypolicing, which attempts to forma partnership between the policeand residents in the neighbor-hoods the officers serve, devel-oped primarily because manypeople desired an improvedAmerican police force.

Early advocates of commu-nity policing identified ordermaintenance issues as importantfactors in the overall control ofcrime.2 Reports identifying theamount of crime in the countryindicated that most Americanswere much more likely to en-counter problems associated

with uncivil behavior than tobecome a victim of crime. Fearon the part of residents, however,

often caused community groupsto equate disorderly persons withcriminal activity. Academic in-formation supported the feelingthat resident fear represented animportant factor in determiningpolice effectiveness. Thus, re-ducing civil disorder became amain ingredient of the emergingcommunity policing philosophy.

Law enforcement profes-sionals, equipped with lessons

learned during the problem-laden traditional policing periodand the failed team policing ini-tiative, realized the need to workwith the various communitiesthey served to identify issuesviewed by each neighborhood assignificant. Traditional policingis centered on serious crime,


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as opposed to maintenance ofcommunity social order or gen-eral service delivery.3 Those

designing community policingprojects were determined togo in a different direction, butthey faced many challenges. Thefirst obstacle to overcome wasformulating a definition for theconcept.

DEFINING THE CONCEPT

Confusion about what con-stituted community policingarose from the beginning. Every-

one from citizens to politicians,academics, and even law en-forcement managers espousedconflicting ideas of what com-prised community policing.Community advocates latchedonto the name and decided that itsignaled a new value system inwhich police would becomemore involved with the socialproblems within their neighbor-hoods. Grant programs encour-aged community policing mea-sures that satisfied written grantrequirements and attempted tomeet the needs of the target areareceiving funds. Grant writers,however, often failed to definewhat those measures entailed.Law enforcement managers be-gan holding meetings for theirrank and file sworn personnelinforming them that with the

advent of community policing,officers would be empoweredto take care of problems ontheir beats. These managers,however, sometimes failed to

explain adequately all of theresponsibilities that would ac-company this policy. Uncer-

tainty about what the programentailed hindered its implemen-tation in the law enforcementcommunity. Some veteran offi-cers began to feel that commu-nity policing was just anotherfederal program that would dis-appear as soon as the grantmoney dried up.

engage in problem solvingdesigned to deal with both theimmediate situation and with the

underlying causes for the prob-lems. The general public and lawenforcement must partner toidentify problems and formulatesolutions. The local law enforce-ment agency and its citizensmust arrive at a consensus defi-nition for community policingbefore they attempt its imple-mentation. The definition needsto be flexible and subject tochange as problems in the neigh-

borhood evolve.

IMPLEMENTINGTHE STRATEGY

Besides law enforcement of-ficers, other components of thecriminal justice system can beimpacted by the implementationof a community policing strat-egy. Prosecutors or district attor-neys need to be part of the plan-ning process before officersbring them arrests for ordermaintenance concerns that other-wise might have been over-looked. Judges need to under-stand that cases brought beforethem from these areas are part ofa systematic approach to allevi-ate problems in a targeted area.Aggressive enforcement thatresults in increased arrests mightimpact the jail because of an

increased inmate population.Probation and parole officersmay benefit from working withcommunity policing officers,who could offer them a better

How, then, could the propo-nents of community policingidentify the expected outcomesof the program? The commontheme running through all ofthe definitions of communitypolicing remains the desire toimprove the quality of life forlocal residents. To accomplishthe goals and objectives ofthe program, most communitypolicing theories state that an or-der maintenance component

must exist that targets problemsspecific to each community orenvironment.

However, coupled with ordermaintenance, police also must

Confusion aboutwhat constituted

community policingarose from the

beginning.


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understanding of problematicpersons living in the area. Publicdefenders may encounter an in-

creased caseload and possiblyfind prosecutors more resistantto plea bargaining. Officialscharged with enforcing city ordi-nances involving zoning andhousing will be asked to assistpolice with a variety of projects.To achieve maximum success,each component of the criminal justice system must mesh withthe others and keep in mind cer-tain influential factors, including

constitutional issues, cost con-siderations, and the level of pub-lic support.

