INVESTIGATIVE PROCESSES CJI 550 LECTURE Overview & Fundamentals Course Introduction Welcome to Investigative Processes! This course will introduce you to the many aspects of criminal investigation and crime scene processing theory and practice. The format is designed to give criminal justice professionals an overview of the field of criminal investigation and crime scene processing theory and practice through readings, discussions, and case studies. For purposes of this course, the term investigative processes will be used to describe both criminal investigation and crime scene processing. Any distinctions between criminal investigation and crime scene processing will be designated as such. Although crime scene processing is part of criminal investigation, it is distinct; in that, crime scene processing requires rigorous scientific methodologies (i.e., collection procedures, testing protocols, etc.), whereas criminal investigation has less of a “hard science” character and relies more on the experience and skills of the investigator rather than rigid scientific protocols and procedures. In this light, crime scene processing can be viewed as the “science” of investigative processes; whereas criminal investigation can be viewed as the “art.” The format of this course is to provide information on the entire spectrum of investigative processes that is useful for all individuals involved in the process: the responding officer, detectives/investigators, police supervisors, lawyers, judges, and other criminal justice professionals. In furtherance of this, the reading assignments are designed to give you a systems overview of investigative processes and the lectures and discussion questions are designed to clarify the readings and provide a practical understanding of investigative processes. Introduction This week’s assigned readings introduce investigative processes. The readings provide an overview of the responsibilities and attributes of the criminal investigator and the principles of reconstructing the crime. This lecture is designed to supplement the readings by building on several key theoretical concepts that apply across all domains of investigative processes and which can easily be understood and applied by criminal justice professionals who may find themselves involved crime scene processing or other aspects of criminal investigation. Nature of Investigations Investigations can be complaint-driven or intelligence-driven in nature. Complaintdriven investigations are reactive in nature and are the result of a person or entity that brings an alleged crime to the attention of law enforcement authorities. Individual complainants may include victims of crimes, witnesses to crimes, informants, or even the perpetrators themselves. Victims of property crimes are by far the most common complainants. Entity complainants may Copyright 2017 Gregory M. Vecchi INVESTIGATIVE PROCESSES CJI 550 include other law enforcement agencies that refer various criminal allegations to other agencies outside of their jurisdictions or healthcare institutions that refer child abuse allegations to law enforcement agencies. Intelligence-driven investigations are proactive in nature and require investigators to ferret out the elements of the crime on their own. These crimes are often “victimless” or covert in nature, such as investigations involving drugs, gangs, organized crime, vice, terrorism, or foreign counter-intelligence. Intelligence-driven investigations often involve the tasking of cooperating witnesses, informants, and assets to obtain intelligence and conduct operations. Elements of the Crime All criminal investigators have one overall goal in mind: to find the truth! It is important that the investigator remain neutral and let the facts drive the investigation, not the other way around. If the facts do not support the allegations, then the investigator must clear the allegations and shut down the case; however, if the facts do support the allegations, then it is incumbent on the investigator to put the best possible case together for prosecution based on the facts of the case proving the elements of the crime. All criminal statutes, whether they are local-, state-, or federal-based, contain certain elements that must be proven and presented in a court of law in order to convict a person or entity of a crime. For example, to charge first degree murder, it must be proved that the perpetrator caused the death of another person (element one) with either the intent or knowledge that his or her actions would result in death (element two). In this definition, the investigator has to prove both elements of the crime in order for a court to hear the case as first degree murder. If the investigator could not uncover enough facts to prove element two (intent or knowledge), then the same set of circumstances may be charged as a lesser crime such as second degree murder or negligent homicide. Investigative Plan Once the investigator understands the nature of the investigation (complaint- or intelligence-driven) and determines the alleged crime and its elements, it is necessary to compile an investigative plan. The investigative plan should detail the direction of the case, types of investigative techniques to be employed, and the resources needed to complete and prosecute the investigation. The direction of the case involves intermediate goals or tasks that are logical from a given point in the investigation. It is important to remember that these goals or tasks often change as additional facts are uncovered. For example, an investigator may begin an arson investigation by planning to interview the victim-owner of the burned building, canvassing the area for witnesses, and processing the crime scene. As the investigation unfolds and facts are developed, the investigative plan may change to include interrogating the “victim.” This may involve checking his insurance policies as a result of finding a cigarette lighter with the 2 Copyright 2017 Gregory M. Vecchi INVESTIGATIVE PROCESSES CJI 550 “victim’s” fingerprints and an eye-witness report that the “victim” started the fire himself to collect the insurance proceeds. The direction of the case determines the logical investigative techniques to be employed, which triggers specific procedures and protocols. In the example above, processing the arson crime scene may involve finding the point of origin; eliminating natural causes; and the identification of ignition devices, accelerants, and trailers. Obtaining latent prints off the lighter will require powder and lifting tape or a superglue chamber. Resources are critical to a thorough investigation and are necessary to carry out investigative techniques. Manpower availability, compensation, equipment, and supplies are critical to meeting the goals and tasks of the investigative plan, as they enable the completion of investigative techniques. In our arson example, it will take the commitment and compensation of crime scene technicians aided by special equipment and supplies to properly process the arson crime scene. Selling the Case to Your Agency and the Prosecutor Investigators compete for limited resources that include money and manpower. As a result, many investigations end up not being as thorough as intended due to this competition for limited resources. As such, it is crucial that the investigator demonstrate an understanding of the nature of the investigation, the elements of the crime, and the development of a well conceived investigative plan in order to pave the way for the completion of a thorough investigation. This is accomplished by ensuring that the agency heads understand and approve the