ISSUE NO. ISSUE
U.S. Department of Justice Office of Justice Programs National Institute of Justice
267
National Institute of Justice JOURNAL
Police Use of Force: The Impact of Less-Lethal Weapons and Tactics
n Toward a Better Way to Interview Child Also in this issue In Brief: Block by Block: Victims of Sexual Abuse Zeroing in on Crime Trends
n Minimizing the Risks of Solving the Problem of Untested Hazardous Materials: Evidence in Sexual Assaults The CBRN Standard Improving Forensic n Extending the Time to Collect DNA in Death Investigation Sexual Assault Cases In Brief: Expanding Research by Sharing Data
i Building Knowledge to Meet the Challenge of Crime and Justice
National Institute of Justice John H. Laub Director, National Institute of Justice
The NIJ Journal is published by the National Institute of Justice to announce the Institute’s policy-relevant research U.S. Department of Justice results and initiatives. The Attorney General has determined Office of Justice Programs that publication of this periodical is necessary in transacting the public business of the U.S. Department of Justice as 810 Seventh St. N.W. required by law. Washington, DC 20531 Findings and conclusions of the research reported here are those of the authors and do not necessarily reflect the official position or policies of the U.S. Department of Justice. All products, manufacturers and organizations cited in this Eric H. Holder, Jr. publication are presented for informational purposes only, Attorney General and their discussion does not constitute product approval or endorsement by the U.S. Department of Justice.
Laurie O. Robinson Subscription Information Assistant Attorney General Online https://puborder.ncjrs.gov/Listservs/nij/reg.asp Phone 301-519-5500 800-851-3420 John H. Laub Mail NCJRS P.O. Box 6000 Director, National Institute of Justice Rockville, MD 20849-6000 World Wide Web Address http://www.ojp.usdoj.gov/nij/journals/welcome.htm Contact NIJ This and other publications and products National Institute of Justice 810 Seventh St. N.W., Washington, DC 20531, USA of the National Institute of Justice can be http://www.ojp.usdoj.gov/nij/contact/welcome.htm found at: NIJ Journal Editorial Board Thomas E. Feucht National Institute of Justice Lee Mockensturm http://www.ojp.usdoj.gov/nij Angela Moore Marilyn Moses Office of Justice Programs Nancy Ritter Kristina Rose Innovation • Partnerships • Safer Neighborhoods George Tillery http://www.ojp.usdoj.gov Cheryl Crawford Watson Edwin Zedlewski
Editor-in-Chief Jolene Hernon Contact the Editor-in-Chief [email protected] Production Palladian Partners, Inc. Sarah B. Berson, Managing Editor Jennifer M. Walsh, Consulting Editor Jill R. Grozalsky, Production Coordinator NCJ 233280 Aaron Auyeung, Designer Maureen Berg, Designer Winter 2010 NIJ JOURNAL / ISSUE NO. 267 Director’s Message
As this issue of the NIJ Journal goes to press, I have been director of NIJ for just over six months. My nomi- Contents nation by President Barack Obama and confirmation NIJ Bulletin 2 by the United States Senate was personally gratifying. The ultimate reward, however, lies in the opportunity Police Use of Force: to lead NIJ in its renewed commitment to science. The Impact of Less-Lethal The beginning of my tenure coincided with the release Weapons and Tactics of the National Academy of Sciences’ evaluation of by Philip Bulman 4 NIJ, Strengthening the National Institute of Justice. The NAS report provided a foundation from which NIJ can Toward a Better Way to engage in critical self-examination and change. But I Interview Child Victims am certain that one thing will remain the same: We will of Sexual Abuse continue to produce research that makes a difference for criminal justice professionals, by Sara Harris 12 such as those who read the NIJ Journal. Several articles in this issue exemplify NIJ’s commitment to presenting research in a In Brief: Block by Block: way that makes its practical implications clear and demonstrates to our readers how Zeroing in on Crime the findings can affect their daily decisions. Trends by Philip Bulman The research on injuries from less-lethal weapons, for example, is something commu- 16 nity leaders and members of police-citizen review boards will find useful. The data Solving the Problem show that using conducted energy devices, known commonly by the manufacturer name Taser, can reduce injury rates for suspects and officers when compared to other of Untested Evidence less-lethal options, such as fists or batons. Though proper training is always essential in Sexual Assaults before officers use CEDs, this research demonstrates that both officers and civilians by Nancy Ritter 18 may benefit from their use. Extending the Time The articles on interviewing child victims of sexual abuse and on understanding crime to Collect DNA in Sexual at the level of the city block are examples of research that builds on previous work. Assault Cases These studies tease out finer details, allowing us to consider innovative ways to apply these research findings. Through these studies, we also begin to build a cumulative by Terry Taylor 22 base of knowledge. Minimizing the Risks of The article on improving death investigations is about the needs of the forensic death Hazardous Materials: investigation community and its response to another NAS report — Strengthening The CBRN Standard Forensic Science in the United States: A Path Forward — particularly to the report’s by Philip Bulman controversial recommendation to eliminate the coroner system. NIJ emphasized coop- 28 eration and communication among experts on all sides of the issue by bringing them together for the first time to discuss that recommendation and other important issues Improving Forensic in forensic death investigation. Convening the Forensic Death Investigation Symposium Death Investigation was a bold, but important, step. I firmly believe that discussing challenging topics in an by Beth Pearsall 30 open and honest way is the first step toward finding creative solutions. In Brief: Expanding I welcome your feedback on the Journal and all of NIJ’s publications. Your input is Research by Sharing vital as we communicate findings and incorporate wisdom from the field toward the Data ultimate goal of building a strong body of knowledge that is supported by science. by NIJ Staff 34 Contact us by e-mail at [email protected].
John H. Laub Director, National Institute of Justice
Read about the progress NIJ is making in responding to the NAS evaluation at http://www.ojp.usdoj.gov/nij/about/director/strengthening-nij.htm. Visit the NIJ Director’s page at http://www.ojp.usdoj.gov/nij/about/director/ november-2010.htm. 1 NIJ Bulletin
crime laboratories and law ■ Special Abilities and Publications Vulnerabilities in Forensic IN BRIEF enforcement agencies. It also explains how supply Expertise
rime laboratories are and demand are affect- ▼ http://www.ojp.usdoj. Cprocessing more cases ing crime laboratories and gov/nij/pubs-sum/ than ever before, but back- shows how federal fund- 225320.htm ing has made a difference logs continue to be a n 2009, NIJ published in reducing backlogs during problem. Why? The NIJ the first comprehensive the last several years. I Special Report Making document outlining the Sense of DNA Backlogs, ▼ http://www.ncjrs.gov/ current technology needs 2010 — Myths vs. Reality pdffiles1/nij/232197.pdf of the criminal justice field. helps to answer that ques- This document was the for which NIJ is seeking he Fingerprint tion. The report, recently result of a six-year pro- solutions. It reviews five Sourcebook is the updated with 2009 data T cess that involved criminal focus areas: definitive guide to the submitted to NIJ’s 2010 justice practitioners and ■ Protecting the Public science of fingerprint iden- DNA Backlog Reduction technologists in devel- ■ Ensuring Officer Safety Program, describes the tification. NIJ is publishing oping a set of validated ■ the sourcebook in stages. Confirming the Guilty and kinds of backlogs found in technology requirements. Eight of 15 chapters are Protecting the Innocent High-Priority Criminal now available online, includ- ■ Improving the Efficiency Justice Technology ing three recently released of Justice Needs 2010 updates the chapters: ■ Enabling Informed original publication to reflect Decision-Making ■ Latent Print Development new developments and ■ The Preservation of summarizes the highest- ▼ http://www.ncjrs.gov/ Friction Ridge Information priority technology needs pdffiles1/nij/230391.pdf
News & Notes Funding Awarded to Seven Technology Centers of Excellence Corrections Technology CoE NIJ awarded $17 million in Colorado Seminary/ Weapons and Protective University of Denver Systems Technology CoE funding to seven Technology Denver, Colo. Pennsylvania State University Centers of Excellence (COEs) State College, Pa. in 2010. The COEs, estab- Criminal Justice Electronic lished in 2007, are part of the Crime Technology CoE Electronic Crime Preventions National Law Enforcement and & Investigations Corrections Technology Center Milford, N.J. Communications Technology CoE (NLECTC) System. They are the L-3 Services Inc. NLECTC System’s authoritative Arlington, Va. resource for practitioners and Sensor, Surveillance, and Biometric Technologies CoE developers in their technology ManTech Advanced Systems International, Inc. areas of focus. The COEs help Fairmont, W.Va. to transition technology from Information and Geospatial the laboratory into practice by Technologies CoE Rand Corporation testing, evaluating and demon- Santa Monica, Calif. strating new technologies Forensic Technology CoE National Forensic Science and by providing technical Technology Center assistance to first adopters. Largo, Fla.
For information about other 2010 funding awards by NIJ, visit: http://www.ojp.usdoj.gov/nij/awards/2010.htm = Centers of Excellence (CoEs)
2 NIJ JOURNAL / ISSUE NO. 267
Newest Research Findings
Employing Ex-Offenders: When to Leave a Criminal History in the Past ▼ Criminal background checks are an increasingly common practice among employers. .gov Is there a point at which employers should no longer consider an individual’s criminal record relevant to hiring decisions? In their final report to NIJ, Potential of Redemption in Criminal Background Checks, Alfred Blumstein and Kiminori Nakamura argue that employ- ers should receive guidance on the possibility of “redemption.” They lay out an empirical Look for multimedia links basis for estimating when an ex-offender has been “clean” long enough for his or her risk throughout this issue of of re-offending to be no greater than that of an individual in the general population. the NIJ Journal. On the NIJ website, look for the
▼ Read the full report: http://www.ncjrs.gov/pdffiles1/nij/grants/232358.pdf. following new online Watch the authors’ discussion of criminal background checks and hiring ex-offenders: content: http://www.ojp.usdoj.gov/nij/multimedia/video-nijconf2009-blumstein-nakamura.htm.
▼ The new digital Strengthening the Scientific Foundation of Firearms Identification forensics Web topic
▼ pages In a criminal investigation, forensic firearms examiners may be asked to determine whether a bullet was fired from a particular firearm. Benjamin Bachrach’s research ▼ Felton Earls discussing team at Intelligence Automation, Inc., has conducted NIJ-funded research assess- engaging adolescents ing the individuality and repeatability of features that transfer from a barrel to a bullet in research on expo- when a gun is fired. Their initial study demonstrated that barrel markings on bul- sure to violence lets are sufficiently unique to allow for a one-to-one association between the two, at
least in the case of barrels of typical manufacturing quality. ▼ A recap of the 2010 Predictive Policing The follow-up study focused on bullets fired from barrels of very poor and very good Symposium, East manufacturing quality. They found that while bullets could be linked to most such barrels, there were exceptions — sometimes the variability between bullets fired ▼ New Computer from the same barrel was too extreme to make reliable identifications. They also Forensic Tool Testing noted, however, that the ability to make reliable identifications depended on the Program reports individual barrel itself and not only on the brand of manufacture.
▼ The most recent issue
▼ Read the full report: http://www.ncjrs.gov/pdffiles1/nij/grants/232136.pdf. See presentations and videos from the 2010 Impression and Pattern Evidence Symposium: of the Geography and http://projects.nfstc.org/ipes. Public Safety Bulletin
▼ NIJ funding opportuni- Elemental Analysis of Glass ties, including FY2011
▼ solicitations, and past Trace elemental analysis and comparison of materials such as glass and paint chips funding awards can provide important evidence. For example, forensic examiners might analyze
glass fragments from the scene of a hit-and-run to see if the fragments’ characteris- ▼ Current training tics are consistent with samples taken from a suspect’s car. An NIJ-funded research opportunities effort by Tatiana Trejos, Waleska Castro and Jose R. Almirall has developed, vali-
dated and implemented methods for the elemental characterization of glass to better ▼ The online archive compare evidence samples from investigations to a known source. of NIJ Journal back issues The researchers validated the methods through a series of round-robin exercises involving forensic laboratories and used the methods in actual casework, leading to positive case resolution. The researchers also transferred the methods to other forensic laboratories that now routinely use them in casework.