Constitutional Issues

Constitutional issues mayarise from community policingefforts. Changes in the way po-lice enforce the law or institutenew programs may give rise tochallenges or complaints. Com-munity police are encouraged totry new concepts. Whenever po-lice enter an uncharted area, le-gal challenges generally result.Some issues will be decided inthe favor of law enforcement,whereas others will be decidedin favor of the defendants. Forexample, if the target area islocated in a part of the citypopulated mostly by minori-ties, charges of racial profiling

may result from aggressive en-forcement. The law enforcementadministrator charged with plan-ning a community policing pro-gram must make every effort

to plan for and avoid legalcomplications, such as in theprevious example wherein it may

be necessary to gather statisticalinformation on both victims andsuspects. Planning will help le-gal advisors defend controversialefforts.

start-up phase of the effort, theuse of overtime and other grantfunds can be an important way to

get personnel to support the pro-gram. To continue the effort aftergrant funds run out, a departmentcan tap into money that it ordi-narily would budget for publicrelations activities, normal over-time expenditures, and officersalready assigned to the neighbor-hood. With increased interactionwith the community, officers, atthe very least, will gain intelli-gence information that can en-

able them to better deal withneighborhood problems.

Public Support

Public support for commu-nity policing can vary dependingon how an agency plans andimplements the effort. If officerswork with the community to es-tablish a mutual goal, the pro-gram probably will be accepted.

In locations where officers makelittle or no effort to achieve aconsensus of opinion, problemswill arise.4 Political support willcome only if the residents sup-port the concept. Civil libertiesgroups will monitor the effortclosely to see if constitutionalproblems or other irregularitiesoccur.

CONCLUSION

The philosophy of commu-nity policing states that success-ful programs require the forma-tion of a partnership betweenthe police and area residents.

Cost Considerations

Costs associated with com-munity policing need not behigh. After all, law enforce-ments single largest expendi-ture is officer salaries. The offi-cers assigned to a given area canwork either in the traditionalmode or in a more directed man-ner under established commu-nity policing guidelines. Regard-less of the approach, salaries willremain the same.

As a philosophy, communitypolicing can make use of exist-ing resources. Integration of law

enforcement assets with othercomponents of the communityactually can make for a moreefficient and cost-effective po-lice agency. It is true that in the

March 2004 / 21

Mark C. Ide


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Problem solving represents animportant component of the ef-fort. Flexibility remains a neces-

sity in dealing with evolvingproblems in the target area.Regular interaction between

residents and the police buildstrust and an increased flow ofinformation. Intelligence gainedfrom the public is an invaluabletool for police. Informationgained as a result of communitypolicing can lead police to crimi-nal activity that otherwise wouldhave gone undetected. Although

criminal activity may mutate andcontinue, a successful commu-nity policing program will help

formulate new solutions for newproblems.

Endnotes

1 Robert C. Trojanowicz, U.S.

Department of Justice, Federal Bureau of

Investigation, Behavioral Science Unit,

and Michigan State University, National

Center for Community Policing, Commu-

nity Policing: A Survey of Police Depart-

ments in the United States, (1994), 6.2 James Q. Wilson and George L.

Kelling, Broken Windows,Atlantic

Monthly 249 (March 1982): 29-38.3 Jack R. Greene, Community Policing

in America: Changing the Nature, Struc-

ture, and Function of the Police, inPolicies, Processes, and Decisions of the

Criminal Justice System vol. 3 (Washing-

ton, DC: U.S. Department of Justice,

National Institute of Justice, 2000),

299-370.4 The author based this statement on his

observations during a 6-month detail

working in the Executive Office for Weedand Seed as a part of the FBIs Executive

Fellowship Program. He visited several

cities that had instituted community

policing as part of Weed and Seed, which

strategically links concentrated and

enhanced law enforcement efforts

(weeding) with health and human services

(seeding) to prevent and deter further

crime. One city had three sites that varied

greatly in police commitment and resident

participation. The most successful had

high levels of both. The least successful

site had low police involvement, little

resident support, and even some evidenceof resident opposition to the program.

Subscribe Now



24/35

anagement remains a much-studiedsubject. All organizations, from large

M-A-N-A-G-E-M-E-N-T DefinedSubordinates ExpectationsBy Sergeant Richard Forsyth

Sergeant Forsyth serveswith the Buena Park,

California, Police

Department.