resources needed beforehand or as soon as needs arise. Agency managers are the gatekeepers of conducting a thorough investigation. No matter how well conceived and successful the investigation, the investigator must be able to articulate the facts of the case in a manner that enables prosecution. Prosecutors are the gatekeepers of the courts who ultimately determine whether a case is accepted and prosecuted. As such, it is essential that the investigator coordinate and collaborate with the prosecutor early on in the investigation in order to provide the prosecutor with a sense of ownership and participation throughout the investigation. In this way, the prosecutor becomes a stakeholder in the success of the investigation and will be more willing to see it through even if weaknesses exist. Sources of Information and Criminal Intelligence Introduction This week’s assigned readings introduce sources of information and criminal intelligence. Criminal investigations are analogous to a jigsaw puzzle, where investigators have only some of the jigsaw pieces and no picture on the box to guide them to where the pieces belong. Therefore, in order to complete the investigation, investigators have to go to many sources to collect as many of the pieces as possible in order to put them together to form the finished “picture” of the 3 Copyright 2017 Gregory M. Vecchi INVESTIGATIVE PROCESSES CJI 550 crime. Unfortunately, the investigator rarely has all the pieces, so he or she must collect them from many different sources, such as victims, witnesses, complainants, suspects, the crime scene, and document archives. Some of these sources willingly give up the pieces while others purposely hide the pieces or don’t even realize they have them. Some of the pieces are never found. Sources of information and criminal intelligence assist the investigator in finding these pieces and putting them together to prove or disprove a criminal offense. Sources of Information Sources of information can generally be either documentary or human in nature. Documentary sources of information include any sort of paper or electronic sources, such as criminal and DMV histories, financial documents, old case files, court files, court testimony, transcripts, mail covers, trash pulls, medical or psychological records, licenses, corporate indices, telephone or utility records, or other archival information. The internet and internet-based archival services afford investigators with a wide array of archival sources of information. Human sources are by far one of the most valuable sources of information available to investigators. Human sources are known by many different terms: informants, assets, and cooperating witnesses. Whatever their label, all human sources voluntarily provide specific information of value for a particular case. This information may be nothing more than background information or it may be operational “street” information. The most important consideration with regards to human sources is reliability. If a source cannot be proved reliable, then everything he or she says or does becomes questionable and suspect, especially in court. Many cases have been lost in court, due to unreliability. One method of testing a source’s reliability is to ask the source questions to which the investigator already knows the answer or by verifying the veracity of the source’s information through prior knowledge. For example, without the source’s knowledge, park a car at a specific location and then ask the source to travel to that location and obtain the license plates of all cars parked in the parking lot. If the source is reliable, the tag from the car parked there should be among the other tag numbers. A policy of “trust but verify” should be used with all human sources as a way to check the veracity of the information and continually assess reliability. Motive is another important factor in determining reliability and continued cooperation of human sources. People will provide information for a number of reasons. The most common reasons for cooperating are money and making deals with the prosecutor. Other reasons can be political or altruism. Frequently, sources are not truthful as to their real motivations, as many claim altruistic motivations when their real motivation is money. Some will claim money as their motivation when their real reason is to inform on their competition, especially in drug investigations. It has been said that informants, drug evidence, and money are among the investigator’s biggest problems with regards to accountability and temptation. There have been several sensational headlines concerning the misuse of human sources. For example, Mark Putnam, an FBI agent in Kentucky, strangled an informant in 1989 after she threatened to expose their sexual 4 Copyright 2017 Gregory M. Vecchi INVESTIGATIVE PROCESSES CJI 550 affair and her pregnancy. In April 2003, authorities in Los Angeles arrested a Chinese American informant and alleged that she carried on sexual affairs with two FBI counterintelligence agents who supervised her activities. The informant, Katrina Leung, allegedly passed classified information to the Chinese government. Because of the inherent risks associated with handling human sources, they must be managed very carefully to protect the integrity and reputation of the investigator, the investigative agency, and the source. Behavior must be avoided which could lead to the appearance of misconduct or sloppy investigative practices. Human sources can be open or confidential. The investigator should strive to protect the identity of all confidential human sources. This not only protects the integrity of the investigation, but it provides safety to the source as well. In most cases, numbers or pseudonyms are used in place of the source’s true name on reports and audio recordings and these identifiers are cataloged and kept confidential by only those who have a need to know. A control investigator (the primary handler) and one alternate investigator (secondary handler) should be assigned to each human source. These individuals develop the source and control all contacts. In this way, the confidentiality of the source and the integrity of the investigation can be maintained. This arrangement also results in better rapport and cooperation between the handlers and the source. When dealing with human sources, handlers should maintain rapport by keeping appointments, not becoming anxious, and showing appreciation for all services no matter what its value. In addition, the handlers should not make promises they cannot keep. One common rapport-destroying mistake made by handlers is to promise a source that he or she will never have to testify. It is ultimately up to the judge as to whether or not a source will be compelled to testify in court and it is important to relay this information to the source (if asked about it by the source) so the source can make an informed decision with regards to cooperation. A common method to reduce the likelihood of a source testifying in undercover investigations is to have the source introduce an undercover officer to the suspect in order to “cut the source out” of the deal as soon as possible. Criminal Intelligence Criminal intelligence obtained from various sources drive the direction of the investigation, especially with regards to cases where a suspect has not been identified or in cases where certain indicators point to a specific person but no concrete evidence has been obtained to either charge or clear that person. Through talking with many people (i.e., victims, witnesses, complainants, accusers, suspects, etc.) and looking through documents (i.e., old cases, court testimony, criminal histories, background information, etc.) criminal intelligence is obtained. It is up to the investigator to take each piece of criminal intelligence and weigh its value against other criminal intelligence pieces and evidence obtained in the case thus far. Sometimes criminal intelligence doesn’t make sense until later on in the investigation and only after new pieces of information are gleaned. Here’s an example: 5 Copyright 2017 Gregory M. Vecchi INVESTIGATIVE PROCESSES CJI 550 In the initial stages of an investigation, a strand of human hair is obtained at a murder scene involving the death of a prostitute. This trace evidence is determined not to be that of the victim. However, later, through a canvass of the neighborhood, witnesses describe a car that was present at the victim’s house near the time of death. A partial license plate check leads the investigator to the home of John Smith. A subsequent search of Smith’s vehicle reveals human hair that matches the DNA of the hair found at the victim’s residence. Subsequently, Smith provides a hair sample, which matches the two other hair samples. This leads to an interrogation of Smith, who confesses to killing the prostitute with a knife, which is later found at Smith’s residence. The blood on the knife is tested, which matches that of the victim’s blood. As you can see, this building of criminal intelligence and comparing its value against the totality of the investigation is the key to completing the “jigsaw puzzle.” Conclusion The level of success an investigator enjoys is a function of 1) the expertise and resources of the criminal investigator, 2) the extent to which criminal justice agencies allow the criminal investigator to do his or her job, and 3) the ability to sell the case to prosecutors. Sources of information and the criminal intelligence they produce are critical elements to successful investigations. It is important that investigators have a clear understanding of how to properly assess and handle sources of information so that the resultant criminal intelligence is accurate and useful in furthering the investigation. Bibliography Billingsley, R., Nemitz, T., & Bean, P. (Eds.). (2001). Informers: Policing, policy, practice. Portland, OR: Willan Publishing. Department of the Army. (1985). Law enforcement investigations. Washington, DC: Author. Mallory, S. L. (2000). Informants: Development and management. Incline Village, NV: Copperhouse Publishing. Morris, J. (1983). Police informant management. Loomis, CA: Palmer Enterprises. 6 Copyright 2017 Gregory M. Vecchi INVESTIGATIVE PROCESSES CJI 550 LECTURE Physical Evidence Introduction to Physical Evidence The “evidence” coin consists of two sides. One side is physical evidence and the other side is testimonial evidence. During this week, we will examine physical evidence and next week we will cover testimonial evidence. Physical evidence is important because, unlike testimonial evidence, it alone can establish the guilt of a person in a court of law. For example, a person cannot usually be convicted on the basis of an uncorroborated confession, as there must be either direct or circumstantial evidence that raises an inference of the truth of the essential facts of the confession. Conversely, a person can be convicted of a crime without testimonial evidence as long as the physical evidence is strong enough. There are two classifications of physical evidence: direct and circumstantial. Direct evidence is evidence that stands on its own in proving or refuting the facts at issue. Circumstantial evidence is evidence that indirectly proves facts from inference. Most forensic crime scene evidence is circumstantial. Physical evidence can be useful in many ways. Tool mark evidence may link a person who uses a certain tool with the crime scene. For example, a tool mark from a crime scene can be compared with a tool mark found on the property of a suspect. Laundry marks may be left behind in violent crime scenes. For instance, laundry marks torn from a suspect’s clothing and left at the crime scene or a victim being identified through laundry marks found on the street. Soils, rock, and minerals from the crime scene are valuable as sample comparisons when compared with like samples on the suspect’s clothes. For physical evidence to be the most useful, the investigator must not only collect it skillfully, but be careful in its handling and preservation for laboratory analysis and storage. In order for physical evidence to retain its evidentiary integrity, the investigator must strive to keep the item as near as possible to its original condition. In addition, a chain of custody must accompany the evidence from the time it is collected to the time it no longer is considered evidence. The chain of custody is a chronological, written record of who has had control of the item at any given time. It is important that the investigator who first receives, recovers, or discovers physical evidence be able to identify such evidence positively at a later date in court. In doing so, the evidence must be marked and tagged. If possible, the investigator should place his or her initials directly on the evidence. If the evidence cannot be marked, then the initials and all identifying data should be placed on the container in which the evidence was placed. Physical evidence should be evaluated in light of the circumstances and conditions it is found at the crime scene. Each piece should be evaluated individually and collectively in relation to all other evidence. If in doubt about a particular item, the investigator should secure it Copyright 2017 Gregory M. Vecchi INVESTIGATIVE PROCESSES CJI 550 as evidence until its value can be determined later. It is always better to take potentially valuable evidence, as it may not be available for collection later. Crime Scene Processing At the heart of collecting physical evidence is crime scene processing. Crime scene processing involves helping victims; safeguarding the scene; recording the scene in notes, sketches and photographs; searching the scene for evidence; and collecting, processing, and preserving evidence that is found. Preserving the Crime Scene Upon arriving at the scene, the investigator should have the scene secured so it can be preserved. If there are any victims at the scene, they must be helped and moved from the scene as soon as possible. It is important to determine the boundaries of the scene before securing it. The best physical evidence is found most often at or near the site of the most critical action, such as near a dead body or the site of forced entry of a building. The boundaries are sometimes hard to define because oftentimes valuable evidence is discarded or mistakenly left by the suspect some distance from the area of critical action. Once the scene is secured, it is important not to aimlessly walk about the scene for fear of destroying impression evidence on the ground, touching doorknobs and light switches that may have valuable fingerprints, or using the toilet or towels that may have valuable trace evidence or bodily fluids. It is critical that nothing is disturbed or removed from the crime scene without the lead investigator’s knowledge and approval. Keep all witnesses, victims, and suspects separated from each other until they can be interviewed. Inform them not to discuss the case with anyone, especially the media. Also make note of the condition of all doors, windows, lights, blinds, and odors. Searching the Crime Scene Under most circumstances, there is only one chance to search the scene properly. As such, it is important that the investigator make a good