▼ Read the full report: http://www.ncjrs.gov/pdffiles1/nij/grants/232133.pdf. See presentations and videos from the 2009 Trace Evidence Symposium: http://www.ojp.usdoj.gov/nij http://projects.nfstc.org/trace/2009/agenda.htm.
Go to the NIJ website at http://www.ojp.usdoj.gov/nij and subscribe to our e-mail alerts to receive the latest information on funding, publications, trainings, events @ and topical pages. 3 Police Use of Force: The Impact of Less-Lethal Weapons and Tactics by Philip Bulman
A new study suggests that less-lethal weapons decrease rates of officer and offender injuries.
n the mid-19th century, police offi- the University of South Carolina, cers in New York and Boston relied recently completed an NIJ-funded onI less-lethal weapons, mostly study of injuries to officers and civil- wooden clubs. By the late 1800s, ians during use-of-force events. police departments began issuing Injury rates to civilians ranged from firearms to officers in response to 17 to 64 percent (depending on the better-armed criminals. Today, many agency reporting) in use-of-force law enforcement agencies are again events, while injury rates to offi- stressing the use of less-lethal weap- cers ranged from 10 to 20 percent. ons, but they are using devices that Most injuries involved minor bruises, are decidedly more high-tech than strains and abrasions. Major inju- their 19th-century counterparts. ries included dog bites, punctures, broken bones, internal injuries and Use of force, including less-lethal gunshot wounds. weaponry, is nothing new to polic- ing, and in any use-of-force incident, injury is a possibility. Researchers Can New Technologies have estimated that between 15 and Decrease Injuries? 20 percent of arrests involve use of Advances in less-lethal technology force. A group of researchers led offer the promise of more effective by Geoffrey P. Alpert, professor of control over resistive suspects with criminology and criminal justice at
4 NIJ JOURNAL / ISSUE NO. 267
If injury reduction fewer serious injuries. Pepper spray likelihood of officer injury; Taser use was among the first of these newer, is the primary goal, by the Seattle Police Department, less-lethal weapons to achieve wide- however, similarly showed no effect spread adoption by police forces. agencies that deploy on the likelihood of officer injury. More recently, conducted energy This suggests that not every agen- devices (CEDs), such as the Taser, pepper spray and cy’s experience with CEDs will be have become popular. the same. CEDs are clearly at More than 11,000 American law an advantage. Both Miami-Dade Police Department enforcement agencies use CEDs, With 3,000 officers, the Miami-Dade but their use has not been with- weapons prevent Police Department (MDPD) is the out controversy. Organizations such largest law enforcement agency in as Amnesty International and the or minimize the the southeast. American Civil Liberties Union have questioned whether CEDs can physical struggles The MDPD started using Tasers in be used safely, and whether they 2003. By May 2006, about 70 per- contribute to civilian injuries and in- that are likely to injure cent of the officers carried Tasers. custody deaths. Policymakers and The researchers examined 762 use- law enforcement officials want to officers and of-force incidents between January know whether CEDs and other 2002 and May 2006. Most injuries less-lethal weaponry are safe and suspects alike. were minor, and officers were sub- effective, and how police should stantially less likely to be injured use them. than suspects, with 17 percent of force level used by deputies officers injured and 56 percent of Analysis of Information (59 percent of incidents) was soft suspects injured. from Specific Law empty hand control (e.g., holding Use of both soft hand tactics and Enforcement Agencies a suspect to restrain him), which increased the odds of officer injury hard hand tactics (e.g., using kicks Alpert’s research on use of force by 160 percent. or punches to restrain a suspect) by and less-lethal weapons, in part, officers more than doubled the odds focused on data gathered from Pepper spray decreased the odds of of officer injury. Hands-on tactics three law enforcement agencies — suspect injury by almost 70 percent, also increased the odds of injury to the Richland County (S.C.) Sheriff’s and a deputy aiming a gun at a sus- suspects, as did the use of canines. Department, the Miami-Dade pect reduced his or her injury odds Taser use, however, was associated (Fla.) Police Department and the by more than 80 percent (the act with a reduction in the likelihood of Seattle Police Department. of pointing a gun alone often effec- both officer and suspect injury. tively ends a suspect’s resistance). Richland County Sheriff’s The use of a canine posed, by far, Seattle Police Department Department the greatest injury risk to suspects, The Seattle Police Department Approximately 475 sworn officers increasing injury odds almost forty- (SPD) has about 1,200 sworn from the Richland County Sheriff’s fold. Suspects who displayed active officers. The agency started using Department (RCSD) serve the aggression toward deputies were Tasers in December 2000. The unincorporated portions of Richland also more likely to suffer injuries. SPD recorded 676 use-of-force County, S.C. The agency started incidents between December 2005 phasing in Tasers in late 2004. In contrast to the Miami-Dade and October 2006. Suspects suf- During data collection, about 60 and Seattle Police Departments, fered injuries in 64 percent of the percent of deputies carried Tasers. Taser use by the RCSD had no incidents, while officers suffered effect on the likelihood of suspect injuries in 20 percent of the incidents. Researchers coded 467 use-of- injury. Also in contrast to the Miami- Officers used hands-on tactics in force reports from January 2005 Dade Police Department, Taser use 76 percent of the incidents. The to July 2006. The most frequent by the RCSD had no effect on the next most frequent type of force
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What Is Use of Force, and What Is a Use-of-Force Continuum?
“ se of force” refers to the encounter with a civilian. “The use- or the suspect. When police U“amount of effort required of-force continuum” is a phrase to in a democracy use force and by police to compel compliance describe this kind of guide. The con- injury results, concern about 1 by an unwilling subject.” The tinuum of a particular agency may police abuse arises, lawsuits Fourth Amendment forbids unrea- cover a full spectrum of actions from often follow and the reputa- sonable searches and seizures, no-force, in which having officers tion of the police is threatened. and various other legal and policy present is enough to defuse the situ- Injuries also cost money in med- controls govern how and when ation or deter crime, to lethal force, ical bills for indigent suspects, officers can use force. Most agen- in which officers use deadly weap- workers’ compensation claims cies tightly control the use of ons. For a sample continuum, see for injured officers, or damages force, and supervisors or internal NIJ’s topic page. paid out in legal settlements affairs units routinely review or judgments. serious incidents. ▼ http://www.ojp.usdoj.gov/nij/topics/ law-enforcement/officer-safety/ 1. Definition by the International Many law enforcement agencies use-of-force/continuum.htm. Association of Chiefs of Police, instruct officers in, and have Police Use of Force in America, policy guides for officers regard- When any kind of physical use of 2001, http://www.theiacp.org/ ing, appropriate responses to force is required, there is always Portals/0/pdfs/Publications/ 2001useofforce.pdf. an escalation of activities in an a chance of injury to the officer
officers used was the Taser (36 Seattle and Richland County).2 When police in a percent), followed by pepper spray The large sample, representing democracy use force (8 percent).1 more than 24,000 use-of-force incidents, allowed the researchers and injury results, Taser use was associated with a to use statistical techniques to 48 percent decrease in the odds determine which variables were concern about police of suspect injury in a use-of-force likely to affect injury rates. The incident (it was not associated with use of physical force (e.g., hands, abuse arises, lawsuits a significant change in the odds fists, feet) by officers increased the of officer injury). The use of physi- odds of injury to officers and sus- often follow and the cal force by officers increased the pects alike. However, pepper spray odds of officer injury 258 percent. and CED use decreased the likeli- reputation of the police Not surprisingly, the odds of officer hood of suspect injury by 65 and injury also increased when suspects 70 percent, respectively. Officer is threatened. resisted by using physical force or injuries were unaffected by CED when suspects used or threatened use, while the odds of officer injury to use a weapon. increased about 21 percent with pepper spray use. Combined Agency Analysis Longitudinal Analysis The researchers conducted a com- bined analysis of use-of-force data To see if the introduction of CEDs from 12 large local law enforcement was associated with changes in agencies (including Miami-Dade, injury rates in individual police
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departments, the researchers (CPD) and 35 suspects involved suspects (12 percent) were injured. reviewed monthly reports of in use-of-force situations. Unlike Most suspect injuries were cuts or use-of-force incidents and of the RCSD, the CPD does not abrasions, but there were also two officer and suspect injuries from use CEDs. dog bites, and one suspect was shot police departments in Austin, in the arm after firing at officers. Texas, and Orlando, Fla., both In nine incidents (out of 109), officers before and after the introduction in the RCSD reported that a Taser Suspect Perceptions 3 of CEDs. did not work properly or did not have In 22 cases, researchers interviewed both the officers and the suspects The Orlando data included 4,222 involved in an incident. Suspects incidents from 1998 to 2006 (CED The use of physical often told a different story than the use began in February 2003). The officer who arrested them. In almost Austin data included 6,596 incidents force by officers all cases, suspects said officers used from 2002 to 2006 (CED use was excessive force and that they were phased in beginning in 2003 and increased the odds of not resisting. Some suspects said was completed in June 2004). Use- officers used Tasers early in the inter- of-force cases increased in Orlando officer injury 258 percent. action, and several said the officers after CEDs were deployed, but they seemed to enjoy watching them dropped after full deployment of Not surprisingly, endure the pain. Some suspects said CEDs in Austin. A large drop in injury officers kneed them in the back and rates for suspects and officers alike the odds of officer injury kicked or punched them after they occurred in both cities following were in handcuffs. Some also said CED introduction. also increased when officers used Tasers on them after they were handcuffed. In Orlando, the suspect injury rate suspects resisted by dropped by more than 50 percent compared to the pre-Taser injury using physical force or Implications for Policy, Training rate. In Austin, suspect injury rates when suspects used and Future Research were 30 percent lower after full- CED use is widespread and often scale Taser deployment. or threatened controversial. Based on their find- ings, the researchers involved in this In Orlando, the decline in officer to use a weapon. study made recommendations about injury rates was even greater than whether and how CEDs should fit for suspects, with the average into the range of less-lethal force monthly rate dropping by 60 per- alternatives available to law enforce- cent after Taser adoption. In Austin, ment officers. officer injuries dropped by 25 the desired effect. Researchers percent. received reports of multiple Taser If injury reduction is the primary goal, hits on a suspect (i.e., more than one however, agencies that deploy pep- Interviews with Officers officer using a Taser on a single sus- per spray and CEDs are clearly at an and Suspects pect) and multiple uses of the Taser advantage. Both weapons prevent in drive stun mode (when the Taser or minimize the physical struggles Researchers also collected qualitative is pressed against a suspect rather that are likely to injure officers and data through interviews with officers than firing darts). suspects alike. and suspects involved in use-of-force incidents. Researchers conducted Nine percent of the officers reported The researchers compared injuries interviews with 219 officers from injuries, almost all of which were reported by the RCSD and by the the Richland County Sheriff’s scrapes, cuts or bruises suffered CPD. Most injuries in both agencies Department, 35 officers from the while struggling with resistant sus- occurred when officers and suspects Columbia (S.C.) Police Department pects. Officers also reported that 26 struggled on the ground, but the
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differences between the agencies instances of low-level resistance), in terms of percentage of officers Although both pepper there are also concerns about and suspects injured were striking. spray and CEDs CEDs being used too many times The RCSD deputies, most of whom in a single case. Deaths associated carry Tasers, reported fewer inju- cause pain, they with CED use often involve multiple ries to themselves and suspects CED activations (more than one CED from ground fighting than did CPD reduce injuries; and, at a time) or multiple five-second officers, who do not carry CEDs cycles from a single CED. CED poli- (9 percent and 31 percent, respec- according to current cies should require officers to assess tively). Injuries to suspects caused continued resistance after each stan- by contact with the ground were medical research, dard cycle and should limit use to also lower in RCSD incidents. Some no more than three standard cycles. of the injuries to CPD officers and death or serious Following CED deployment, the sus- suspects might have been prevented pect should be carefully observed had officers used CEDs instead of harm associated for signs of distress and should be hands-on tactics. medically evaluated at the earliest with their use is rare. opportunity. Although both pepper spray and CEDs cause pain, they reduce Directions for Future Research injuries; and, according to current guidance (and consequences) A critical research question is medical research, death or serious to officers regarding when and whether officers can become too harm associated with their use is under what circumstances CEDs reliant on CEDs. During interviews 4 rare. In that sense, both are safe should and should not be used. with officers and trainers, the and similarly effective at reducing researchers heard comments that injuries. The researchers recom- Besides setting the resistance hinted at a “lazy cop syndrome.” mend that both should be allowed threshold appropriately (that is, Some officers may turn to a CED as possible responses to defen- determining the level of suspect too early in an encounter and may sive or higher levels of suspect resistance at which officers should rely on a CED rather than on their resistance. This recommendation be allowed to use CEDs), good conflict resolution skills or even on is followed by most agencies that policies and training would require hands-on applications. responded to a national survey that officers evaluate the age, size, conducted by the Police Executive sex, apparent physical capabilities Another important CED-related 5 Research Forum. and health concerns of a suspect. research project would be a study of In addition, policies and training in-custody deaths involving CED use Policy and Training Issues should prohibit CED use in the and a matched sample of in-custody Related to CEDs presence of flammable liquids or deaths when no CED use occurred. CEDs are rapidly overtaking other in circumstances where falling Advocacy groups argue that CEDs force alternatives. Although the injury would pose unreasonable risks to can cause or contribute to suspect findings suggest that substituting the suspect (e.g., in elevated areas, deaths.6 The subjects in CED experi- CEDs for physical control tactics adjacent to traffic, etc.). Policies mental settings have all been healthy may decrease the chance of injury, and training should address use on people in relatively good physi- their ease of use and popularity suspects who are controlled (e.g., cal condition who were not under among officers raise concerns handcuffed or otherwise restrained) the influence of alcohol or drugs. about overuse. and should either prohibit such use However, not all subjects in actual outright or limit it to clearly defined, cases of CED use would meet exper- CEDs can be used inappropriately. aggravated circumstances. imental requirements of good health. Law enforcement executives can Law enforcement officials typically manage this problem with policies, In addition to the possibility of argue that most, if not all, of the training, monitoring and account- CEDs being used in too many citizens who died when shocked ability systems that provide clear cases (i.e., inappropriately in
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Study Findings: Factors Affecting Injuries
Physical Force Physical force and hands-on con- trol increased the risk of injury to officers and citizens. When con- trolling for the use of CEDs and pepper spray in the multiagency analysis, using force increased the odds of injury to officers by more than 300 percent, and by more than 50 percent to suspects.
