David A. Stoney

A guide to interpreting single locus profiles of DNA mixtures in forensic cases

Analysis of a mixed body fluid crime sample by means of a single locus DNA probe may give rise to several bands. If a suspect is found to have a profile which matches two of the bands, then the evaluation of the evidential strength requires careful analysis. This paper describes the analysis of two relatively simple case examples. It is intended that the principles of the interpretative process will provide a guide to caseworkers who may encounter similar cases. The extension of the treatment to more complex cases should be clear.

Critical review of forensic trace evidence analysis and the need for a new approach.

The historical development, contributions and limitations of the two traditional approaches to trace evidence analysis are reviewed. The first approach was as generalist practitioner, looking broadly at an assemblage of many different particle types. The second was that of specialist practitioner, with attention focused on one specific particle type. Four factors have significantly impacted the effectiveness of these approaches: (1) increasing technological capabilities, (2) increasing complexity in the character of manufactured materials, (3) changes in forensic laboratory management, and (4) changing scientific and legal expectations. The effectiveness of each approach is assessed within the context of these changes. More recently, new technologies have been applied to some trace evidence problems, intended to address one or more limitations. This has led to a third approach founded on discrete, highly technical methods addressing specific analytical problems. After evaluating the contributions and limitations of this third approach, we consider the different ways that technologies could be developed to address unmet needs in forensic trace evidence analysis. The route toward effective use of new technologies is contrasted with how forensic science laboratories are currently choosing and employing them. The conclusion is that although new technologies are contributing, we are not on a path that will result in their most effective and appropriate use. A new approach is required. Based on an analysis of the contributions of each of the three exisiting approaches, seven characteristics of an effective trace evidence analysis capability were determined: (1) particle traces should be a major problem-solving tool, (2) there should be readily available, straightforward methods to enable their use, (3) all available and potentially useful particle types should be considered, (4) decisions to use them should be made in the context of each case, guided by what they can contribute to the case and how efficiently they can do so, (5) analyses should be conducted using appropriate technologies, (6) findings should be timely and directly integrated with case-specific problems, and (7) new technologies should be used to improve the overall effectiveness of the capability. Clearly new technologies have the potential to revolutionize forensic trace evidence, but just as clearly some of the traditional capabilities have been rendered ineffective, or lost entirely, by the way we have come to approach the problem. Having critically defined the current limitations of and the desired outcomes, the next focus should be consideration of alternative approaches that might achieve such a result.

A New Method for the Removal and Analysis of Small Particles Adhering to Carpet Fiber Surfaces

Fibers are a commonly encountered evidence type and fiber comparisons are routinely conducted. When the characteristics of questioned and known fibers correspond, the probative value is limited because the characteristics compared are determined by their manufacture. It would be valuable to test the hypothesis that questioned fibers originated from a specific carpet. One means of testing this is to analyze fine particles on the fibers. A procedure was developed for removing adhering particles from fibers and preparing them for scanning electron microscopy/ energy dispersive X‐ray spectrometry (SEM/EDS) analysis. The efficacy of several fluids (acetone, ethanol, hexanes, aqueous ethanol, aqueous sodium hexametaphosphate) and agitation methods (sonication and vortexing) for removing particles from fibers was evaluated. The most effective method evaluated was sonication in ethanol for 10 min. The recovered particles were filtered onto a polycarbonate filter and analyzed by automated SEM/EDS analysis to generate data on the particle assemblage. This method makes possible future research to test the within‐item and between‐item variability of particle assemblages on fibers.

Loss and replacement of small particles on the contact surfaces of footwear during successive exposures