Perspective

corporations to local police departments, desireto supervise their employees as effectively aspossible. Over the years, leaders have examinedcountless books and articles presenting bothdiffering and evolving opinions of what consti-tutes effective supervision.

I believe that a particularly insightful way to

look into the subject of management is to view itfrom the subordinates perspective. For example,what does a sergeant expect from a lieutenant?A lieutenant from a captain? A captain from achief? What considerations are important in theM-A-N-A-G-E-M-E-N-T of employees?1

M Management

Managementmeans bringing about, accom-plishing, and conducting. Effective managers getthings done the right way. Employees want towork for such individuals. These supervisors do

not rely on additional people to do their jobs.They do not allow others (e.g., elected officials,the media) to provide leadership for them, andthey recognize the difference between dumpingtheir work on subordinates and appropriatelydelegating it (to teach and improve them). Theyserve as examples for others to follow.

Effective managers strive to continually learn.They stay abreast of the latest trends in supervi-sion and not just in law enforcement because,after all, the world continually changes andmanagement styles must adjust accordingly.Successful supervisors also use the commentsand criticism of others to their own benefit,thereby molding and shaping themselves intoeffective leaders and managers.

This knowledge helps them not only toperform their jobs competently but also to helptheir employees achieve success in their duties.

This proves essential in todays society where anattitude of doing more error-free serves as thecommon expectation of organizations, as well asthe public. In this regard, effective managers willpass on their knowledge, including their mistakesand the errors of others that they have witnessed,to subordinates. They will do their best to notallow their employees to take a negative courseof action; they will help them to make the rightdecisions.

A Accountability

Accountability is important at all levels ofan organization. Managers can demonstrate theirwillingness to be held accountable by getting outfrom behind their desks and becoming personallyinvolved with their subordinates, bonding withthem by speaking and listening to them, observ-ing them, and sharing experiences. They must

M

March 2004 / 23


25/35


invest meaningful time with their employees totruly understand them and their needs.

Supervisors can demonstrate their willingness

to get involved in a variety of situations. Forexample, my chief still goes out on patrol everynow and then. He puts on his uniform, takes thestars off his collar, and partners with an officeron patrol. His actions show the entire departmentthat he does not consider himself above doing thesame work that he asks his officers to performand demonstrate his account-ability to his employees.

N Nobility

Nobility means being

morally sound, superior incharacter and nature. Subordi-nates want to follow managerswho model such qualities.Unfortunately, in todayssociety, many people seem tothink that two standards exist inthe way people actone forprofessional conduct and theother for private. For example,famous athletes or well-known politicians maywant to receive judgment only on their spectacu-lar accomplishments on the athletic field or in thepolitical arena and to have their private affairsignored. However, people of integrity adhere tomoral principles in all activities, on or off duty.The fact is, subordinates lose respect for theirmanagers if they see them participating in inap-propriate conduct, regardless of when or wherethe activity takes place. Employees want to workfor managers of noble character; such supervisorsearn the esteem of their staffs.

A ActionAction defines leadership. Leaders make

decisions about where they want to go, what theywant to do, and how they will get there. And, theydo what they said they would do. In Richard

Bachs classic bookJonathan Livingston Seagull,most of the seagulls did not bother to learnanything more than just the simplest facts of

flight. Jonathan struggled with the decision ofwhether to be content to fly like the other gulls orto be different and live up to his flying potential.He decided to take action and excelled above theother gulls in the art of flying.

While it is easy to sit back and do just enoughto get by, to not make waves, and to make every-

one happy, it takes courage toact. Employees find it frustrat-ing to look at a manager and seesomeone who will not do so.Nonaction implies that the

supervisor must not care.Managers should strive to bepeople who act when needed,leaders who possess enoughcourage to change directionwhen warranted. Subordinateswant to know that if theirbosses see something that is notright, they will have the courageto speak up, to bring the issue to

light, and to take action. As a famous athlete said,

You miss 100 percent of the shots you nevertake.2 Strong leaders take the shot. Employeeswant to work for such individuals.

G Guiding Principle

People generally follow a guiding principlethat tells them to treat others as they would like tobe treated. Truly, the greatest legacy a person canleave behind is to have had a positive influenceon the lives of others. Supervisors can do this inthree ways.

First, managers should only employ supervi-

sory tactics that they would consider appropriateif their own bosses used them. In this regard,supervisors can evaluate their own managers andincorporate positive attributes into their own styleof management while eliminating the negative.