Suspect Resistance Increasing levels of suspect resis- tance were associated with an increased risk of injury to officers research may help to explain how Demographic Characteristics and suspects. The increased injury officers choose to use pepper spray The 12-agency analysis showed risk was especially acute for offi- instead of CEDs. that male suspects were twice cers. These findings suggest that as likely to be injured as female officers, rather than suspects, CEDs suspects. In that analysis, the face the most increased injury Except for Richland County, where presence of a male suspect risk when suspects resist more its effects were insignificant, CED slightly increased injury risk to vigorously. use substantially decreased the like- officers. In Seattle, female officers lihood of suspect injury. The analy- were more than twice as likely Pepper Spray sis of 12 agencies and more than to be injured as male officers. In The overall analysis (of 12 agen- 24,000 use-of-force cases showed Miami-Dade and Seattle, where cies) showed that pepper spray that the odds of suspect injury suspect race was available as a use reduced the likelihood of injury decreased when a CED was used. variable for analysis, the odds to suspects. For officers, how- CED adoption by the Orlando and of injury for non-white suspects ever, pepper spray use increased Austin police departments reduced were lower than they were for the likelihood of injury. This find- injuries to suspects and officers white suspects. ing was unexpected, and further over time.
by a CED would have died if the The National Institute of Justice officers had controlled and arrested funded this study. The complete them in a more traditional hands- study is available at http://www. on fashion. Research is needed to ncjrs.gov/pdffiles1/nij/grants/ understand the differences and simi- 231176.pdf. larities in cases where suspects died in police custody, including deaths where a CED may or may not be Philip Bulman is a writer with the involved. National Institute of Justice.
NCJ 233281
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Notes 1. Note that more than one use-of-force tac- tic could be recorded for each incident. Visit NIJ’s Web topic page at http://www.ojp.usdoj.gov/nij/ 2. The other nine agencies included police and sheriff’s departments in Austin, topics/technology/less-lethal/how-ceds-work.htm. Texas; Cincinnati, Ohio; Harris County, Texas; Hillsborough County, Fla.; Los Angeles (both the city and the county); Nashville, Tenn.; Orlando, Fla.; and San CED safety and effectiveness was a topic of discussion at the Antonio, Texas. 2010 NIJ Conference. To listen to the panel, go to http://nij.ncjrs. 3. For a more in-depth description of the gov/multimedia/audio-nijconf2010-ceds.htm. researchers’ approach to their longitudinal analysis, see section 6 of the report, “A Multi-Method Evaluation of Police Use of Force Outcomes.” Available at http://www. ncjrs.gov/pdffiles1/nij/grants/231176.pdf. For more information 4. National Institute of Justice, Study of Deaths Following Electro Muscular ■ Smith, M.R., R.J. Kaminski, G.P. ■ National Institute of Justice, Disruption: Interim Report, Washington, Alpert, L. Fridell, J. MacDonald, DC: National Institute of Justice, June Study of Deaths Following Electro 2008, NCJ 222981, http://www.ncjrs.gov/ and B. Kubu, A Multi-Method Muscular Disruption: Interim pdffiles1/nij/222981.pdf. Evaluation of Police Use of Force Report, Washington, DC: National 5. Details about the national survey can Outcomes, Final report submitted Institute of Justice, June 2008, be found in section 3 of the report. to the National Institute of Justice, NCJ 222981, http://www.ncjrs. 6. Amnesty International, ‘Less Than Washington, DC: National Institute gov/pdffiles1/nij/222981.pdf. Lethal?’ The Use of Stun Weapons in US Law Enforcement, London, England: of Justice, July 2010, NCJ 231176, Amnesty International Publications, 2008, http://www.ncjrs.gov/pdffiles1/nij/ http://www.amnesty.org/en/library/info/ grants/231176.pdf. AMR51/010/2008/en.
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U.S. Department of Justice Office of Justice Programs National Institute of Justice
The National Institute of Justice congratulates recipients of the 2010 Graduate Research Fellowships:
Chanin, Joshua. “Negotiated Justice: The Legal, Administrative, and Policy Implications of ‘Pattern or Practice’ Police Misconduct Reform.” Chaired by Dr. David Rosenbloom; Ph.D. expected August 2011, American University.
Johnson, Lallen. “Journeys to Buy and Sell Illegal Narcotics in Philadelphia Drug Markets.” Chaired by Dr. Jerry Ratcliffe; Ph.D. expected May 2011, Temple University.
Ruther, Matthew. “Immigrant Concentration and Homicide Mortality: A Spatial and Temporal Analysis of the Effects of Ethnic Enclaves.” Chaired by Dr. John MacDonald; Ph.D. expected August 2011, University of Pennsylvania.
Sexton, Lori. “Under the Penal Gaze: An Empirical Examination of Penal Consciousness Among Prison Inmates.” Chaired by Dr. Valerie Jenness; Ph.D. expected June 2012, University of California, Irvine.
Socia, Kelly. “Residence Restriction Legislation and Sex Offender Residential Locations in New York.” Chaired by Dr. Alan Lizotte; Ph.D. expected December 2011, University at Albany, SUNY.
For more information on the Graduate Research Fellowship Program, visit http://www.ojp.usdoj.gov/nij/funding/ graduate-research-fellowship/welcome.htm.
11 Toward a Better Way to Interview Child Victims of Sexual Abuse by Sara Harris
A study tests interview protocols in the hope of getting better case outcomes.
hild protection authorities sub- We have gained considerable knowl- stantiated 68,000 cases of edge in the last two decades about Cchild sexual abuse in 2008, child development, memory and according to the Department of cognition, and researchers have Health and Human Services.1 In developed several techniques for many child sexual abuse cases, there improving the way child victims of is no witness other than the child sexual abuse are interviewed. One and no corroborating evidence — the technique that showed promise in entire case can hang on a child’s rec- a laboratory has now been tested ollection of the alleged abuse. One in the field in Utah's criminal justice way to help avoid false accusations system. The interview protocol was and ensure justice in these cases is developed by the Eunice Kennedy to strengthen law enforcement’s abil- Shriver National Institute of Child ity to elicit accurate information from Health and Human Development children. As the authors of the study (NICHD). The NICHD began devel- discussed in this article note, “The oping its interview protocol in the quality of forensic interviewing prac- 1990s. According to Margaret-Ellen tices is of utmost importance if child Pipe, a member of the team that has victims are to be protected, at the developed and tested the protocol, same time as the rights of the inno- “In the ‘80s people started recog- cent suspects are to be upheld.”2 nizing children could provide reliable
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“The quality of forensic evidence. There had been real skepti- as opposed to answering directed cism prior to that whether you would interviewing practices questions about it, one after another. believe children.” is of utmost importance Evidence indicates open-ended prompts draw out more accurate In an NIJ-funded study, a team of if child victims are to be information than ones that simply researchers led by Pipe investigated elicit a child’s recognition. The tech- how the NICHD protocol might affect protected, at the same niques discourage suggestive leads prosecution outcomes. Their find- or questions with yes/no or either/or ings make it clear that the training time as the rights of answers: “Where were his clothes?” and NICHD protocol elicit more infor- for example, is preferred over, “Were mation from possible victims. The the innocent suspects his clothes on the floor?” findings cannot, of course, deter- mine whether the information is are to be upheld.” Nearly a decade of research con- more accurate — that is, the findings firms that when interviewers follow cannot definitively confirm details of the guidelines outlined in the NICHD what happened. But it is clear that people in its use and, in particular, protocol, children give both more and after the protocol was introduced, how to ensure that interviewers reli- higher-quality information. Their nar- prosecutors accepted more cases; ably acquire and actively use the rative accounts reveal greater detail and more cases that went to trial new skills. Training can raise aware- when the NICHD protocol is imple- resulted in conviction than before ness, Pipe et al. note in their report, mented. the protocol was introduced. but it is important to guarantee that new techniques are adopted as a How the Study Was Conducted The NICHD Protocol matter of practice. The NICHD train- ing model promotes this by providing The study examined the outcomes of The techniques employed by the guidance and feedback for interview- cases before and after police detec- NICHD protocol were designed ers even after training has concluded. tives were trained on the NICHD to integrate advances in scientific Investigative Interview Protocol. The understanding about memory and The NICHD interview protocol 11 detectives in the study performed children’s linguistic and cognitive includes three phases: forensic interviews at the Salt Lake development. County Children’s Justice Center ■ Introductory (CJC), an arm of the Utah Attorney Over the years, various aspects of ■ Rapport-building General’s Office. They were all expe- the NICHD protocol have been evalu- ■ Substantive or free recall rienced in conducting child abuse ated in the field. In fact, the authors investigations and child forensic inter- note, the techniques developed At the beginning of the conversa- views but had never been trained in under the auspices of the NICHD tion, the child and the interviewer the NICHD protocol. The detectives’ constitute the only protocol for foren- discuss expectations and set ground NICHD training took place over sev- sic interviews with children to have rules: this is the introductory phase. eral days, included both simulated been evaluated systematically. “The Interviewers then ask children to and actual forensic interviews, and NICHD protocol has been researched talk about events unrelated to the included ongoing contact and feed- in the field; that’s what sets it apart,” suspected abuse; the idea is to back from the trainers. Pipe said. encourage the child to be comfort- able leading the conversation by Researchers from the City University Training in forensic interviewing tech- developing this rapport. In this phase, of New York, Cambridge University niques often increases interviewer the “child learns the conversational in England, the NICHD and the CJC knowledge without resulting in any rules, because they are different examined 1,280 sexual abuse cases meaningful change in how interview- from many conversations in which between 1994 and 2000 that were ers conduct the interviews.3 NICHD children take part,” Pipe explained. referred to authorities in Salt Lake training is effective in getting inter- County, Utah, and investigated by viewers to use the new information Later, interviewers encourage chil- the 11 detectives. Of the total sam- learned. Studies testing the proto- dren to recall the target incident and ple, these detectives conducted col have examined how best to train talk about it in a narrative stream, 551 interviews before receiving
Toward a Better Way to Interview Child Victims of Sexual Abuse | 13 NIJ JOURNAL / ISSUE NO. 267
Tailoring the Interview for Special Populations
vidence shows the NICHD included in the study (2.8- to 4-year- forum to encourage discussion of Eprotocol is an effective forensic olds). While that rate increased, approaches to forensic interviewing interviewing technique for eliciting children in this age group were still in Native American communities. information from children in general, the least likely to have charges filed Participants with expertise in this but researchers want to know how against the suspect; and when charg- area emphasized how important to develop similar techniques to es were filed, a higher proportion of it is for interviewers to understand be used in a wider range of situa- them were dismissed than in cases the importance of the family and tions. There is now a sufficient body involving older children. ceremonies and to pay attention of research on child interviewing to non-verbal behaviors. Researcher Margaret-Ellen Pipe using the NICHD protocol to see if and her colleagues note that young Sometimes adaptations to the the same methods can be adapted children typically give less complete standard guidelines are a matter for use in other populations that accounts and relay less information of raising awareness among inter- need specialized protocols, such in interviews than older children, viewers about differences among as the youngest victims, particu- requiring interviewers to use more particular groups of children, but the larly reluctant victims, victims with prompts. Of greater concern are need for modifications also suggests developmental disabilities and studies showing that, when com- potential new avenues for research. minority populations. pared with their older counterparts, Interview techniques that are appro- In the Utah study more suspected victims in this age priate to the developing linguistic described elsewhere in group do not reveal abuse in inter- and cognitive abilities of children at this article, researchers views — perhaps because they do younger ages, for example, require hypothesized that the not understand that the information specific approaches researchers NICHD protocol might is significant. Findings suggest they are still developing. This is a particu- increase the rate at might also be more likely to keep a larly urgent message regarding which prosecutors secret when someone asks them children who are more vulnerable filed charges in to. The vulnerability of these chil- to abuse because of age or develop- cases dren is understandable, said Pipe, mental delays. involving the but it “highlights the need to further In addition to tailoring its use to youngest develop protocol for these youngest specific children’s needs, research- suspected suspected victims.” ers also hope to test the use of the victims Professionals in the field also NICHD protocol for a greater variety work to adapt interviewing of investigations. Other research techniques to a variety of cultural efforts in expanding the uses of the environments. In April 2009, the protocol may focus on its applicability Office of Justice Program’s Office to interviews about children’s for Victims of Crime hosted a Web exposure to family violence.