On the contact surfaces of footwear loosely, moderately and strongly held particle fractions were separated and analyzed in an effort to detect different particle signals. Three environmental exposure sites were chosen to have different, characteristic particle types (soil minerals). Shoes of two types (work boots and tennis shoes) were tested, accumulating particles by walking 250m in each environment. Some shoes were exposed to only one environment; others were exposed to all three, in one of six different sequences. Sampling methods were developed to separate particles from the contact surface of the shoe based on how tightly they were held to the sole. Loosely held particles were removed by walking on paper, moderately held particles were removed by electrostatic lifting, and the most tightly held particles were removed by moist swabbing. The resulting numbers and types of particles were determined using forensic microscopy. Particle profiles from the different fractions were compared to test the ability to objectively distinguish the order of exposure to the three environments. Without exception, the samples resulting from differential sampling are dominated by the third site in the sequential footwear exposures. No noticeable differences are seen among the differential samplings of the loosely, moderately and strongly held particles: the same overwhelming presence of the third site is seen. It is clear from these results (1) that the third (final) exposure results in the nearly complete removal of any particles from prior exposures, and (2) that under the experimental conditions loosely, moderately and strongly held particles are affected similarly, without any detectable enrichment of the earlier exposures among the more tightly held particles. These findings have significant implications for casework, demonstrating that particles on the contact surfaces of footwear are rapidly lost and replaced.

Exploitation of very small particles to enhance the probative value of carpet fibers

Environmentally acquired very small particles (VSP), present on the surfaces of carpet fibers, have shown potential for the association of fibers with their carpet source. To unlock this potential, research is required addressing a number of areas, including the application of methods under realistic casework conditions and the utilization of computational methods for the refinement and testing of the approach. In this work field collections of carpet fibers were conducted by crime scene practitioners under realistic casework conditions. VSP were isolated using previously developed methods, and analyses were conducted using SEM/EDS analytical protocols in an operational crime laboratory setting. Computational methods were designed, allowing sets of hundreds to thousands of VSP to be characterized. Classifiers were designed to associate and discriminate among specimens. These classifiers were applied to the VSP data for specimens collected by crime scene practitioners, as well as to a previously collected research dataset. Quantitative measures of correspondence and probative value were designed based on the classification measures and successfully applied to both sets of VSP data. Particle sets larger than 500 showed strong promise for quantitative associations with their sources. The use of larger numbers of target particle types (TPTs) showed strong promise to improve the performance of classification and association. Overall, the usefulness of VSP to provide objective, quantitative associations has been established. Because VSP are acquired post-manufacture, these methods can address fundamental limitations to probative value that arise when class characteristics, determined by manufacture, are shared among mass produced commodities. These findings are of broad significance for the future of trace evidence analysis. The results of this research are likely extendable, with minor modifications, to other trace evidence types (such as glass, tape and human hair), and are expected to contribute significantly for those types of trace evidence that have long been considered of low evidential value (such as undyed cotton and animal hairs). Furthermore, entirely new approaches to trace evidence are enabled by exploiting VSP profiles, such as comparing different types of trace evidence with one another and comparing VSP defined by crime scene or suspect environments to those on virtually any item of physical evidence.

A Selection of Some of Dr. McCrone's High and Low Profile Cases in the Forensic Analysis of Art

Throughout Dr. McCrones active professional career of over 60 years, he worked on many cases involving the forensic analysis of art. This is an overview of a small portion of these cases. Included (exposed as fakes) are the Shroud of Turin, the Vinland Map, Mayan pottery illustrations and Larionov pastels. Also included, with strong support for authentication, are three paintings attributed to Manet, Giorgione, and Leonardo da Vinci.

Utilization of environmentally acquired very small particles as a means of association

Very small particles (VSP) are ubiquitous in our environment and are virtually ignored by forensic science. These particles range in size from an order of magnitude smaller than conventional trace evidence, down to the molecular level. Combinations of VSP provide an extraordinary, largely untapped resource for forensic associations and source attribution. This paper describes an initial effort to exploit VSP for one specific application. An approach was developed and tested for the SEM/EDS analysis of VSP recovered from the surfaces of carpet fibers - one of the most common types of trace evidence examined in crime laboratories. Our goal was to exploit existing computer-assisted SEM/EDS methods to test whether VSP profiles could be useful to associate shed fibers with a source carpet. Particles were harvested by washing and filtration onto polycarbonate filters. An SEM/EDS analysis protocol currently employed for environmental particle analyses was used, resulting in individual particle characterization based on fitting to reference spectra of 28 elements. Target Particle Types were defined based on the most abundant elemental profiles and used to bin the results for each specimen, resulting in a Target Particle Type profile. Within-carpet variability was assessed using Target Particle Type profiles from three different areas on each of nine carpets. Area profiles, defined from sets of ten fibers, were compared to profiles from individual fibers. Between-item variation was explored using a survey of an additional 12 carpets. Hundreds to thousands of VSP were found to routinely occur on individual carpet fibers. Their quantity and character was sufficient to associate fibers with their area of origin. Within-carpet variations showed roughly even distributions for most TPTs and between-carpet variations showed wide ranges in types and quantities of VSP. Environmentally acquired VSP showed clear potential to provide quantitative means to link carpet fibers with their area of origin. This finding is noteworthy, since such particles are acquired post-manufacture and are independent of characteristics determined by manufacture. More generally, VSP are ubiquitous, present on or in virtually any item, and there is the potential for linkages among items of any type based on adhering VSP. By way of example, the present work provides impetus for a fundamental change in the way that forensic trace evidence is conceptualized. Further fundamental research is indicated to better understand the underlying variability, usefulness and limitations of this approach.