preliminary survey before embarking on the search. First, the investigator should take into consideration all the information and opinions that preceded him or her on the scene. Second, without entering the scene, make a note of items, conditions, and locations that seem to be of greatest importance. Photograph the scene if possible. Third, obtain statements from witnesses and background information on any victims. Finally, decide on what order to process and collect items of evidence. Once search assignments have been made, the investigator should ensure that only one person is assigned to collect the evidence. As evidence is located, it must be protected until it is collected. The search pattern can be a circle search, strip search, grid search, or zone/sector search, depending on the type of crime scene. In small areas, a circle search usually suffices, 2 Copyright 2017 Gregory M. Vecchi INVESTIGATIVE PROCESSES CJI 550 whereas in larger areas, a strip search followed by a grid search may be preferred. Both small and large areas may be searched using the zone/sector searches. Processing and Collecting Evidence The following general rules apply to processing and collecting evidence: • • • • • • • Give first priority to fragile evidence that can be altered by time or the elements. Collect items that could impede the search of the scene. Have the investigator’s initials and the date and time of discovery on each piece of evidence or container of evidence. Examine, photograph, sketch, record, and collect major evidence in the order that is most logical. In death scenes, process the evidence between the point of entry to the scene and the body. Then make a detailed search of the body and remove it. After processing major evidence, search for and collect trace evidence. Make elimination prints of investigators and others who had access to the crime scene. The following specific rules apply to processing the crime scene: • • • • • • • • • • • • Respond to notification (record time, date, location, identify persons related to incident, learn who, what, when, where, how, and why of incident). Take initial actions on arrival at scene (weather, security, decide search method). Scan the scene (view central items and their location, check for injured persons, note fragile evidence). Check seemingly dead victims for signs of life (pulse, skin color, responses, wounds, bleeding). Respond to arrival of the doctor (identify doctor, name of facility where victim will be taken). Record the actions of the doctor (time pronounced dead, opinion of cause of death, copy of death certificate, time and date of autopsy). Begin drawing rough camera sketch to depict camera positions and distances. Record overall observations, actions, and descriptions in notes. For the scene, describe floor, walls, ceiling, entrance, exit, windows and screens, natural lighting conditions, appliances and utilities, ashtrays, trash cans, furniture and damage, and visible personal items and clothing. For evidence, describe the quantity, item, color, type of construction, approximate size, identifying features, and condition. Begin drawing a rough sketch showing placement of evidence and citing measurements and triangulation of scene and evidence. Make a first re-check of the scene. Begin collecting and preserving evidence (check each item for trace evidence, note marks or features, mark and tag each item). Ready the body for release (check under the victim for evidence and hidden wounds, bag the hands, wrap body in linen and place into clean body bag, release body to ambulance driver, take photographs of where body was located). 3 Copyright 2017 Gregory M. Vecchi INVESTIGATIVE PROCESSES CJI 550 • • • • Make a second re-check (dust for prints, exploratory searches of furniture, process and collect any new evidence). Make additional re-checks until evidence results are negative. Check beyond the scene (search beyond the scene, expand scene if evidence is found, take more photographs and prepare another sketch). Release or secure the scene (obtain full identification of person to whom scene released or determine further security requirements). Preserving the Evidence It is the responsibility of the lead investigator to ensure that all precautions are taken to preserve the evidence in its original state until its disposition. The main requirement is to protect the evidence and minimize it potential for change. It is important to wear protective gloves and handle the evidence as little as possible, being mindful to use clean containers and watching for cross exchange and cross contamination. Once the evidence is carefully collected, the investigator must execute a chain of custody and store the evidence in the proper environment. Testimonial Evidence Introduction Last week we looked at physical evidence, both direct and circumstantial. This week, we will be examining the other side of the evidence coin, testimonial evidence. At the heart of testimonial evidence lies the interview and interrogation, which can be described as “conversations with a purpose.” In both interviews and interrogations, the investigator obtains information from or about persons connected with a particular incident. Interviews Interviews are conducted with people the investigator believes are willing to give information about a case. Interviews can be conducted on victims, witnesses, and complaints/accusers and they are accomplished to develop the facts of the case. Investigators should show concern for the victim. Witnesses should be separated as soon as possible and questioned one at a time. Complainant and accuser information should be carefully scrutinized by the investigator in order to discern false or misleading information. With all interviews, it is possible that the victim, witness, or complainant/accuser may lie on purpose to “get at” someone else or to hide their own criminal involvement. They may also be too eager to please and unintentionally distort the facts or tell the investigator what he or she “wants to hear.” In these situations, it might be necessary to interrogate a victim, witness, or complainant/accuser. Interrogations Interrogations are conducted with people the investigator believes are not willing to give information about a case. Interrogations are conducted on people the investigator believes have committed or helped commit a particular criminal offense. Interrogations are avoided on anyone who can be successfully interviewed. 4 Copyright 2017 Gregory M. Vecchi INVESTIGATIVE PROCESSES CJI 550 Suspects are interrogated to learn whether or not they have committed an offense or to obtain admissions of guilt or a confession. An admission of guilt does not amount to a complete acknowledgement of guilt, whereas a confession is a complete acknowledgement of guilt of all elements of the offense. Since interrogations oftentimes produce incriminating statements that may be used in court, it is important for the investigator to understand when it is necessary to inform the suspect of his rights against self-incrimination and his right to have counsel present. Generally speaking, a waiver of rights is only necessary when the suspect is in custody (or about to be taken into custody) AND the questioning pertains to the culpability of the suspect with regard to the offense(s) under investigation. If either of these two elements is missing, then a waiver of rights is not required by law. For example, if an investigator speaks with a suspect at a restaurant and obtains criminal admissions from that suspect, the admissions are usually admissible in court without a signed rights waiver. In this example, the investigator would make an effort