Read the April 2009 OVC Web Forum on Forensic Interviewing in Tribal Communities at http://ovc.ncjrs.gov/ovcproviderforum/asp/sub.asp?Topic_ID=117.
training on the NICHD protocol and Among the cases of alleged abuse reviewed. Detectives interviewed 729 after they had implemented the that the researchers reviewed, children between the ages of 2 and protocol. The same detectives, pros- nearly 60 percent involved improper 14 and then presented their evidence ecutors and judges who handled touching and 5 percent were charac- to the district attorney, who decided the cases were used throughout terized by exposure; penetration was whether or not to prosecute.5 the study period.4 alleged in 35 percent of the cases
14 | Toward a Better Way to Interview Child Victims of Sexual Abuse NIJ JOURNAL / ISSUE NO. 267
Impact of Using the Table 1. Case Outcome by Interview Type Interview Protocol Pre-Protocol Protocol Researchers compared the out- Total 551 729 comes of the cases that used the interview protocol with cases that Cases accepted for prosecution 198 (35.9%) 315 (43.2%) did not. They found that after local Cases with plea agreements 160 (80.8%) 255 (81%) detectives adopted the NICHD Pled guilty 105 (53%) 177 (56.2%) interview protocol, the percentage Reduced 52 (26.3%) 76 (24.1%) of investigated cases in which the Cases with charges dismissed 15 (7.5%) 36 (11.4%) district attorney filed charges rose Cases that went to trial 13 (6.6%) 17 (5.4%) from 45 percent to over 54 percent. Not guilty verdict 6 (3%) 1 (0.3%) Furthermore, these cases held up as Guilty verdict 7 (3.5%) 16 (5.1%) they progressed through the system. (Cases that were diverted or were active/had no outcome information available were omitted from this table.) Although the number of cases that went to trial was small — 30 of a total of 513 cases in which charges cases respectively). For children in the use of open-ended prompts and were filed — 94 percent of those this age group, the rate at which other methods that encourage a prosecuted after implementation of prosecutors filed charges rose from child’s free recall elicit more accurate the NICHD protocol resulted in con- 42 percent before to 64 percent after details than more focused prompts viction (16 of 17 cases), compared detectives were trained. — ultimately, the kind of details with 54 percent before its introduc- on which investigators build their tion (7 of 13 cases). In the majority Given the nature of testing an inter- case. These techniques have proven of cases, both before and after the view protocol in the field, results like effective at getting better informa- NICHD protocol was implemented, those in this study cannot definitively tion from preschoolers, elementary a plea agreement was reached. Of determine whether or not a proto- school children and teenagers alike. those, 81 percent led to a guilty plea col elicits more complete or accurate The evidence-based nature of the on one or more charges. See Table 1 information from children; there is NICHD protocol lends credence to for more details on case outcome. usually no way for researchers to the researchers’ assertion that, when know with absolute certainty if the employed by well-trained interview- While the percentage of cases in alleged sexual abuse occurred. ers, the protocol likely improves the which charges were filed increased detail and accuracy of information for three of the four age groups after Previous studies have established elicited from children in most age the protocol was implemented, the that use of the NICHD protocol groups during forensic interviews impact of the protocol was strongest increases the amount of information and positively affects case outcome. in cases in which the children were children report with little or no inter- between 7 and 9 years old. This age viewer input, a core feature of the group accounted for approximately NICHD protocol. There is a significant Sara Harris is a writer at Palladian 26 percent of the pre-protocol and body of research demonstrating that Partners, Inc. post-protocol samples (135 and 167 interview techniques emphasizing NCJ 233282
Notes 1. U.S. Department of Health and Human Final report for the National Institute Investigative Interview Protocol,” Child Services, Administration for Children and of Justice, Washington, DC: National Abuse & Neglect 31 (2007): 1201-1231. Families, Administration on Children, Institute of Justice, November 2008, 4. The judges and prosecutors were likely Youth and Families, Children’s Bureau, NCJ 224524, http://www.ncjrs.gov/ aware that the detectives received new Child Maltreatment 2008, Washington, pdffiles1/nij/grants/224524.pdf. training on a forensic interview protocol. DC: U.S. Government Printing Office, 3. Lamb, M., Y. Orbach, I. Hershkowitz, 5. The study divided the children into four 2010, http://www.acf.hhs.gov/programs/ P. Esplin, and D. Horowitz, “Structured cb/pubs/cm08/cm08.pdf. age groups: 2- to 4-year-olds; 5- to 6-year- Forensic Interview Protocols Improve olds; 7- to 9-year-olds; and 10- to 13-year- 2. Pipe, M., Y. Orbach, M. Lamb, C. Abbott, the Quality and Informativeness of olds. The youngest child in the study and H. Stewart, Do Best Practice Investigative Interviews with Children: was 2.80 years old; the oldest was Interviews with Child Sexual Abuse A Review of Research Using the NICHD 13.97 years old. Victims Influence Case Outcomes?,
Toward a Better Way to Interview Child Victims of Sexual Abuse | 15 In Brief
60 55 5 50 10
Block by Block: Zeroing in on Crime Trends by Philip Bulman
Hot spot policing drills down to the micro-level.
olice and researchers have was whether or not social disorganiza- they identified as a type of opportu- long focused on crime at the tion and crime opportunity hot spots nity theory. Routine activity theory Pneighborhood and precinct lev- coincided with, and could explain, suggests that crime occurs when a els. More recently, law enforcement known crime hot spots. motivated offender, a suitable target agencies have been finding that iden- and the lack of a capable guardian tifying and focusing on “hot spots” Social disorganization theory is converge in the same place at the is a fruitful approach to crime preven- based on the idea that relationships same time.2 Criminals choose or find tion. A new study shows that it may among people and institutions within their targets within the context of be even more effective to take such an ecological unit (like a neighbor- their routine activities, such as travel- approaches down to the level of indi- hood) are generally organized. When ing to and from work. vidual city blocks. they become disorganized due to the absence or breakdown of certain Where Crime Really Happens Researchers studied block-by-block communal and social characteristics crime incidents in Seattle from 1989 (such as supervision of teenagers, Concentration of Crime at Place to 2004. They identified 24,023 physical order and engagement in The study confirmed prior research “street segments” (the streets at community affairs), crime is more showing that in urban areas crime is 1 both sides of an intersection) and likely to occur. The theory is usually highly concentrated in specific places 1,697,212 crime reports. They found applied at the neighborhood or com- and that most places have little or that crime rates declined in Seattle as munity level. The researchers in this no crime. Researchers found that 50 a whole during the study period (as study were interested in seeing if it percent of the crime occurred in just they did in many American cities) but could be meaningfully applied to an 5-6 percent of the blocks. One per- that at the micro-level of city blocks, even smaller unit — the street seg- cent of the blocks with chronically crime trends could vary from city- ment. In particular, they wanted to high crime rates accounted for more wide and even neighborhood trends. know if the characteristics of social than 20 percent of all crime incidents disorder varied systematically at that in the city. Additionally, some areas The research team also assembled level and if this variation was related that had been labeled as bad neigh- block-level information to answer two to concentrations of crime. borhoods had high crime rates only research questions related to social on certain blocks — but other blocks disorganization theory and opportu- Opportunity theories of crime sug- in the same neighborhood had little nity theories of crime. The first was gest that when offenders want to or no crime. whether or not hot spots of social commit a crime, they look for an disorganization and crime oppor- opportunity or a practical target. The The researchers also found that tunities existed and varied at the researchers examined, among other crime trends were largely stable — street-segment level. The second things, routine activity theory, which that is, most blocks had the same
16 NIJ JOURNAL / ISSUE NO. 267
crime rate throughout the study these hot spots were likely to have rather than spread them across period. Some were free of crime high concentrations of crime. That an entire neighborhood. This means for years at a stretch, while oth- is, social disorganization and crime that they can potentially achieve the ers had chronically high crime rates. opportunity hot spots overlapped same level of crime prevention with However, the researchers also found with crime hot spots. In many cases, a smaller number of targets. evidence of changing crime rates in street-level variation in key theoreti- some places. cal measurements of place — such Additionally, the research findings as motivated offenders, suitable regarding social disorganization and Distribution of Social targets, accessibility (opportunity opportunity theories can help direct Disorganization and theory) and truancy and physical dis- law enforcement efforts. Particular Opportunity Across Places order (social disorganization theory) social and physical characteris- The geographic picture that emerged — could explain why crime patterns tics from both theories were highly showed hot spots of social disorgani- developed differently among street correlated with crime at the street- zation and crime opportunities at the segments within a single neighbor- segment level. By focusing on the street-segment level. For example, hood. The researchers noted that characteristics that had strong pre- 50 percent of truant students lived on perhaps the most important find- dictive power for crime at street only 2-3.5 percent of the more than ing of their work was that crime at segments, law enforcement can 24,000 blocks included in the study. street segments is highly predictable craft carefully focused interventions (Student truancy is a measure of and that the factors from social dis- targeting particular streets rather than social disorganization.) Similarly, more organization and opportunity theories entire neighborhoods. than 50 percent of the physical disor- can be used to develop a very strong der reports occurred on 1.5-3 percent level of crime prediction. The study was conducted by of the blocks. These blocks were David Weisburd of George Mason spread throughout the city rather Preventing Crime Block by Block University and Hebrew University, than being clustered together. Elizabeth R. Groff of Temple The study could have important University, and Sue-Ming Yang of The researchers similarly found that implications for crime prevention Georgia State University. NIJ funded measures of routine activity theory, policy. The researchers pointed out the research. The researchers will such as the presence of potential that crime prevention efforts aimed detail the complete findings in a offenders and potential victims (crime at entire neighborhoods or groups forthcoming volume to be published opportunities), were concentrated of neighborhoods are not efficient by Oxford University Press. on a small percentage of street seg- uses of limited police resources, ments. For the purpose of the study, because most crime is concentrated researchers defined “motivated in a small percentage of street seg- Philip Bulman is a writer with the offenders” as the high-risk juve- ments. If law enforcement agencies National Institute of Justice. nile population on a street segment. can identify street segments with They found that half of the high-risk high crime rates, they can direct NCJ 233283 juveniles lived on 3-4 percent of the resources toward those places blocks. Half of all employees (used by researchers as a stand-in for suit- able targets) worked on less than 1 percent of the blocks. Like the social Notes Visit NIJ’s Web topic page on hot 1. Kubrin, C., and R. Weitzer, “New disorder hot spots, crime opportunity spots: http://www.ojp.usdoj.gov/nij/ Directions in Social Disorganization hot spots were not clustered in spe- topics/law-enforcement/hot-spot- cific neighborhoods but instead were Theory,” Journal of Research in Crime and Delinquency 40 policing/welcome.htm. found throughout the city. (November 2003): 374-402. 2. Sherman, L.W., P.R. Gartin, and M.E. To watch an interview with David Correlates of Crime at Place Buerger, “Hot Spots of Predatory Weisburd, go to: http://www.ojp. Researchers found not only that hot Crime: Routine Activities and the usdoj.gov/nij/journals/media.htm. spots of social disorganization and Criminology of Place,” Criminology crime opportunities existed at the 27 (February 1989): 27-56. street-segment level but also that
IN BRIEF: Block by Block: Zeroing in on Crime Trends | 17 Solving the Problem of Untested Evidence in Sexual Assaults by Nancy Ritter
NIJ’s forthcoming special report, The Road Ahead: Unanalyzed Evidence in Sexual Assault Cases, looks into ways to move sexual assault kits forward.