All organizations...desire to supervisetheir employees as

effectively aspossible.


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March 2004 / 25

Second, they should lead by example. Manag-ers should ask employees to follow only regula-tions and procedures that they themselves follow.

Supervisors practices and actions should mirroragency rules and policies, as well as the types ofbehavior expected from subordinates.

Third, managers should treat employees withdignity, kindness, caring, and compassion. Thisdoes not mean that they must be soft but, rather,human. Subordinates respond positively tosupervisors that truly respect and care about thempersonally and professionally. Managers canaccomplish this in many ways. For example, theysimply can show a genuine interest in employeeslives outside of work

areas, such as their familiesand hobbies. My agencyhas a slogan that sums thispoint up well: People areour greatest asset. Super-visors should treat theirsubordinates accordingly.

E Education

Managers must facili-tate the education of theiremployees. One method isto encourage subordinatesto pursue formal collegedegrees. Such credentials can serve to furtherprofessionalize law enforcement in general. Also,campus settings present officers the opportunityto facilitate friendships and relationships withindividuals of other professions and cultures,exposing them to different ways of thinking.This, in turn, can help them expand their outlookand better understand the diverse communitiesand people they serve.

Another way supervisors can help educatetheir employees is through formal training, suchas conferences and seminars. Such opportunitiesshould not be limited only to those relative totheir specific current assignment but should

include other areas that would augment theirrepertoire.

Putting a priority on education shows subor-

dinates that the manager cares about their per-sonal progression, as well as the ever-growingand changing needs of the department. Supervi-sors should continually encourage their employ-ees to take advantage of opportunities. As subor-dinates continue to learn, they confidently andeffectively can serve the needs of the organiza-tion, as well as the community. Also, whenemployees feel competent and valuable, theyenjoy their work. Education serves as an effectivetool organizational leaders can use to better their

personnel and the organiza-

tion; it provides a win-win situation.

M Mentoring

Mentoring constitutesanother important aspect ofmanagement. Profession-ally, supervisors can findmany areas of their jobsthat would be beneficial fortheir subordinates to learn.For example, sergeantscan gain insight into alieutenants decision-

making process, lieutenants can assist with staffwork usually done by captains, and captains canattend functions for chiefs of police. The bestlearning comes from doing. Supervisors shouldinvolve their employees where they can learnfrom areas of the job done by those above them.An effective manager tries to train, educate, andmotivate their subordinates to one day replacethem.

Many years ago, I took the promotional examfor the rank of sergeant and did not do very well.Shortly thereafter, a sergeant approached me andpresented a flier announcing a seminar for offi-cers seeking this rank. This individual even


27/35


offered to attend with me. I remember thinkingthat this sergeant easily could have thrown theannouncement away when he received it, think-

ing to himself that he already had attained thisrank and did not need the seminar for his ownbenefit. How grateful I was that he looked uponhis responsibility to mentor others. I greatlyappreciated his willingness to help me in my ownprogression and development toward promotion.

E Ethics

As individuals who must set the example fortheir subordinates, managers must realize thattheir words, attitudes, emotions, thoughts, andactions all reveal their personal

ethics. While nobody is perfect,supervisors are held to a higherstandard. Fair or unfair, thehigher individuals climb theladder of success, the morepeople expect them to upholdthe ethical standards of lawenforcement.

Peoples ethical standardsare the written and unwrittenrules that govern their personalconduct. Law enforcementofficers strive to abide by theLaw Enforcement Code ofEthics, which states, in part, I will never actofficiously or permit personal feelings, preju-dices, political beliefs, aspirations, animosities orfriendships to influence my decisions. In otherwords, this simply means doing the right thingand making the right choices for the right rea-sons. Supervisors have an obligation to abstainfrom unethical behavior and to call attention toinappropriate actions when others commit them.