to ensure that the suspect verbally acknowledges his or her understanding that he or she is not under arrest (or going to be arrested following the interview) and that the interview or any portion of it is voluntary (meaning that the suspect could decline the interview altogether or stop the interview at any time without penalty). It is very important for the investigator to document that the suspect fully understood his or her rights. The following are some strategies for interrogations: • • • • • • Always identify yourself as a law enforcement officer. Have at least one law enforcement officer as a witness. In a custodial situation, obtain a waiver of rights from the suspect. In a noncustodial situation, ensure it is clearly documented that the suspect fully acknowledged the situation and fully understood his or her rights. If the investigator believes that legal counsel has been appointed for, or retained by the suspect for the specific offense under investigation, the counsel should be notified immediately before beginning any interrogations. For extended interrogations, offer the suspect food and liberal restroom breaks and document these efforts. If possible, avoid conducting the interrogation on the suspect’s “turf” (e.g., home or business). It is preferable to conduct interrogations on the investigator’s “turf” (e.g., office or station) or at least on public or neutral ground. Polygraphs In some instances, the polygraph can aid the investigator in obtaining the truth, rather it be obtaining admissions of guilt or clearing a person of a crime. It is important to note that a polygraph cannot detect truth or deception, as it only measures bodily reactions to questions. It does this through measuring blood pressure, galvanic skin response (electric skin impulses), and upper and lower chest respiration. It is important to remember that the polygraph is only an aid to the investigation. The investigator cannot rely on a chance that a suspect will make incriminating statements against themselves during a polygraph. The suspect should have already been interviewed and there 5 Copyright 2017 Gregory M. Vecchi INVESTIGATIVE PROCESSES CJI 550 must be more information needed to complete the investigation. In addition, there must be reasonable cause to believe the suspect has knowledge of or was involved in the matter under investigation. In other words, the investigation must already be thorough and as complete as possible before employing a polygraph. Prior to administering the polygraph, the investigator has the responsibility to provide the examiner with all the facts of the investigation to include connections between the suspect and other persons and things, peculiarities of the crime scene, what is known about the suspect’s actions and behavior, the results of laboratory examinations and crimes scene processing, and anything not publicly known about the offense (especially things only the victim or offender would know). It is the examiner’s responsibility to take into account all the facts of the investigation and develop a battery of questions in collaboration with the investigator. It is also the responsibility of the examiner to ensure that the suspect is not mentally or physically fatigued, overly emotional, mentally disordered, physically disabled, or under the influence of alcohol or drugs, as these issues will preclude the polygraph examination. For a polygraph examination to be accurate, the examiner must determine a “base line” of bodily measurements through question construction and delivery. Certain questions are asked of the subject that are non-threatening, such as “are you sitting down” or “is your name Greg?” These questions allow the examiner to adjust the machine for nervousness. There are also questions that are meant to be failed (although the subject is not informed of this) such as “have you ever lied to anyone?” or “have you ever stolen anything no matter how small?” The final set of questions deal with the pertinent issues of the case such as “did you steal money from the bank vault on September 7, 2003?” or “did you know about the death of John Smith before today?” If, for example, the subject shows the most reaction to the question regarding the bank vault, then he or she would most likely be scored as “deceptive.” Contrarily, if the subject showed the most reaction to having ever stolen anything, then the test would be most likely scored as “no deception indicated.” Sometimes, the subject is “inconclusive,” indicating that the examiner was unable to determine whether or not the subject was deceptive. Inconclusive results usually require that the examiner redefine some of the questions or determine other causes, such as the subject fidgeting during the test. Conclusion Physical evidence is crucial to proving the elements of a crime and it alone can establish guilt. On the contrary, physical evidence can also clear a person or disprove a crime. The way evidence is handled, processed, and preserved has a direct affect on the value of the evidence in determining the truth of the matter under investigation. As such, it is critical that the investigator have a clear understanding of how to properly secure and search the crime scene, as well as properly processing, collecting, and preserving relevant physical evidence. Interviews and interrogations require extensive preparation by the investigator, which include: 6 Copyright 2017 Gregory M. Vecchi INVESTIGATIVE PROCESSES CJI 550 • • • • Fixing in the mind what is known of who, what, when, where, how, and why of the case. Obtaining background knowledge of the subject of the interview or interrogation to include biographical information, criminal history, level of education, status in the community, associations, and personal activities. Planning a systematic questioning protocol that involves mostly open ended questions that require elaboration. Determining the effectiveness of a direct versus an indirect approach to questioning. Bibliography Department of the Army. (1985). Law enforcement investigations. Washington, DC: Author. Fisher, B. A. J. (2004). Techniques of crime scene investigation (7th ed.). Boca Raton, FL: CRC Press. Gordon, N. J., & Fleisher, W. L. (2002). Effective interviewing and interrogation techniques. San Diego, CA: Academic Press. Hess, J. E. (1997). Interviewing and interrogation for law enforcement. Cincinnati, OH: Anderson Publishing. Holmes, W. D. (2002). Criminal interrogation: A modern format for interrogating criminal suspects based on the intellectual approach. Springfield, IL: Charles C. Thomas Publishers. Kleiner, M. (Ed.). (2002). Handbook of polygraph testing. San Diego, CA: Academic Press. Lyman, M. D. (2002). Criminal investigation: The art and science (3rd ed.). Upper Saddle River, NJ: Prentice Hall. Milne, R., & Bull, R. (1999). Investigative interviewing: Psychology and practice. West Sussex, England: John Wiley & Sons. National Research Council. (2002). The polygraph and lie detection. Washington, DC: The National Academic Press. Department of the Army. (1985). Law enforcement investigations. Washington, DC: Author. 