Reporting of highly individual genetic typing results: a practical approach.

This paper considers the interpretation of serological typing data as a problem in forensic science, as opposed to a problem in population genetics or statistics. Controversies arising in this area are partly due to an overly narrow perspective that ignores basic forensic science principles. After an initial discussion of the special problem that deoxyribonucleic acid (DNA) blood typing poses to forensic science, the three difficulties common to all the proposed interpretive methods are discussed. These are: predicting genotype incidence from allele frequencies, predicting frequencies for the joint occurrence of genotypes in a number of different genetic marker systems, and determining the appropriate population to use to measure the frequencies. The inability to test assumptions that are inherent in our routine methods is noted. This is a procedural weakness that unnecessarily limits the admissibility of DNA typing evidence in court. A practical solution to this problem is offered that begins with minimal assumptions. Initially a statement is made based on (1) how many reference samples the laboratory has typed and (2) how many of these samples show genotypes corresponding to the case samples. The second stage of the presentation begins with a statement that additional assumptions are necessary to fully interpret the evidence and that although these assumptions are scientifically very reasonable, they cannot be absolutely proven. The presentation can then proceed, if desired, to consideration of the specific assumptions and frequency estimates of any of the methods that have been proposed to date. To follow this approach population data must be kept in a form that allows the simple first-stage statement to be made. This means that each individuals record would include typing results in each genetic marker system. Although this method of data storage differs from that used in most forensic science laboratories, it is exceptionally versatile, and allows great flexibility in data analysis.

Illustration and analysis of a coordinated approach to an effective forensic trace evidence capability.

An effective trace evidence capability is defined as one that exploits all useful particle types, chooses appropriate technologies to do so, and directly integrates the findings with case-specific problems. Limitations of current approaches inhibit the attainment of an effective capability and it has been strongly argued that a new approach to trace evidence analysis is essential. A hypothetical case example is presented to illustrate and analyze how forensic particle analysis can be used as a powerful practical tool in forensic investigations. The specifics in this example, including the casework investigation, laboratory analyses, and close professional interactions, provide focal points for subsequent analysis of how this outcome can be achieved. This leads to the specification of five key elements that are deemed necessary and sufficient for effective forensic particle analysis: (1) a dynamic forensic analytical approach, (2) concise and efficient protocols addressing particle combinations, (3) multidisciplinary capabilities of analysis and interpretation, (4) readily accessible external specialist resources, and (5) information integration and communication. A coordinating role, absent in current approaches to trace evidence analysis, is essential to achieving these elements. However, the level of expertise required for the coordinating role is readily attainable. Some additional laboratory protocols are also essential. However, none of these has greater staffing requirements than those routinely met by existing forensic trace evidence practitioners. The major challenges that remain are organizational acceptance, planning and implementation.

Corrections and Criminalistics: Pragmatism, Principles, and Policy

A survey and analysis was conducted regarding the use of forensic science services in a correctional setting. Within the broader context of issues affecting involvement of police and prosecutions in custodial criminality, we have considered (a) whether existing forensic science services meet the needs of those who live and work in prisons and (b) the likely benefits of making specially tailored and easily accessible forensic services available. Investigative policies were reviewed for three correctional institutions including federal, state, and county jurisdictions. Also examined were types of cases, investigative effort, and relationships with outside investigative bodies. This study found a surprising underutilization of forensic science matters. The potential benefits of such services are considered from the view of the forensic scientist, the prison investigator, and society. In the light of these benefits, policy options are discussed.