Employees expect managers to right the wrong,to be just and fair in their dealings with theirstaffs, to demonstrate respect, to prove loyal tothe organizations mission and vision, and to

maintain subordinates trust by demonstratingself-discipline and consistency. Subordinatesneed assurance that supervisors base their actions

and decisions on ethical principles.N Notice

Managers should notice the quality workdone by their personnel. People depend on theevaluations of others, particularly in the work-place. Supervisors can address this need by usingpraise often. Recognition acts as a strong motiva-tor at work; employee job satisfaction surveysattest to this. Unfortunately, organizations oftendo not recognize their staffs for the superior work

they do. Certainly, nobody

wants to work for an agencywhere the boss takes credit foreverything that goes right andplaces blame on others whenthings go wrong. Managersshould give credit where creditis duenot doing so surely willdevelop disdain and resentmentin the organization.

In my department, a watchcommander became known forplacing stickers of big red starson officers reports that hedeemed outstanding. While

everyone initially considered it silly (remindingthem of kindergarten), officers actually beganworking harder to write better reports, with theobvious goal of receiving a red star on their work.Recognizing someone for the valuable work theydo is an easy way to develop loyalty and encour-age increased productivity.

T Trustworthiness

The Boy Scouts of America follow 12 idealsthat encompass their Scout Law, with the firstbeing, A scout is trustworthy. Trustworthinessis of the utmost importance in management as

...a particularlyinsightful way to

look into the subjectof management is to

view it from thesubordinatesperspective.


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well. A manager can develop trust at work bysimply not doing anything to undermine it.

Supervisors must remain honest with their

employees. Managers should treat their word astheir bond; in short, they should do as they say.But also, managers must remain committed to thetruth in their overall communications. They mustavoid giving different versions of the truth todifferent employees or telling them only whatthey want to hear. Trustworthy managers alwaysspeak honestly, even when it proves unpopular.

Open communication also proves essential,creating a sense of partnership between managersand employees. Subordinates must know thatthey can discuss issues with an open and under-

standing supervisor. Also important, managersmust share information with their staffs, such asimportant decisions facing the organization.Informed employees will trust and remain loyalto the leaders who communicate openly withthem.

Conclusion

The effective M-A-N-A-G-E-M-E-N-T ofemployees serves as a primary goal for anydepartment. The subject has received much study

over the years, resulting in the production ofcountless books and other materials presentingdifferent views of what constitutes effectivesupervision of subordinates.

Agency leaders may find this topic confusingat times. Perhaps, examining it from thesubordinates perspective can help supervisorsgain insight into how they can effectively managean organizations greatest assetits people.

Endnotes

1 The author based this article on his professional experience

and observations during his years in law enforcement.2 Wayne Gretzky; retrieved on November 12, 2003, from http:/

/www.dailycelebrations.com/092100.htm.

March 2004 / 27

Wanted:Notable Speeches

he FBI Law EnforcementBulletin seeks transcriptsT

of presentations made by crim-inal justice professionals forits Notable Speech depart-ment. Anyone who hasdelivered a speech recentlyand would like to share theinformation with a wideraudience may submit a trans-

cript of the presentation to theBulletin for consideration.As with article submis-

sions, theBulletin staff willedit the speech for length andclarity, but, realizing that theinformation was presentedorally, maintain as much ofthe original flavor as possible.Presenters should submit theirtranscripts typed and double-spaced on 8 - by 11-inchwhite paper with all pages

numbered. When possible, anelectronic version of the tran-script saved on computer diskshould accompany the docu-ment. Send the material to:

Editor, FBI LawEnforcement BulletinFBI AcademyMadison Building,Room 209Quantico, VA 22135

telephone: 703-632-1952,e-mail: [email protected]


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n San Diego County, Cali-fornia, forensic experts ex-amined a laptop computer

a dock at muster. These casesand many more, handled by com-puter forensic examiners everyday, have convicted scores ofcriminals who committed orstored information pertaining totheir crimes with computers andother digital devices.2 Suchcriminal acts now transcend tra-ditional business crimes.

Criminals commit few

crimes today without involving acomputing device of some type.This puts a strain on computerforensic examiners who have thetraining, skills, and abilities to

properly handle digital evidence.Law enforcement agencies takedifferent avenues of addressingthis increasing load of computerevidence that requires examina-tion to close cases. Many train afew of their law enforcement of-ficers. Some train professionalsupport technicians. Increas-ingly, agencies send their workto local or regional computer fo-

rensic laboratories. Regardless,an understanding of the properevidentiary foundations for ad-mission of computer-related evi-dence proves necessary for the

Ifor evidence of notes used in therobbery of several local banksa university professor laterwould plead guilty to bank rob-bery charges and receive 9 yearsin prison, even though the laptopcontained no saved notes.1 In an-other case, a Navy enlisted man

faced a dishonorable dischargeand time in the brig for posses-sion of child pornography afterthe discovery of floppy disks in abackpack he inadvertently left on

Computer ForensicsCharacteristics andPreservation of Digital EvidenceBy LOREN D. MERCER, M.F.S.