7 Copyright 2017 Gregory M. Vecchi INVESTIGATIVE PROCESSES CJI 550 LECTURE Documenting Investigations and Crime Scenes Introduction During this week, we will examine the documentation of investigations and crime scenes. Although documentation (i.e., writing reports, drawing sketches and diagrams, photographing, etc.) is oftentimes the most tedious part of investigative work, it is probably the single most important activity the investigator will accomplish. Documentation memorializes every activity accomplished during the investigation and preserves it for subsequent investigation and court. It is because of documentation that the entirety of the crime scene can be brought into court— photographs, sketches, video and audio tapes, notes, observations, and reports allow the prosecutor to reconstruct the scene and argue theories before a jury. Notes, photographs, and sketches are made of the crime scene, the crime scene search, and throughout the investigation. These activities are essential, as they assist in accurately recalling events and identifying evidence in court. Moreover, these activities form a detailed (or not so detailed!) record attesting to the thoroughness and detail of the process. It should be noted that the importance of being accurate and very detailed cannot be overstated. Notes Notes are the most readily available record of any investigation. Although there are no official rules pertaining to note taking, they should be detailed sufficiently enough to remain meaningful even months or years after the event. Poor note taking is often the root of poor testimony during cross-examination and it forces the investigator to rely on his or her memory or gross approximations. For example, forgetting to note the date or time of day of an event and then guessing it wrong becomes not only embarrassing for the investigator and prosecution, but a point of contention for the defense attorney. Notes are the basis for both reports of investigation and testimony. Reports of investigation are detailed summaries of the notes, whereas testimony requires the recall of more detail. Therefore, it is important for the investigator to anticipate the requirements of both written reports and questions that may be asked during testimony when writing notes. For consistency purposes, it is best to have as few investigators as possible taking notes on the same event or portion thereof. Notes should be taken on a loose leaf notebook, as they can be better organized than bound notebooks. This reduces the likelihood that other notes not relating to the instant case will end up being inadvertently disclosed to others or in court. Also, missing pages from a bound notebook that were used for other purposes than the instant investigation tend to raise integrity questions by the defense in court. Notes should be numbered and include the date, agency, case number, name of investigator, and the initials of the investigator to ensure clarity of what case they belong, who Copyright 2017 Gregory M. Vecchi INVESTIGATIVE PROCESSES CJI 550 wrote them, and return if the notes are lost or misplaced. Notes should be written in black or blue ink that doesn’t smudge. Any mistakes should not be erased or tore out, but should be lined out and initialed by the investigator. Finally, notes should be archived and locked in a secure place even after a successful prosecution, as future appeals or inquiries may require their retrieval. Photographs Photographs supplement notes and sketches or clarify points relative to a case. Photographs are also used to identify individuals and they form a permanent record of fragile or perishable evidence such as fingerprints or blood splatter. Photographs are admissible in court only if they accurately depict the area observed. It is important that entry photographs be taken before any evidence is touched or before the crime scene search commences. These are area shots of the entire crime scene that overlap. Individual close-up photographs should be taken of each item of evidence from several angles in order to preserve its condition at the time it was discovered. It is usually a good idea to include a ruler or other standard item such as a coin to provide scale. Exit photographs should be taken after the crime scene has been processed to demonstrate that the scene was properly processed and that no unnecessary damage occurred. Like entry photographs, exit photographs should be conducted of the entire crime scene and they should overlap. The most important aspect of photography is maintaining perspective. Perspective is the ability of the investigator to reproduce the scene as it would appear to someone standing in the photographer’s shoes. Any significant distortion will reduce or destroy the evidentiary value of the photograph. As such, it is important that the investigator use lenses, lighting, and angles that reproduce the same colors, hues, textures, and positioning as that observed with the naked eye. The photo log is the equivalent of notes for photographs. The photo log should include the name of the photographer, date, time, agency, case number, type of camera and serial number, type of film, number of exposures, lens focal length and serial number, filtration, f/stop, shutter speed, and flash attachment. For digital cameras, include the number of megapixels, format (.jpg, bitmap, etc.), and storage media. Every photograph taken should include time, photograph number, type of photo (outside entrance, evidence, inside entrance), depiction (door, pistol), distance from object, and remarks (shutter speed, f/stop). Sketches Sketches are used to question people, prepare reports of investigation, and to present evidence in court. They assist in acquainting the court with crime scenes and they assist witnesses in orientating themselves before they testify. Sketches complement notes and photographs; however, they concentrate attention on the most essential elements of a crime scene and their relationships. Sketches are classified as either rough or smooth. Rough sketches are drawn at the crime scene and their purpose is to accurately portray information. These sketches are usually not 2 Copyright 2017 Gregory M. Vecchi INVESTIGATIVE PROCESSES CJI 550 drawn to scale but they do show accurate distances, dimensions, and relative proportions. For clarity purposes, it is sometimes necessary to drawn several sketches, such as one sketch per room or a sketch dedicated to a murder victim. A smooth sketch can be made from a rough sketch and is usually to scale and prepared by an experienced draftsman. Each sketch should include the critical features of the scene and the major, discernable items of physical evidence. Sketches must show accurate measurements of the crime scene and the location of each piece of evidence, via the triangulation method. Format requirements include a caption, title block, direction of magnetic north, scale designation (if none, indicate “not to scale”), and a legend. The title block should include the agency and case number, offense, scene portrayed, location, victim (if applicable), time and date began/ended, sketched by, and verified by. The legend explains symbols, numbers, and letters used to identify objects in the sketch. Accurate measurement is a critical requirement of sketches, as errors can introduce doubt as to the validity of the entire sketch. Measurements should be uniformly made and recorded using the same scale (inches, feet and inches, centimeters, feet and centimeters). The triangulation method is used for indoor and outdoor sketches that have fixed reference points. Objects are located by creating a triangle of measurements from a single, specific, identifiable point on an object to two fixed points at the scene (all on the same plane). It is important not to triangulate evidence to evidence or triangulate under or through evidence. Observations and Descriptions Observations assist in building descriptions of persons, objects, places, and events so that who or what was seen can later be identified and described. The accuracy of observations can be affected by lack of sleep, illness, or other outside influences. Weather, distractions, psychological, physiological, experiential