ately it seems that, every few envelope used to collect and store months, thousands of untested biological and trace evidence in Lrape kits are discovered in cases of alleged sexual assault. SAKs another police evidence room generally include vaginal, oral or anal around the country: 10,000 in Los swabs that, upon testing, may yield Angeles; 12,000 in Dallas; 10,500 the perpetrator’s DNA. in Detroit. Untested SAKs can be stored in a For resource-strapped jurisdictions number of places, such as a police dealing with the discovery of large department evidence room, crime numbers of older, unanalyzed sexual laboratory, hospital, clinic or rape- assault kits (SAKs), the solutions are crisis center. It is unknown how anything but straightforward. Every many unanalyzed SAKs there are stakeholder in the nation’s criminal across the United States. justice system is affected: police and crime laboratories, courts, vic- As a nation, we need to understand tim-service agencies, federal, state more about how law enforcement and local policymakers, and, of officials decide whether or not to course, the victims. submit SAKs to the crime laboratory for analysis and how cases are A rape kit — more accurately called triaged for other investigation (i.e., a sexual assault kit — is a box or in which order are cases submitted
18 NIJ JOURNAL / ISSUE NO. 267
As a nation, we need to for investigation, if at all, and on probative evidence or only if a what criteria). In October 2010, understand more about DNA profile is determined? Should NIJ issued an “action-research” she be notified only if the rapist’s solicitation to better understand how law enforcement identity is revealed through a CODIS why so many SAKs are not for- hit? What if the suspect is not in warded from police evidence rooms officials decide whether CODIS, but the police issue a John to crime laboratories and to develop Doe warrant? innovative approaches to solve the or not to submit SAKs to problem. In phase one, NIJ will At first blush, it may seem that there award up to $200,000 to each of the crime laboratory for is no question that sexual assault three to five sites for the creation victims should be notified at some of teams; these teams will include analysis and how cases point in the process. After all, why a criminal justice researcher and wouldn’t a victim want to know representatives from the police are triaged for other if DNA analysis of evidence from department, the crime laboratory, investigation. a rape when she was a college prosecutor’s office and a community- freshman had — 20 years later — based victim services organization. revealed the rapist’s identity? The teams will first audit untested SAKs in their jurisdiction to deter- were uploaded to the Combined Experts say there could be as many mine why the cases were not sent DNA Index System (CODIS) and answers to that question as there are to the laboratory. Then they will resulted in a hit to other crimes or victims. What if the victim, now 38 develop a plan to tackle the prob- offenders. Results of the study are years old, never told her husband or lem. In phase two of the project, expected in 2011. 15-year-old daughter about the rape? NIJ hopes to award up to a total What if she has had years of coun- of $4 million to help the selected Technological advancements in seling and moved past it? Beyond sites implement their plans. DNA analysis are also likely to play simply being notified at one step or a major role in testing older SAKs. another in the criminal justice pro- Understanding the Evidence In Georgia, for example, the state cess, does the victim get a say in crime laboratory first tests evidence whether or not her case moves from One of the primary questions that to determine if male DNA is present; the police evidence room to the labo- must be answered, with empirical and, if it is not, the laboratory doesn’t ratory, or from the prosecutor’s office evidence, is this: Should all previously proceed with the full, time-consuming to the courtroom? untested SAKs be tested — even kits analysis that would develop an actual that may be 25 years old? DNA profile. Victim safety is also a factor in the notification issue. Victim advocates To answer this question, it is impor- Victim Notification warn that a victim of past rape could tant to understand the evidence be living in a domestic violence situa- itself. On average, only an estimated Whether a jurisdiction with a large tion, and contact by the police could 50 to 60 percent of SAKs contain number of previously untested SAKs act as a violence trigger in her cur- biological material that does not decides to test all or only some rent partner. In addition, they note, belong to the victim, and that per- of the kits, notifying the victims is victims who are told that an unsolved centage is much lower in some an important part of the process. crime may now be investigated may parts of the country. Determining best practices for doing suddenly feel threatened again by this, however, will not be easy. the rapist. To shed more light on this issue, NIJ is currently funding research- When, for example, should the Post-testing: The Domino Effect ers at California State University, Los victim be notified? When her Angeles, to study a random sample unanalyzed SAK has been located Beyond the notification of victims of Los Angeles cases. The research- after many years? When the kit is and decisions regarding the forensic ers will look at data, such as the sent to the laboratory for analysis? testing of recently discovered SAKs, percentage of SAKs that yielded a Should the victim be notified even there are major implications for DNA profile and the percentage that if analysis reveals that there is no downstream partners in the criminal
Solving the Problem of Untested Evidence in Sexual Assaults | 19 NIJ JOURNAL / ISSUE NO. 267
■ If an investigation results in a sus- system are the victims. Delays in Delays in evidence pect, how will already overworked evidence being sent to a laboratory being sent to a laboratory prosecutors and public defenders — as well as delays in analyzing handle additional cases? evidence — result in delays in justice. — as well as delays in In worst-case scenarios, such delays Jurisdictions facing the discovery of can lead to additional victimization analyzing evidence — a large number of older SAKs must by serial offenders or the incarcera- also consider what their testing pol- tion of people wrongly convicted of result in delays in justice. icy will be if the statute of limitations a crime. in a case has been reached. If a case can’t be prosecuted because the As the nation grapples with the dis- deadline for filing has passed, is it a covery of thousands of older SAKs, justice system. Some questions wise use of resources to have the it is crucial that we balance justice, jurisdictions might face include: SAK evidence tested? The answer public safety and victims’ needs. In is not as obvious as it may seem. the end, our goal must be to move ■ Where will the resources come beyond the crisis management of from as already-strapped police Some proponents of testing all SAKs the moment to the adoption of sys- departments and crime laborato- argue that, even if a case can’t be tematic practices, procedures and ries receive additional demands for prosecuted, the evidence should protocols that will prevent such follow-up investigations and DNA nevertheless be tested to determine situations from ever arising again. analysis? if the rapist might have committed other rapes. Evidence of prior, ■ What protocols will a police depart- unadjudicated sexual assaults may Nancy Ritter is a writer with the ment follow, for example, when be considered in the sentencing National Institute of Justice. testing yields a DNA profile but it of a rapist. does not match a profile in CODIS or a local database? Will a John Ultimately, at the heart of this lat- NCJ 233284 Doe warrant be issued? est challenge for our criminal justice
Resources
■ To learn more about funding ■ To read the story of one man’s prevention/action-research- challenges for public crime exoneration after a wrongful model.htm. laboratories, see 2007 DNA conviction, see http://www.ojp. ■ In May 2010, the U.S. Evidence and Offender Analysis usdoj.gov/nij/journals/262/ Department of Justice brought Measurement: DNA Backlogs, one-mans-story.htm. sexual assault nurse examin- Capacity and Funding, http:// ■ To read about NIJ-funded research ers, crime laboratory directors, www.ncjrs.gov/pdffiles1/nij/ on extending the period of time to cold case detectives, prosecu- grants/230328.pdf. obtain a possible DNA profile after tors and victim advocates to ■ To learn more about evidence a sexual assault, see “Extending Washington, D.C., to discuss in police custody that is not the Time Available to Collect DNA the challenges surrounding sent to a crime laboratory, see in Sexual Assault Cases” (issue untested evidence in sexual http://www.ojp.usdoj.gov/nij/ 267), http://www.ojp.usdoj.gov/nij/ assault kits. A full report of the journals/266/untested.htm. The journals/267/extending.htm. meeting is available at http:// full report is available at http:// www.ovw.usdoj.gov/docs/ ■ To learn more about action www.ncjrs.gov/pdffiles1/nij/ rape-kit-roundtable-summary- research, see http://www.ojp. grants/228415.pdf. 10262010.pdf. gov/nij/topics/crime/gun-violence/
20 | Solving the Problem of Untested Evidence in Sexual Assaults NIJ JOURNAL / ISSUE NO. 267
Harvard Executive Session Law enforcement methods, technologies and priorities evolve to meet a changing world.
The second Executive Session and Measuring Value in Policing, on Policing and Public Safety George Gascón and Todd is a forum for experts to debate Foglesong, December 2010. and discuss the issues of the day and how law enforcement ■ The Changing Environment for will continue to change in the Policing, 1985-2010, David H. future. The Executive Session Bayley and Christine Nixon, is a collaboration between NIJ September 2010. and Harvard’s Kennedy School ■ One Week in Heron City: A Case of Government. Study, Malcolm K. Sparrow, The first Executive Session on September 2009. Policing and Public Safety took place in the 1980s and produced At least six more papers discuss- products and concepts that ing the issues and potential solutions revolutionized the field, such that will help in the ever-changing as community policing. policing environment are expected.
The second Executive Session has now published several papers, including:
■ Police Science: Toward a ■ Learn more about the Executive Sessions and read papers from New Paradigm, David Weisburd the second Executive Session: http://www.ojp.usdoj.gov/nij/ and Peter Neyroud, January topics/law-enforcement/administration/executive-sessions/ 2011. welcome.htm. ■ Read the papers from the original Executive Session: http:// ■ Governing Science, Malcolm K. www.ojp.usdoj.gov/nij/topics/law-enforcement/administration/ Sparrow, January 2011. executive-sessions/past.htm#papers.
■ Making Policing More ■ For additional information, visit Harvard’s website: http://www. Affordable: Managing Costs hks.harvard.edu/criminaljustice/executive_sessions/policing.htm.
21 Extending the Time to Collect DNA in Sexual Assault Cases by Terry Taylor
New research offers hope for extending the timeline for collecting samples suitable for DNA profiling in sexual assault cases.