Digital Juice


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March 2004 / 29

courts to have confidence in thematerial ultimately presented.

Uniqueness of ComputerDigital Evidence

In 1948, well-known math-ematician Dr. Claude Shannonoutlined mathematical formulasthat reduced communicationprocesses to binary code and cal-culated ways to send themthrough communications lines.3

Since then, computers and otherdigital computing devices haveused encoding methods based on

the binary numbering system.Computers allow criminals

to remain relatively anonymousand to invade the privacy andconfidentiality of individualsand companies in ways not pos-sible prior to the advent of thecomputer age. Evidence ofthese crimes is neither physicalnor human, but, if it exists,is little more than electronic

impulses and programmingcodes.4 This evidence can takethe form of data digitally storedas text files, graphics files,sounds, motion pictures, data-bases, temporary files, erasedfiles, and ambient computer datadumped on the storage device bythe operating system or applica-tion program. If someone openeda digital storage device, theywould see no letters, numbers, or

pictures on it. Therefore, un-derstanding how a computerstores data is basic to under-standing how sensitive that datais to inadvertent contamination

and how important a chainof custody becomes when testi-fying to the originality of theevidence.5

Storage of Data

Digital electronics involvescircuits and systems in whichthere are only two possiblestates. The states are represented

by two different voltage levels: ahigh or a low level. The two-statenumber system (base 2) is calledbinary, and its two digits are 0and 1. A binary digit is called abit.6 Because reading strings ofzeros and ones severely limitsthe number of people capable ofreading a digital device and toaccommodate letters, punctua-tion, and special characters, an-other decimal numbering system

beganthe hexadecimal, orbase 16,7 system. The hexadeci-mal numbers express the binaryvalues stored on a device. Ata minimum, a truly readable

alphanumeric code must repre-sent 10 decimal digits and 26 let-ters, or 36 items. However, theinclusion of punctuation, sym-bols, and computer control codesrequires a seven-bit code(2x2x2x2x2x2x2) yielding 128combinations, or 27=128. Thecomplete expression of binaryinformation encompasses eight

bits, with one sign bit and sevenmagnitude bits,8 giving 256 pos-sible combinations. This eight-bit binary number represents onebyte. Of the alphanumeric codes,the American Standard Code forInformation Interchange (ASCII)serves as the most widely used.

Although more complicated,hexadecimal numbering pro-vides a way to input data into thecomputer that makes sense to the

average person. After entry,computers write and read data todigital media by a read-writehead controlled by the micropro-cessor. For example, a computer

an understanding of

the proper evidentiaryfoundations foradmission of

computer-relatedevidence proves

necessary.

Mr. Mercer serves as a computer forensic examiner with the ComputerAnalysis Response Team at the FBIs San Diego, California, office.


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may store data as minute magne-tized regions along a track of afloppy disk. Other storage de-

vices exist that store data in adifferent fashion, but all read thebinary data as a zero or a one.

Computer evidence has botha physical component (the stor-age media) and a nonphysicalcomponent (electronic impulsesand magnetic orientation). By itsnature, digital evidence provessusceptible to alteration, eitherinadvertently or purposely. It isa product of the data stored, the

application used to create andstore it, and the computer systemthat directs these activities.9

Preservation of ComputerForensic Evidence

Computer forensic scienceencompasses four key ele-ments: identification, preserva-tion, analysis, and presentation.10

Manual handling, processing,

and authenticity issues serve asthe basis of the preservation as-pect. Safeguards and method-ologies used by computer foren-sic examiners must ensure thepreservation of digital evidenceto withstand judicial scrutinyshould the matter go to trial.11

In this regard, computer foren-sic examiners seek to use copiesof images of original digitalmedia for their investigations.