factors, perception, bias, culture, and emotion all have the potential to contribute to the accuracy of observation. Trained observers are aware of these factors and make allowances for these outside influences when they interpret what they observe by using a systematic approach to observations and descriptions. Accuracy in observation is most assured if the investigator follows a set pattern. It is similar to checklists used by pilots, which systemize preflight safety requirements. Patterns used for observation begin with general features and move to specific features. For example, when developing a description of a person, start with sex, height, weight, race and then move onto hair and eye color, scars, and mannerisms. For objects, the investigator should note the type, size, and color and then move onto more specific features that set the item apart from other items. Observing and describing events require a systematic and quick observation of time, place, persons, objects, and actions involved, as well as the immediate results of the event. The observation of connected actions after the event may provide major clues to what took place. When observing and describing places, the investigator should cite the elements observed in a way that provides an easily understood “word picture.” For outdoor scenes, the investigator should look for natural or man-made landmarks and note the general scene in relation to 3 Copyright 2017 Gregory M. Vecchi INVESTIGATIVE PROCESSES CJI 550 roadways, railways, or shorelines. Efforts should be made to identify fixed or semi-fixed structures such as buildings, bridges, or power line poles and any high interest items. For outdoor scenes, the investigator should identify obvious and definite boundaries such as walls, hallways, and basements and any objects of interest. Crimes Against Persons Introduction During this week, we will examine crimes against persons such as homicide, rape, assault, and robbery and specialized methods for investigating them. The often personal and graphically violent nature of these types of crimes makes them headline grabbers (e.g., Laci Peterson, Kobe Bryant, Michael Jackson, etc.). It has been determined that biosocial factors, weapon availability, developmental factors, and the victim-offender relationship have influenced the development of violent crime typologies. Often imbedded within many of these crimes is domestic violence and many times, these types of crimes are associated with larger criminal patterns such as serial murder. During this lecture, we will discuss some general characteristics of domestic violence, as well as mass, serial, and spree murders. The Risk of Violence The following comprise 13 general reasons why people become violent: • • • • • • • • • • • • • To punish others (to obtain justice or revenge, or is the result of victim’s rage) Freedom (threat or loss of freedom) Control (fear of losing control or anger over losing control) Carry-over (ongoing aggression or violence of the moment) Contempt (expression of contempt or sadism) Blaming (blaming others or taking out own problems on others) Image, status, role, reputation (to defend, change, or establish reputation) Protection or survival reaction (means to protect one’s self, property, family, or friends) Threat reduction or aggressive precaution (violent or threatening behavior is seen as a way to warn others and reduce risk of violence) Self-punishment or guilt relief (becoming violent results in a violent response from others that meets a desire to be punished or to reduce feelings of guilt) Civil or rationalized disobedience (form of protest that can be rationalized to serve a purpose) Exposure to violence and diffusion of individual responsibility (exposure to violent people creates perception that violence is justifiable with no fear of being singled out for one’s own violent behavior) Mental illness or medical condition (result of impaired thinking and judgment or strange or bizarre beliefs that are caused by illness, disease, drugs, toxic chemicals, or a severe medical problem) Domestic Violence Against Women 4 Copyright 2017 Gregory M. Vecchi INVESTIGATIVE PROCESSES CJI 550 Violence against women is an immense problem in the United States. Battering is the leading cause of hospitalization for women and it is estimated that every nine seconds, a woman is abused by her significant other, which translates to almost 4,000,000 injuries per year. Furthermore, women are victims of domestic violence more often than for burglaries and muggings combined and 42% of murdered women are killed by their significant others. For criminal justice professionals, domestic abuse of women is the most frequently reported incident. Domestic abuse includes physical abuse, mental and emotional abuse, sexual abuse, and economic abuse. Physical abuse is hands on and can include hitting, shoving, slapping, punching, burning, bruising, twisting, choking, pulling hair, preventing access to an exit, or using weapons. Mental and emotional abuse involves harming a partner’s ability to think, reason or have feelings, intimidation, degradation, and humiliation. This type of abuse may include withholding of affection, name-calling, put-downs, making threats, abusing pets, discussing love affairs, refusing to talk, and extreme jealously. Sexual abuse can be both physical and mental. Physical abuse may include forced sex, attacks on the breasts or genital area, or rape with objects. Mental abuse may include sexual name-calling, threatening remarks during sex, unwanted sexual advances, and forbidding birth control. Economic abuse is more structural in nature and much harder to define than other more obvious forms of abuse. Economic abuse may include preventing women from making financial decisions, having to justify every expense, blame for financial problems, withholding access to financial resources, or not allowing the woman to work outside the home. Battering is defined as a series of attacks that occur repeatedly over time. For our purposes, battering can be subdivided into physical battery and psychological battering. Physical battering includes hands-on physical and sexual assaults, whereas psychological battering comprises non-violent abuse that can be mental, emotion, or economic in nature, which has shown to be just as devastating as a physical attack. Domestically violent relationships continue because of the dependency involved on the part of the victim. Although the perception of control of the abuser is only illusionary, as long as a woman believes there is hope for the relationship, she will remain in the relationship even if she or her children continue to be battered. Oftentimes, women put up with the abuse because they feel their situation would be hopeless or helpless if they left the relationship. Moreover, these women believe they need the resources of the person who is abusing them and they falsely believe that there will be no further acts of violence. This last point is worth expanding on because after a severe beating, the abuser often apologizes and asks forgiveness, promising not to do it again. This causes the victim to focus on how nice and loving the abuser can be, which triggers the desire to stay in the relationship only to be battered again. Domestic Violence Against Men 5 Copyright 2017 Gregory M. Vecchi INVESTIGATIVE PROCESSES CJI 550 Violence against men has only recently begun to be noticed; however, it is estimated that roughly 300,000 to 400,000 men are treated violently by their spouses or girlfriends. The lack of attention to this problem is due to several reasons: • • • • • Reporting is so low that it is difficult to