NA profiling plays a major role Dr. Jack Ballantyne, professor of in sexual assault cases, but chemistry at the University of Central Dit has a significant shortcom- Florida in Orlando and an interna- ing: Using the current standard DNA tionally recognized expert on DNA profiling method, many jurisdictions profiling, believes that real evidence require the collection of evidentiary is being lost because of some juris- samples within three days of the dictions’ adherence to the three-day assault. After that, it may become window.1 Ballantyne believes that difficult to obtain a usable DNA new techniques may make it possi- profile of the male suspect. ble to collect samples for as long as five to six days after a sexual assault What if we could extend the window and still do viable analysis. of time for collecting evidence? A DNA profile is a set of numbers We know that sperm cells are found that represent regions, or loci, of in the female reproductive tract variable, repeated DNA sequences. for seven days after ejaculation or Short sequences of DNA that repeat longer. Researchers are testing a a number of times are known as hypothesis that may extend the short tandem repeats (STRs). The length of time in which DNA profiling number of times a sequence repeats is possible in sexual assault cases. varies from person to person and,
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except in the case of identical twins, process and laboratory analysis is DNA, which has little overlap with this variability can be used to tell peo- extremely difficult. (See sidebar, female DNA. As long as the quan- ple apart. STR analysis is a forensic “New Technologies Promise Better tity of male DNA is sufficient, the technique that develops and distin- Future Results.”) amount of female DNA present is guishes DNA profiles by evaluating not a problem. these regions. An approach that has shown promise in solving both of these difficulties Ballantyne is quick to caution that Most DNA is located in the nucleus is called Y-STR analysis, based Y-STR profiling “cannot supplant of the cell. Within the nucleus, on the male Y chromosome. An autosomal DNA profiling.” Y-STR DNA is divided into long, tightly profiles do not have the statistical coiled pieces called chromosomes. power of autosomal STR profiles Humans have 23 pairs of chro- Using the current and therefore do not carry the same mosomes. Of these, 22 pairs are power to discriminate among indi- autosomal chromosomes (or auto- standard DNA viduals. In many cases, scientists are somes), which are not involved in unable to obtain a DNA profile based determining a person’s sex. The profiling method, on Y chromosome DNA, and only other pair are sex-determining a few Y-STR systems are currently chromosomes. There are two types many jurisdictions available for use.4 of sex chromosomes – X chromo- somes and Y chromosomes. Women require the collection The likelihood of obtaining an autoso- have two X chromosomes; men mal DNA profile, however, is small in have one X chromosome and of evidentiary samples several situations: one Y chromosome. (See Fig. 1, page 25.) within three days ■ When a sample contains both male and female body fluids other than STR analysis is traditionally per- of the assault. After semen (e.g., saliva-saliva, saliva- formed on autosomes because the vaginal fluids, fingernail scrapings). manner in which they are inherited that, it may become ■ When the number of sperm is low, results in a higher degree of variation or they are in a fragile state. than Y chromosomes and thus pro- difficult to obtain a duces profiles that have far stronger ■ When there is more than one statistical power.2 (See sidebar, usable DNA profile semen donor, as in cases of “STR Analysis.”) of the male suspect. multiple perpetrator rape. The standard DNA profiling technique Ballantyne and his colleagues con- of using STR analysis, however, tinue their work to increase the has shortcomings. One, as men- number of Y-STR systems, but other tioned above, is that it is difficult NIJ-funded pilot study of Y-STR than adding more Y-STR loci to the to obtain a DNA profile using STR DNA profiling by Ballantyne and his analysis, little can be done to change analysis more than three days after colleagues offered hope for a solu- Y chromosome DNA’s relative lack a sexual assault. tion to the problem of analyzing of power to distinguish individuals — postcoital samples collected more the greatest weakness of this type A second shortcoming of current than three days after the incident.3 of DNA profiling. DNA profiling techniques is the His team was able to obtain com- inability to get a male profile when plete Y-STR profiles on samples Still, Y-STR profiling is sometimes — in evidence collected after an collected as many as five days the only option available.5 alleged sexual assault — female after coitus and a partial profile cells vastly outnumber the avail- at six days. Because their pilot study involved able sperm cells. In such cases, the collection of postcoital samples from amount of the female’s DNA is so Y-STR analysis also helps solve only three consenting male-female great compared to the male’s DNA the swamping problem because couples, Ballantyne and his team that the female DNA swamps the it is selective for Y chromosome
Extending the Time to Collect DNA in Sexual Assault Cases | 23 NIJ JOURNAL / ISSUE NO. 267
STR Analysis
he most common type to aggregate will fail. Likewise, a person’s identity because the Tof DNA profiling today for a protein with the wrong sequence likelihood of two unrelated people criminal cases and other types of amino acids often won’t function. having the same number of repeated of forensic uses is called “STR” (This analogy fails to capture the sequences in these regions becomes (short tandem repeat) analysis. complexity of the DNA-protein sys- increasingly small as more regions tem, however, because proteins are are analyzed. Using DNA to distinguish between not only the “bricks” and “timber.” two individuals is a tricky mat- Some “read” the “blueprint” and Autosomal chromosomes are those ter, because close to 99.9 per- supervise the building, others are not involved in determining a per- cent of our DNA is the same as the “bricklayers” and “carpenters,” son’s gender, and STRs on these everybody else’s DNA.1 DNA that and still others maintain and keep chromosomes are called autosomal actually codes for proteins can- the house functioning after it is built.) STRs. Other STRs used for forensic not vary much without rendering Non-functional or missing proteins purposes are called Y-STRs, which the proteins ineffective. The four are the basis for many genetic dis- are derived solely from the male sex- nucleotide bases that make up eases. Useful differences in the DNA determining Y chromosome. Profiles the backbone of DNA provide must be found in the remaining one- based on autosomal STRs provide far instructions for assembling the tenth of one percent, which is not stronger statistical power than pro- amino acids in proteins by being known to code for anything specific. files based on Y-STRs, because auto- in a precise sequence, with each Because this section of the DNA’s somal DNA is randomly exchanged three-base group coding for a precise sequence is not so impor- between matched pairs of chromo- specific amino acid. If that DNA tant, it is quite variable, which makes somes in the process of making egg base sequence is altered (or it possible to use DNA to distinguish and sperm cells. That’s how, with “mutated,” as scientists generally between individuals. billions of humans on the planet, say), the sequence of amino acids no two people who are not identi- in the resulting protein can also Among the 3 million or so DNA cal twins are exactly alike. Profiles be altered. As a result, because bases that do not code for proteins based on Y-STRs are statistically protein function derives from a are regions with multiple copies of weaker because only males have specific amino acid sequence, short repeating sequences of these a Y chromosome and all males get the protein may not work. bases, which make up the DNA theirs from their fathers, so all males backbone (for example, TATT).* in any paternal line have nearly identi- Think of DNA as the “blueprint” These sequences repeat a variable cal Y chromosomes. Given enough for a house and proteins as the number of times in different individu- Y-STRs, which scientists call loci, steel, timber, bricks and mortar, als. Such regions are called “variable- a Y-STR profile can offer substan- from which the house will be built. number short tandem repeats,” and tial power to discriminate between A brick that is mostly sand instead they are the basis of STR analysis. A individuals, but this type of profile of clay will crumble, and mortar collection of these can give nearly is certainly not as powerful as an with the wrong ratio of cement irrefutable evidence statistically of autosomal STR profile.
plan to add statistical power to professor of nursing at the University what we can do and with whom,” their experimental evidence with of Tennessee Health Science Center Speck explained. The large study a new NIJ-funded study that will College of Nursing in Memphis. aims to expand knowledge about include 150 consenting male-female the limits of DNA profiling in sexual couples. His co-principal investiga- “Given the variables in the collec- assault cases. The study will exam- tor is Dr. Patricia M. Speck, associate tion of samples, we don’t know ine the impact of a number of factors
24 | Extending the Time to Collect DNA in Sexual Assault Cases NIJ JOURNAL / ISSUE NO. 267
In the United States, 13 autosomal STR loci are now accepted as the Figure 1. Human Chromosomes system used for forensic purposes.2 Given a robust crime scene DNA sample with good data for all 13 STRs, the likelihood of a person unrelated to the actual perpetrator having a perfect match for all 13 is typically around 1 in 1 billion. By con- trast, experimental work with a very robust set of 30 Y-STR loci showed 12354 a probability of about 1 in 50,000 for a perfect match.3
* TATT stands for a specific string of nucleotide bases, thymine-adenine- thymine-thymine. Thymine and ade- nine are two of the four bases 67 819 01112 frequently found in DNA. The other two are cytosine (C) and guanine (G).
Notes 13 14 15 16 17 18 1. Basics of DNA Typing. http://dna.gov/ basics/ (accessed July 7, 2010). 2. Norrgard, K., “Forensics, DNA Fingerprinting, and CODIS,” Nature Education 1(1) (2008): http://www. nature.com/scitable/topicpage/ 19 20 21 22 XY forensics-dna-fingerprinting-and- codis-736. Humans have 23 pairs of chromosomes – 22 pairs of autosomes and one pair 3. Hanson, E., and J. Ballantyne, “A of chromosomes that determine gender (the X and Y chromosomes). Highly Discriminating 21 Locus Y-STR ‘Megaplex’ System Designed to Augment the Minimal Haplotype Loci for Forensic Casework,” Journal of Forensic Sciences 49 (January 2004): 1-12.
— from sampling timeline to men- have abstained from sexual inter- episode. The collection process struation cycle — on the ability of course for 10 days, they will engage will also include a cervical sample investigators to obtain a DNA profile. in unprotected intercourse, and vagi- because sperm cells live longer in To ensure rigorous, uniform meth- nal samples will be collected at 4, 7 the cervix than in the vagina, where ods, qualified forensic nurses will and 9 days, with each collection fol- they are quickly eliminated. collect all samples. After the couples lowing a new unprotected coitus
Extending the Time to Collect DNA in Sexual Assault Cases | 25 NIJ JOURNAL / ISSUE NO. 267
New Technologies Promise Better Future Results
routine difficulty encoun- A tered in producing autoso- mal DNA profiles in rape cases is obtaining enough sperm cells for the analysis. Cells can be dam- aged or degraded due to time, or simply stuck to epithelial cells (those that line the cavities and structures of the body, such as the vagina), making it difficult to carry out a standard autosomal STR analysis. cells from female epithelial cells cells to pass through and A session at the 2010 NIJ Annual (or other contaminants) before be drawn off separately. Conference highlighted two prom- micro-dissection to obtain DNA, Experiments testing this applica- ising technologies for enhancing enhancing the resulting STR analy- tion of the system have success- the separation of sperm cells ses. The system is simple to use, fully separated sperm cells in from other cells in a mixed sam- provides visual confirmation of the mixtures where they were out- ple. Gary Stacey, vice president process as it proceeds and allows numbered 25 to 1, with a higher of technology at Haemonetics video data tracking. DNA recovery rate and cleaner Corporation, presented a tech- STR profiles than are obtained nique called holographic opti- Henry K. Lin, a member of the with standard methods. The cal trapping (HOT). HOT is an Biosciences Division, of the Oak investigators intend to continue automated system now com- Ridge National Laboratory, discussed this research with epithelial cell-to- mercially available from Arryx, a a microfabricated filter technology sperm cell ratios up to 100 to 1. Haemonetics subsidiary. This sys- originally developed to separate met- tem allows small particles, such astatic cancer cells from the blood. Ballantyne explained the impor- as sperm cells or cell fragments, Because sperm cells are substantially tance of such research: “If we can to be directly manipulated using smaller than the female epithelial separate sperm cells accurately a computer-controlled hologram cells with which they are likely to be and efficiently in challenging sam- array. Stacey showed video and mixed in rape cases, this two-tier ples, it will permit standard autoso- presented data offering evidence filtration process first selects out mal DNA analysis in more cases. that HOT can separate sperm the larger cells, allowing the sperm This will be a great move forward.”