This premise finds its basis inprotecting original digital evi-dence from accidental damage orunintentional alteration, leaving

it in the best possible state forauthentication purposes.12

When duplicating evidence,

the original needs forensicallysound handling from its initialseizure until its final disposition.This requires a chain of custodyto assure proper handling byqualified individuals. Also, theduplication must produce an ac-curate reproduction of the origi-nal. Failure to authenticate the

courts to question the accuracyand reliability of the data, theexamination process, and the

examiners intellectual rigor.For the admissibility of theevidence, courts require proof ofits authenticity. Two recent U.S.Supreme Court cases, Daubertvs. Merrell Dow Pharmaceuti-cals, Inc., 1993 and Khumo TireCo. vs. Carmichael, 1997, havebrought the standards of forensicscience and expert testimonyconcerning admissibility of evi-dence into focus. The major fac-

tor that underlies the authenticityof duplicate evidence is data setvalidation.

The process of validatingdigital data sets proves straight-forward. Forensic examiners usean algorithm13 to create a hexa-decimal numeric value repre-senting the data set. For ex-ample, in an MD514 one-wayhash15 sum, a 16-character hexa-

decimal value is produced by thealgorithm where there are 2128

possible values. This equates toapproximately 340 billion bil-lion billion billion probableunique numbers. Theoretically,two different data set valuescould prove identical, but, prac-tically, they cannot. By com-parison, in cases where DNA re-sults have identified a subject,probability tables exclude or in-

clude an individual using prob-abilities of one to several billionand stand accepted as unique toan individual, or a very small

duplicate image or copy may in-validate any results produced.The duplication process requiresthe examiner to protect the origi-nal from accidental alterationand to use methods and applica-tions that assure the duplicateimage will produce output thatwould match output from theoriginal. Agency standard oper-ating procedures and policy

manuals delineate methods ofhandling and duplicating. Fail-ure to adhere to agency policiesand procedures will cause the

evidence of criminalactivityrequires

preservation,examination,

and analysis ina forensically

sound manner.


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March 2004 / 31

population of individuals, bycourts. The likelihood of twoidentical values happening in an

MD5 algorithm proves infinitelysmaller. With known and testedcomputer forensic tools and hashalgorithms, there exists a meansto duplicate and authenticatedigital evidence. The duplicatesauthenticity can be equated to theoriginal.

Federal Rules of Evidence Original Evidence

The Federal Rules of Evi-

dence16 (FRE) cover duplicatedigital evidence and its authenti-cation. For admissibility in court,the evidence should possess achain of custody to show that noinadvertent or purposeful con-tamination occured. Preservingevidence to ensure its integrityproves important to the courtsconsideration of its originality.

These rules define originalelectronic documents. FRE 1001(1) defines writings and record-ings to include magnetic, me-chanical, and electronic methodsof setting down letters, words,numbers, and their equivalents.FRE 1001 (3) states, If data arestored in a computer or similardevice, any printout or other out-put readable by sight, shown toreflect accurately, is an origi-nal.17 FRE 1003 provides that

a duplicate is admissible to thesame extent as an original unless(1) a genuine question is raisedas to the authenticity of the

original or (2) in the circum-stances it would be unfair toadmit the duplicate in lieu of

the original.18

FRE 1001 (4) de-fines duplicate as a counter-part produced by the same im-pression as the originalby mechanical or electronicrerecordingor by other equiva-lent techniques which accuratelyreproduces the original.19 FRE901 (a) provides that the re-quirement of authentication oridentification as a condition pre-cedent to admissibility is satis-

fied by evidence sufficient tosupport a finding that the matterin question is what its proponentclaims.20 Example 9 of FRE 901

(b) states, Process or system.Evidence describing a process orsystem used to produce a result

and showing that the processor system produces an accurateresult.21 Title 42 U.S. Code,Section 2000aa-7, covers digitalevidence under definition(a), documentary materials,which states, materials uponwhich information is recorded,and includes, but is not limit-ed toother mechanically,magnetically, or electronicallyrecorded cards, tapes, or

discs.22 Original evidence ora derivative of the original,either electronic or printed,therefore, proves admissible if

Decimal Binary Hexadecimal

00 0000 0

01 0001 102 0010 203 0011 304 0100 405 0101 506 0110 607 0111 708 1000 809 1001 910 1010 A11 1011 B

12 1100 C13 1101 D14 1110 E15 1111 F

Computer Numbering Syst

FBI Law Enforcement Bulletin - Mar04leb

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