obtain reliable estimates Culturally, men are not encouraged to report abuse Little investment in resources to address and understand the issues of abuse against men Impact of domestic violence is less apparent Few people believe that men can be abused by women There are both similarities and differences between the dynamics of the abuse of women versus the abuse of men. In both cases, physical and economic abuse is similar in nature. For both, physical abuse may include pushing, slapping, hitting, or using a weapon and economic abuse may include control over finances or over justification of expenses. Sexual abuse is different; in that, women usually can’t physically force sex as men can, but they can physically attack the genitals without notice. The most noticeable difference concerns the dynamics of mental and emotional abuse, as most men are more deeply affected by emotional abuse than by physical abuse. For example, unkind or cruel words may hurt both men and women, but research indicates that men who are berated and called “coward,” “impotent,” and “failure” suffer severe emotional trauma. Overall, it seems that women are more “brutal” than men when it comes to mental or emotional abuse and men are more “brutal” then women with respect to physical abuse. Mass Murders, Spree Murders, and Serial Murders Although homicide in general is rare in comparison to other types of violent crime, mass murder, spree murder, and serial murder spark headlines and interest because of the terror they inspire and the macabre nature of their processes. These types of investigations can be very lengthy and costly, due to their nature. Generally, mass murder involves three or more victims, usually one offender and one location, and a single event lasting minutes, hours, or days. The 1995 Oklahoma City bombing is an example of a mass murder. Spree murders are multiple murders committed during a single event within a time period that may be short or long with no “cooling off” period. The 1999 Columbine School murders incident is an example of a spree murder, as well as the murders committed by Charles Manson and his gang. Spree murders are also oftentimes associated with family matters, such as when a man consecutively kills his wife, children, and mother. Spree murders often involve much anger and hate on the part of the perpetrator. Serial murders involve three or more murders as separate events with emotional “cooling off” in between the killings, which may involve planning and victim selection, and may be either 6 Copyright 2017 Gregory M. Vecchi INVESTIGATIVE PROCESSES CJI 550 sexual or nonsexual in nature. Ted Bundy and Jeffrey Dahmer are examples of modern day serial killers. The “profiling” of serial killers is an effective way to identify and neutralize them. Profiling has many names: psychological profiling, offender profiling, criminal personality profiling, criminal personality assessment, and investigative profiling; however, the preferred current name is criminal investigative analysis. In solving a serial murder, the crime scene is usually the key to determining the mindset of serial killers, simply because it has been shown that the best indicator of future behavior is past behavior. For example, trauma to the victim that is excessive to that which would be necessary to cause death suggests highly personalized anger and that the killer and victim most likely knew each other. There have been instances where serial killers hate women, usually as a result of some trauma experienced as a child, such as physical or sexual abuse by their mother. This hatred is sometimes acted out, such as in post-mortem mutilation of the breasts and genitals using a knife. Crime scenes usually exhibit elements of being either organized or disorganized. Organized crime scenes have the following characteristics: • Contain little evidence • Exhibit controlled rage • Involve multiple scenes • Indicates the victim was a stranger • Indicates premeditation • May occur at any time • Victim often transported • Weapon of choice • Sexual activity with a live victim • Body concealed or positioned to degrade • Disorganized crime scenes exhibit the following characteristics: • • • • • • • • • Contain lots of evidence Exhibit a frenzied attack Involve single or clustered scenes Indicates the victim was not a stranger Indicates spontaneous attack Assault and disposal site of the body the same Weapon of opportunity Postmortem sexual activity Symbolic positioning of the body Sometimes in organized crime scenes, the murder victim’s body is moved in an attempt to cover up the location of the murder. In one case, the movement of the body from a lying 7 Copyright 2017 Gregory M. Vecchi INVESTIGATIVE PROCESSES CJI 550 position to a seated position was obvious. The investigation determined that the victim had originally died lying down and the blood had pooled in the back, buttocks, and the back of the legs (lividity). If the victim had actually died in the chair, then the pooling would have occurred in the legs and buttocks; however, this was not the case. From the analysis of crime scenes, taxonomies can be constructed of serial killers. For example, the organized crime scene corresponds to the organized offender—one who is above average intelligence, socially competent, a skilled worker, sexually competent, and controlled. The disorganized crime scene corresponds to the disorganized offender—one who is below average intelligence, socially immature, has a poor work history, sexually incompetent, and anxious and confused. Victimology is another aspect of serial killer investigations, as many serial killers prey on certain types of victims such as female prostitutes or young males. Information concerning the victim is used to better understand and predict the behavior of serial killers and it is also used to warn potential victims. Victimology concerns issues such as risk level, lifestyle, and the degree to which victims expose themselves to injury. Victims are classified as either high or low risk. High risk victims are more susceptible than other victims to being the victim of violent crime, usually as a result of their lifestyles and behavior (e.g., prostitution or driving in dangerous areas with the door unlocked). Conclusion Documentation is a critical skill that all investigators need to master. Accurate and thorough documentation of crime scenes and other investigative activities preserves and packages the facts of the investigation into a usable format for court and furthering the investigation. Crimes against persons affect victims and their families in the most personal ways. Oftentimes, domestic violence is an underlying factor in murders, rapes, and assaults, which adds to the complexity of solving them. The nature of mass, spree, and serial murders add another dimension to crimes against persons, which requires a special investigative approach. Bibliography Connor, M. G. (2002). Abuse violence. Retrieved January 3, 2003, from http://www.crisiscounseling.com. Criminology Today. (1995-2002). Crimes against persons. (chap. 10). Retrieved from http://cwx.prenhall.com/crim2day/chapter10/ Department of the Army. (1985). Law enforcement investigations. Washington, DC: Author. Fisher, B. A. J. (2004). Techniques of crime scene investigation (7th ed.). Boca Raton, FL: CRC Press. 8 Copyright 2017 Gregory M. Vecchi INVESTIGATIVE PROCESSES CJI 550 Lyman, M. D. (2002). Criminal investigation: The art and science (3rd ed.). Upper Saddle River, NJ: Prentice Hall. Turvey, B. (1999). Criminal profiling. San Diego, CA: Academic Press. 9 Copyright 2017 Gregory M. Vecchi
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