Participants in the study will also collection, participants will be divided “The variables are complex and be asked questions about their between women whose sample col- potentially confounding,” Speck said. menstrual cycle, general health lection comes before menstruation An open question is whether estro- background and various social indica- and women whose menstruation has gen protects from injury. “Knowing tors. To help answer questions about started between the episode of inter- this could be important to testimony the effects of menstruation on DNA course and the sample collection. about injury in a sexual assault case
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because where the woman is in her that more than 50 percent of the menstrual cycle at the time of the samples yield a reportable DNA The important thing event could play a role in whether profile after four days, it would is to develop she is physically injured.” have important policy implications. It won’t be just a report in a scientific interventions that According to Ballantyne, another journal.” possible aim of the study will be will help victims. to document exactly when autoso- Speck agrees: “This study could mal DNA analysis fails. At seven have the effect of changing the “The bottom line is, or nine days, the current consensus timeframe for bringing victims in, is that there is no hope for an autoso- or it could confirm cutting off sam- we want to take mal STR profile. “If we successfully ple collection earlier.” The important obtain a Y-STR profile with a sam- thing is to develop interventions rapists off the street.” ple collected seven or nine days that will help victims. “The bottom later, we can perhaps use the exper- line is,” she said, “we want to take tise we have gained to also tease rapists off the street.” out an autosomal profile,” Ballantyne explains. “We’ll be more certain whether or not it should be a routine Terry Taylor is a senior science writer matter to collect samples more and editor at Palladian Partners, Inc. than a few days after the assault. For example, if the study shows NCJ 233285
Notes 1. The three-day window may be in part from the parent. In the mother, the X Postcoital Cervicovaginal Samples,” due to the jurisdiction’s protocol, the chromosome pair also goes through Journal of Forensic Sciences 53 laboratory’s protocol or both. recombination, just like autosomes, (March 2008): 342-348. and the mixed X chromosome is 2. For each of their 22 pairs of auto- 4. A collection of Y-STR markers or passed on to the son or daughter. somes, children inherit one autoso- Y-STR loci (see sidebar, “STR Because men only have one X chro- mal chromosome from each parent. Analysis”) must be discovered mosome, recombination does not The autosomes the child receives, and validated as useful before it occur and they pass their X chromo- however, are not identical to their can be used as a Y-STR system some on unchanged to their daugh- parents’ autosomes — before a par- for DNA profiling. ters. Similarly, because men only ent passes on his or her autosomes, have one Y chromosome, it is passed 5. In addition to its usefulness in sexual each pair goes through a process unchanged to their sons. assault cases, investigators might called recombination, which ran- be able to identify a disaster victim domly shuffles that pair. The mixed 3. Mayntz-Press, K., L. Sims, A. Hall, using the Y-STR profile of a close autosome produced by that process and J. Ballantyne, “Y-STR Profiling male relative. is what gets passed on to the child in Extended Interval (≥ 3 Days)
Extending the Time to Collect DNA in Sexual Assault Cases | 27 Minimizing the Risks of Hazardous Materials: The CBRN Standard by Philip Bulman
NIJ’s new ensemble standard is designed to meet the special needs of law enforcement officers.
he National Institute of Justice Standards already exist for CBRN has released a new perfor- ensembles for firefighters, but they Tmance standard for the protec- do not address the unique needs of tive ensembles that law enforce- law enforcement. Unlike firefighters, ment officers wear when they risk law enforcement officers may need exposure to dangerous chemical, bio- to use stealth when approaching a logical, radiological or nuclear (CBRN) potential crime scene. They must substances. The CBRN standard is be able to handle firearms and other the first of its kind to address the equipment. Finally, officers need to specific needs of law enforcement. be able to put on or take off protec- tive ensembles, which include suits, Law enforcement officers can gloves and foot protection, within encounter a variety of potentially a short time frame. The new stan- dangerous scenarios in their day- dard, designed specifically for law to-day jobs. They might enter enforcement officers, accommo- suspected methamphetamine dates these needs. laboratories, which can contain toxic fumes and chemicals, or be The CBRN Protective Ensemble called to investigate possible terror- Standard for Law Enforcement, ist attacks involving the deliberate NIJ Standard 0116.00, includes release of dangerous substances. minimum performance requirements Law enforcement officers must for the ensembles. NIJ will also pub- have appropriate attire to protect lish conformity requirements for them in these situations. independent, third-party certification
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of ensembles and a selection and the use of equipment such as mir- of Police and the National Tactical application guide for agencies that rors and cameras to locate a suspect Officers Association also partici- want to buy and use the ensembles. while limiting exposure to gunfire. pated in its development and review. The mission might require officers The standard is the result of sev- The standard includes four Law to be still for extended periods, eral years of developing collaborative Enforcement Response Levels carry ballistic shields, search for partnerships with the Department (LERL) based on expected mission suspects remotely or arrest sus- of Homeland Security; the U.S. requirements, durability and duration pects. Challenges could include Army Natick Soldier Research, and on the specific CBRN threat. combative suspects, moving past Development and Engineering barricades or trip wires, and kneeling Center; and, most importantly, the Level 1 indicates the most risky or crawling on broken glass or other National Fire Protection Association, situations. LERL-1 ensembles could sharp objects. which shared crucial information be worn to enter a clandestine drug based on its experience developing laboratory or a building containing LERL-4 ensembles could be worn by similar standards for the fire service. chemical warfare agents or other officers setting up and maintaining toxic chemicals. The mission a perimeter around an area contain- NIJ standards are voluntary and might require a stealth approach ing low levels of CBRN hazards. They define what a potential solution and dynamic entry techniques involv- would allow officers to safely stay must accomplish rather than speci- ing speed and surprise. The initial in the area for an extended period. fying a particular solution. The goal approach could, for example, be Officers could secure the perimeter is to ensure that equipment is safe made on the outside platform of while directing vehicular or pedes- and reliable and that it performs an armored personnel carrier, fol- trian traffic, communicating with according to established minimum lowed by a stealth approach on groups of people, and making arrests requirements. Standards articulate foot. To protect officers, an ensem- as necessary. Hazards could include practitioners’ operational needs and ble must provide protection against combative people and kneeling on performance levels with regard to hazards such as a flash fire, jagged glass or other sharp objects. particular tools and technology. They metal on pried doors, shards of relate practitioners’ experiences in a glass and wood splintering from The four types of ensembles provide way that enables testing in a valid, doors. It must also be flexible different degrees of protection from consistently replicable manner, and enough to allow officers to deal liquid hazards, as well as various they tell manufacturers how the with combative suspects. degrees of “stealth” with respect equipment they produce must per- to the visibility of an ensemble and form to meet law enforcement’s An LERL-2 ensemble could be worn the noise it makes. needs. They allow comparisons in a hostage incident in a location among products based on standard- containing chemical warfare agents The new standard was one of the ized testing methods and minimum or other dangerous chemicals. The law enforcement community’s performance requirements. Finally, mission could involve a stealth highest-priority technology needs. standards provide law enforce- approach and dynamic entry tech- It was developed by representa- ment agencies with performance niques to rescue hostages. Tasks tives from federal, state and local information on key equipment char- could include remaining stationary law enforcement agencies work- acteristics, giving them a level of for an extended time, moving quickly ing closely with scientists and confidence in a product’s fitness during a rescue, communicating with engineers familiar with hazardous for use. other officers and making arrests. materials and protective ensem- The hazards are similar to LERL-1 but bles. Representatives from the without the threat of a flash fire. International Association of Chiefs Philip Bulman is a writer with the of Police, the National Sheriffs’ National Institute of Justice. An LERL-3 ensemble could be used Association, the Fraternal Order in a building containing low levels of chemical warfare agents or indus- NCJ 233286 trial chemicals. The ensemble would be appropriate for moving slowly For more information: and deliberately through a building ■ CBRN Protective Ensemble Standard for Law Enforcement, NIJ Standard 0116.00 to clear it. The pace would allow for http://ncjrs.gov/pdffiles1/nij/221916.pdf
Minimizing the Risks of Hazardous Materials: The CBRN Standard | 29 Improving Forensic Death Investigation by Beth Pearsall
The death investigation community searches for solutions for a fragmented system.
n its 2009 report, Strengthening and mixed offices,” Downs said. Forensic Science in the United He added, “The field must come States:I A Path Forward, the together to have a clear, unified National Academy of Sciences message,” if it hopes to set goals (NAS) stated that, “Death investi- and improve the quality of foren- gations in the United States rely on sic death investigations. “The lack a patchwork of coroners and medi- of uniformity is having a negative cal examiners” and that “these vary impact on justice, on public health greatly ... in the quality of services and on public safety.” they provide.”1 Forensic death inves- tigation, the report stated, took place At the symposium, convened by in the context of a “fragmented,” the National Institute of Justice “deficient” and “hodgepodge” and the National Center for Forensic system that made it difficult to Science, the findings of the NAS standardize performance. report spurred participants’ dis- cussion about the forensic death J.C. Upshaw Downs, coastal regional investigation field. medical examiner for the Georgia Bureau of Investigation, acknowl- While Strengthening Forensic edged as much at the Forensic Science in the United States: A Death Investigation Symposium Path Forward provided an objective, in June 2010. external review of forensic sciences as a whole, the Academy high- “Currently, there is a disjointed patch- lighted a number of long-standing work of medical examiners, coroners issues within the medicolegal death
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“Currently there is a community in Chapter 9, “Medical including a lack of research, funding, Examiner and Coroner Systems: disjointed patchwork standards and accreditation.” Current and Future Needs.” of medical examiners, Dr. Lakshmanan Sathyavagiswaran, Like the rest of the report, the Chief Medical Examiner-Coroner findings in Chapter 9 received con- coroners and mixed for the Los Angeles County siderable attention from the press. Department of Coroner and current For those in the forensic death inves- offices. The field president of the National Association tigation community, however, the of Medical Examiners (NAME), pre- report’s findings were anything but must come together sented the NAME resolution which surprising. to have a clear, supports the NAS recommenda- tion of providing incentive funds The Forensic Death Investigation unified message.” to states and jurisdictions with the Symposium brought members of goal of replacing coroner systems that community together for three with medical examiner systems to days to discuss the field’s current may or may not be physicians or improve death investigations. He also and future needs, many of which have medical training. Some serve indicated that this process will take were highlighted in the Academy’s as administrators, while others are several years and required a dialogue report. Coroners, medical examiners, responsible for determining the with coroners and law makers. He forensic pathologists, death inves- cause and manner of death. Medical stated that medical examiners were tigators, law enforcement officers examiners, on the other hand, in a better position to educate and and members of the legal commu- are almost always physicians, are to improve the quality of forensic nity gathered to explore and develop appointed and are often pathologists death investigations. suggestions for improving the field. or forensic pathologists. In particular, they sought to address On the other side of the debate is enhancing communication; legal and According to Strengthening Forensic Dr. O’dell Owens, a previously ethical issues; education, training and Science in the United States: A Path elected coroner and former presi- certification programs; technology; Forward, assessing the dead is a dent of the International Association and areas for future research in “medical decision,” and thus a medi- of Coroners and Medical Examiners. death investigation. cal professional — not “a layperson Dr. Owens disagrees with the notion with investigative and some medical that an office is necessarily best Medical Examiners or Coroners? training” — should make this deci- served by a medical examiner. “It is sion. The report concluded: “The not about who runs the office,” he One of the most controversial sec- disconnect between the determi- said. “It is about how well you run tions in Chapter 9 of the NAS report nation a medical professional may the office. And the public should calls for the elimination of coroner make regarding the cause and man- decide this state by state.” systems. ner of death and what the coroner may independently decide and cer- “Eighty-four percent of coroners say The United States has several dif- tify as the cause and manner of they want standards and certification, ferent systems for handling death death remains the weakest link but they lack access to resources investigation. The four main sys- in the process.” and training,” Owens said. “We tems in the U.S. are centralized state should work to give coroners educa- medical examiner systems, county Jay Siegel, director of the Forensic tion and training opportunities.” coroner systems, county medical and Investigative Sciences Program examiner systems, and mixed at Indiana University-Purdue P. Michael Murphy, coroner for county medical examiner and University and member of the NAS the Clark County (Nevada) Office coroner systems.2 committee, told symposium partic- of the Coroner/Medical Examiner, ipants that the recommendation to urged symposium participants not State statute determines whether eliminate the coroner system does to argue about which system is a medical examiner or coroner deliv- not come in a vacuum. “This is a better. Instead, he asked them to ers death investigation services. system-wide problem,” he said. “The discuss quality and to determine Coroners — often elected officials NAS report examines the difficulties what constitutes a competent who fulfill state requirements — of the whole forensic science field, medicolegal death investigation.
