Forensic Anthropologist's Role in Developing Evidence To
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Florida State University Libraries Electronic Theses, Treatises and Dissertations The Graduate School 2011 Proving Genocide: The Role of Forensic Anthropology in Developing Evidence to Convict Those Responsible for Genocide Jean M. Morgan Follow this and additional works at the FSU Digital Library. For more information, please contact [email protected] THE FLORIDA STATE UNIVERSITY COLLEGE OF ARTS AND SCIENCES PROVING GENOCIDE: THE ROLE OF FORENSIC ANTHROPOLOGY IN DEVELOPING EVIDENCE TO CONVICT THOSE RESPONSIBLE FOR GENOCIDE By Jean M. Morgan A Thesis submitted to the Department of Anthropology in partial fulfillment of the requirements for the degree of Master of Science Degree Awarded: Fall Semester, 2011 Copyright © 2011 Jean M. Morgan All Rights Reserved Jean M. Morgan defended this thesis on October 17, 2011. The members of the supervisory committee were: Glen H. Doran Professor Directing the Thesis Rochelle Marrinan Committee Member Lynne Schepartz Committee Member The Graduate School has verified and approved the above-named committee members, and certifies that the thesis has been approved in accordance with university requirements. ii I would like to dedicate this work to Bishop Juan Gerardi Conedera, of the Archdiocese of Guatemala, who was murdered two days after issuing a report on the Guatemalan genocide. Additionally, this work is dedicated to all of the courageous forensic scientists and prosecutors who investigate atrocities and prosecute cases of genocide at the risk of their own personal safety. Without their dedication and hard work, justice would not be served for the victims of genocide and their loved ones. iii ACKNOWLEDGEMENTS The thesis presented here would not have been possible without the support of colleagues, family, friends, and medical professionals. First, I would like to thank the members of my Committee. They were lead by Professor Glen Doran, and included Associate Professor Lynne Schepartz and Associate Professor Rochelle Marrinan. I will be eternally grateful for their patience, advice, and council. In particular, I owe a special debt of gratitude to Professor Doran for his support when I became very ill while researching and writing this thesis. His kind and thoughtful help will always be treasured. My brother Michael Morgan, his wife Madelyn, and my sister Roberta Morgan were also very supportive and helped me on many occasions. Michael showed considerable interest in this work and advised me when I needed to discuss ideas. Roberta helped design the illustrations presented in this document and edit its contents. Madelyn Morgan, the family editor and tax consultant, graciously offered to edit this thesis. Madelyn’s edit was very comprehensive, professional, and insightful. The thesis is a far better product because of Madelyn’s review. Any errors in this document are my responsibility alone. My best friends, Nancy Watson and Irene Kress were particularly supportive and interested in this project. Additionally, they, along with many of my Institute of Notre Dame friends, in particular, Mary Lawson, helped me through a very difficult health crisis with their prayers, phone calls, letters and cards. The medical professionals at the Mayo Clinic, in particular Dr. Jeffery L. Garland, and my local doctors Robert Stein, Farideh Zadeh, and Linda Lukman saved my life. None of the research, writing, and production of this document would have been possible without the kindness, support, and assistance of each and every one of these wonderful people. iv TABLE OF CONTENTS List of Tables vii List of Figures viii Abstract ix 1 Introduction 1 2 Existing Literature 3 2.1 Genocide Defined 3 2.2 The Role of Forensic Anthropology 7 2.3 Mass Graves Defined 9 2.4 Prosecution of the guilty 16 2.5 The Need for a Protocol 17 3 Methods 19 3.1 Identification of Research Subjects 19 3.2 Databases Constructed to Analyze Genocide Information 19 4. Findings 23 4.1 Cambodia 23 4.2 East Timor 28 4.3 Guatemala 31 4.4 Iraq 37 4.5 Rwanda 42 4.6 Yugoslavia 46 4.7 Prosecutions of Genocide and Crimes Against Humanity 55 4.8 Impediments to Prosecution 63 5. Discussion 65 5.1 Mass Graves Evidence 65 5.2 Potential Resolution of Impediments to Prosecutions 67 5.3 Protocol for the Excavation, Exhumation and Examination of v Mass Graves and Their Contents 68 5.4 Identification of Individual Victims 87 6. Conclusion 88 Appendices 89 Appendix A Genocide Database Key 89 Appendix B Genocide Database 93 Appendix C Results of Mass Grave Excavations Database 96 Appendix D Protocol Analysis and Development 99 Appendix E Protocol for the Excavation, Exhumation and Examination of Mass Graves and Their Contents 117 References 138 Biographical Sketch 148 vi LIST OF TABLES Table 2.1 Convention on the Prevention and Punishment of the Crime of Genocide 5 Table 2.2 Mass Grave Excavations 13 Table 2.3 Courts Trying Genocide Cases 17 Table 3.1 Court Cases 22 vii LIST OF FIGURES Figure 2.1 Post World War II Genocides 11 Figure 5.1 Stage I Planning and Logistical Analysis 69 Figure 5.2 Stage II Exploratory Mission and Feasibility Study 71 Figure 5.3 Stage III Excavation and Exhumation of Grave 76 Figure 5.4 Stage IV Intake and Autopsy 79 Figure 5.5 Stage V Skeletal Analysis 80 Figure 5.6 Stage VI Conclusion, Review and Final Report 83 Figure 5.7 Protocol for the Excavation, Exhumation and Examination of Mass Graves and Their Contents 86 viii ABSTRACT At the beginning of the second half of the Twentieth century, the crime of genocide was defined and the Genocide Convention was enacted by the United Nations to prosecute those responsible for such atrocities. Since enactment, genocides in eight countries have been investigated and prosecuted. One key player in these investigations has been the forensic anthropologist. The role of the forensic anthropologist in excavating mass graves, and analyzing the skeletal remains of the victims has been pivotal to successful prosecution of the guilty. As mass graves have been excavated, forensic professionals have used protocols that were not specifically designed for this work. The research conducted for this thesis included: the identification of genocides committed during the second half of the 20th Century, examination of indictments and judgments from international tribunals, evaluation of mass grave excavations done to support prosecutions, and the compilation of a protocol from those used during these excavations. The Protocol for the Excavation, Exhumation, and Examination of Mass Graves and Their Contents is provided in this thesis. It is a comprehensive six-stage protocol designed specifically for the excavation of graves resulting from genocide. Five of the six stages are discussed. They include: I Planning and Logistical Analysis, II Exploratory Mission and Feasibility Study, III Excavation and Exhumation of the Grave, V Skeletal Analysis, and VI Conclusion, Review, and Final Report. Stage IV Intake and Autopsy is beyond the scope of this thesis and is included but not fully described. The protocol was produced by supplementing the UN Manual on the Effective Prevention and Investigation of Extra-Legal, Arbitrary and Summary Execution with protocols and other authoritative materials produced by authors who have successfully completed mass grave excavations. Also, the protocol was supplemented by material from experts in related fields. This protocol is intended to organize and facilitate the work of excavating mass graves, analyzing the remains, and preserving evidence in a manner consistent with the best practices of forensic scientists, and in a manner that will withstand the scrutiny of international tribunals and courts prosecuting these cases. ix 1 INTRODUCTION Genocide is the most egregious of crimes. It requires massive governmental and civilian resources to be brought to bear against a group. It vilifies the members of a group to justify gruesome crimes. It denies the individual basic human dignity by attacking a person not because of who he is, but for what he is. It destroys not only the individuals of a group, but the group’s physical and mental well-being, their towns and homes, even their ability to have and raise their children. Survivors are often left stateless, homeless, and penniless. They are often unable to find refuge from exposure to harsh weather, gain comfort from observing religious practices, or acquire sustenance other than from the kindness of others. They have often lost many family members and friends, their way-of-life, and their ability to satisfy basic human needs. The devastation from genocide is complete. After World War II, the international community had become outraged by the Nazi genocide. Consequently, they established an international law against genocide, hoping this law would prevent future genocides. Sadly, this hope was dashed during the second half of the 20th Century. When the former State of Yugoslavia collapsed into waves of ethnic cleansing, and the Hutus of Rwanda began slashing at their fellow countrymen, the Tutsi, the world was riveted by scenes in the media of internment camps and mass killings. It seemed that the 20th Century, one of the most violent in human history, was ending in an orgy of state-sponsored atrocities. Is it genocide? Answering this three-word question is often left to forensic anthropologists who excavate mass graves, gather pertinent evidence, and analyze skeletal remains and related information. While the contributions forensic anthropologists make investigating common murders has been glamorized on popular television shows, these programs often overlook the role forensic anthropologists play during the investigation and prosecution of genocide. Additionally, textbooks and training manuals for forensic anthropologists often understate the unique requirements for the field investigation of clandestine mass graves. While 1 these references provide excellent guidance for the excavation and analysis of murders, they do not provide guidance on the specific evidence needed to convict those responsible for genocide.