Improving Forensic Death Investigation | 31 NIJ JOURNAL / ISSUE NO. 267
“All of us have different ideas about Sathyavagiswaran discussed the primary concern of the death inves- what the solution is,” Murphy said. importance of building professional tigation community. Participants “We have an opportunity to air our relationships. He emphasized that recommended creating trainings to differences, identify challenges and collaboration among staff in differ- enhance communication with the provide possible solutions. We ent agencies and acknowledging families of the decedent. need a better-coordinated effort. their expertise can improve com- This is our opportunity to make a munication. He also indicated that Julie Howe, executive director of difference.” developing an official protocol for the American Board of Medicolegal the involvement of the coroner/ Death Investigators, noted that com- A Competent Death medical examiner would help ensure municating with families can be a timely communication between challenge, especially when they Investigation agencies and build relationships. expect high-tech investigations and To help identify solutions for improv- quick answers. “Families often lack ing death investigation, symposium understanding of the multi-agency participants broke into groups to approach to death investigations and discuss the field’s current and future “Communication — are reluctant to talk about the same needs. They then made recommen- things to different agencies,” Howe dations for moving forward with or lack thereof — explained. ways to improve the quality of death investigation. is the single greatest Communicating with families can be even more difficult in the case of Communication Breakdown hurdle to performing a mass disaster. While the National “Communication — or lack thereof Transportation and Safety Board has — is the single greatest hurdle to our daily work.” a well-organized family communica- performing our daily work,” Murphy tion process for aviation disasters, said. Communication difficulties with in most other cases, there are no comparable systems in the U.S. other agencies and with decedents’ To address the communication The group recommended creating a families hinder the coroner/medical breakdown that occurs too often centralized mechanism for the public examiner’s work. in death investigations, participants to communicate with responding recommended providing education federal agencies. Clear, well-defined channels of com- and training to all death investiga- munication between the coroner/ tion professionals and stakeholders, Education, Training and medical examiner and the various including medical examiners, cor- Certification Programs agencies that play a role in death oners, law enforcement, EMS investigations, from law enforcement personnel, hospitals, the media, Participants identified a strong need to public health, are critical for col- elected officials and students. for increased education and training laboration, information-sharing and opportunities in all of the disciplines coordinating activities. Participants Symposium participants also related to medicolegal death inves- identified educating other agencies recommended encouraging the tigation, including opportunities for about the role of the coroner/ use of technology to communi- medical examiners, coroners, death medical examiner as a first step, cate during death investigations. investigators, forensic pathologists, because many agencies do not Participants noted that in general, forensic anthropologists and forensic understand the coroner/medical the field does not use potentially toxicologists. examiner’s function, much less the valuable tools like teleconferencing, importance of his or her involve- mobile communication technology The field must find a way to provide ment and the appropriate stage to and social communication platforms education and training opportuni- initiate that involvement. This lack that can enhance collaboration, ties to those who do not have the of communication can lead to delay- information collection, communi- resources, participants said. To help ing notification of coroners/medical cation and command. do this, they recommended: examiners of deaths, failing to main- tain communication or hindering Proper communication with the ■ Providing incentive funds to attempts to collect information. family of the deceased is also a encourage training.
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■ Developing regional training universities fail to promote research examiners and coroners must programs for coroners. in basic forensic pathology. be trained not to use medical and legal jargon in court, they said, ■ Funding forensic pathology To overcome these obstacles, sym- because jury members need to fellowship programs. posium participants recommended: understand their statements to ■ Establishing leadership and man- make a fair decision. agement programs to train death ■ Establishing a registry of offices investigation administrators. interested in partnering with To address these concerns, they academic institutions. recommended: But, as Owens pointed out, money ■ Establishing centers of excel- drives everything. “We must find a ■ Creating guidelines, best practices lence and partnerships for forensic way to increase funding so the field and model legislation for the pathology research. can have better training,” he said. release of records. ■ Forming an expert panel to ■ Developing a model discovery Leveraging R&D and Technology evaluate the utility of available packet. in the Death Investigation technology. Community ■ Offering medical examiners and ■ Offering incentives to draw people coroners training with prosecutors According to Strengthening Forensic to the field, such as loan forgive- and the defense. Science in the United States: A ness. Path Forward, investigators do not take full advantage of technology Navigating Legal and Ethical Moving Forward and tools, such as CT scans and Issues in Death Investigation digital X-rays, that are routinely used As the symposium drew to a close, Finally, participants discussed the in medical disciplines. Incorporating Barbara Butcher, chief of staff and ethical and legal issues that can this technology could assist prac- director of the Forensic Science arise during death investigations. titioners in medicolegal death Training Program at New York City’s They asked: Should conversations investigations. The report ties this Office of Chief Medical Examiner, between medical examiners and disuse of technology back to the lack reminded participants that they are their staff — and any disagreements of education and training in the field. doing “noble work — we speak for over the manner of death — be doc- the dead and help protect and care umented? And what happens when The report also states that little for their families. We are the last the forensic pathologist who origi- research on death investigation voice of someone who is gone.” nally worked on a case has left the and forensic pathology is being office? Should someone else testify conducted in the United States. in his or her place? Forensic pathologists carry heavy Beth Pearsall is a freelance writer and caseloads and often lack the time, frequent contributor to the NIJ Journal. In addition, symposium partici- expertise, facilities or funding for pants highlighted a lack of training research. According to the report, in courtroom presentation. Medical NCJ 233287 research is further limited because
Notes 1. National Academies’ National Research 2004, Special Report, Washington, DC: Council, Strengthening Forensic Bureau of Justice Statistics, June 2007, Science in the United States: A http://bjs.ojp.usdoj.gov/content/pub/pdf/ Path Forward, Washington, DC: meco04.pdf. National Academies Press, 2009, http://www.ncjrs.gov/pdffiles1/nij/ grants/228091.pdf. See videos and PowerPoint presentations from the Forensic Death Investigation Symposium: http://www.ncfs.org/Death_Investigation/ 2. Hickman, M., K. Hughes, J. Ropero- Miller, and K. Strom, Medical index.html. Examiners and Coroners Offices,
Improving Forensic Death Investigation | 33 In Brief
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Expanding Research by Sharing Data by NIJ staff
NIJ makes data available for future research.
ollecting, cleaning, organizing ■ Increase transparency ducting research with data collected and analyzing data are expen- ■ Replicate findings by others, by applying statistical tech- sive and time-consuming, but niques that did not exist when the C ■ Extend research to the field these activities are essential to sci- data were originally collected or by entific inquiry. NIJ created the Data combining crime data with those Increase Transparency: Making Resources Program to preserve data from other fields (such as health, data and analytic methods available produced by NIJ-funded studies and housing and education), research- for scrutiny by others increases the to make them available for secondary ers extend the value of the data and transparency of the research pro- analysis by other researchers. The make the resulting knowledge use- cess, gives other researchers the Data Resources Program extends ful to a wider audience. Having other chance to validate findings, and the value of NIJ’s initial investment researchers look at data from differ- enhances scientific integrity. Such in the original data and ultimately the ent angles can also provide insight openness, in turn, leads to more rig- reach of the research. into other ways to make the data orous and credible science. This is relevant to practice. especially important when research When an NIJ-funded study ends, informs policies, practices and pro- researchers submit their data to the Problems in society are complex grams that are controversial or National Archive of Criminal Justice and interconnected. Patterns in crime complicated — such as the impact Data, which has been collecting data and housing, for example, share a of sex offender notification policies since 1978. The National Archive was connection to patterns in stress and or the arrest practices employed in created as part of the Inter-University health. The distribution of schools domestic violence cases. Consortium for Political and Social and patterns of neighborhood den- Research (ICPSR) at the University sity are related to patterns of crime Replicate Findings: When original of Michigan. ICPSR provides access and delinquency. When research- research is replicated, policymakers to the world's largest archive of ers archive their criminal justice data, and practitioners can make more computer-readable social science they create opportunities for others informed decisions about apply- data and offers training in both basic to draw connections to research from ing research to their own work. and advanced methods of quan- different disciplines and to study to Successful replication can give titative analysis in social science complex issues in greater depth them greater confidence in the research. or from a new perspective. original findings. Archiving data and making them Making criminal justice data avail- Extend Research to the Field: available to other scientists contrib- able in a systematic way opens Today’s research is the cornerstone ute to NIJ’s efforts to: the door to further exploration. of tomorrow’s better ideas. By con-
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NIJ-funded researchers have con- applicants combine criminal jus- tributed more than 800 data sets, tice data sets with another publicly Making data and both large and small, to the National available data set. analytic methods Archive of Criminal Justice Data. The 3. Using the data. Many research- National Archive allows researchers ers have used data from large data available for scrutiny from all disciplines to perform meta- sets in the archive, such as the analytic studies and combine criminal U.S. Sentencing Commission’s by others increases the justice data with other publicly avail- data sets, or data from longitudinal able data, such as those from the studies, such as the Project on transparency of the Centers for Disease Control and Human Development in Chicago Prevention and the Department of Neighborhoods (PHDCN), to research process, gives Housing and Urban Development. extend knowledge gained from the original data. PHDCN, for other researchers the Researchers participate in NIJ’s Data example, offers data from several Resources Program in three ways: chance to validate sources. These include commu- nity surveys, systematic social 1. Submitting data when findings, and enhances observation and a longitudinal research is finished. Most data cohort study. When researchers collected with funding from NIJ scientific integrity. wanted to know more about the must be archived and made avail- consequences of childhood expo- able through the National Archive sure to intimate partner violence, of Criminal Justice Data. they used data from the PHDCN’s how to access, manipulate and 2. Applying for funding to con- longitudinal cohort study. analyze the data set that her team duct new research through compiled over several years. NIJ's annual solicitation, “Data To help aspiring researchers use the Resources Program: Funding National Archive of Criminal Justice Through secondary data analysis, for the Analysis of Existing Data, NIJ supports a summer work- researchers can build on existing Data.” NIJ receives roughly 30 shop program every year. In 2010, findings, replicate results and con- applications annually for funding the 4-and-a-half-day workshop duct new analyses — all ways to to conduct secondary analysis focused on reentry and recidivism, build a broader and deeper scientific using data in the archive. External, using the evaluation of the Serious understanding of crime and justice. anonymous peer reviewers and and Violent Offender Reentry NIJ staff select two to six propos- Initiative. Pam Lattimore, one of the als that ask the most compelling evaluation’s principal investigators, Several NIJ staff contributed to this questions or test the best new showed students in the workshop article, including Jolene Hernon, Jade hypotheses. In many instances, Stasulli and Ron Wilson. NCJ 233288
Editor's note For more information: The National Archive of Criminal Justice ■ Data Resources Program Data is also funded by the Bureau www.ojp.usdoj.gov/nij/funding/data-resources-program of Justice Assistance, the Bureau of Justice Statistics and the Office ■ National Archive of Criminal Justice Data of Juvenile Justice and Delinquency http://www.icpsr.umich.edu/NACJD/ Prevention. ■ Inter-University Consortium for Political and Social Research http://www.icpsr.umich.edu/icpsrweb/ICPSR/index.jsp ■ ICPSR’s Summer Program in Quantitative Methods of Social Research http://www.icpsr.umich.edu/icpsrweb/sumprog/ ■ Project on Human Development in Chicago Neighborhoods http://www.icpsr.umich.edu/icpsrweb/PHDCN/
IN BRIEF: Expanding Research by Sharing Data | 35 NIJ SEMINARS Bringing Research to the Streets
NIJ’s Research for the Real World seminar series features provocative presentations Why do some cases answering these and other questions. Researchers who are changing the way we of domestic violence think about policies and practices describe their ideas and take questions from the audience. escalate to murder? Listen and watch past seminars: Does intense police ■ Tom R. Tyler, Legitimacy and Community Cooperation With Law Enforcement. presence at hot spots ■ Edward Latessa, Solutions in Corrections: Using Evidence-based Knowledge. cause crime to rise ■ Lawrence Sherman, Less Prison, More Police, Less Crime: How Criminology in other areas? Can Save the States from Bankruptcy. ■ David Olds, The Nurse-Family Partnership Program: From Trials to International What corrections Replication. ■ programs really help David Adams, Jackie Campbell and Richard Gelles, Men Who Murder Their Families: What the Research Tells Us. offenders stop ■ Tracey Meares, Don't Jump the Shark: Understanding Deterrence and Legitimacy committing crimes? in the Architecture of Law Enforcement. ■ Jeffrey Edelson, Taryn Lindhorst and Sudha Shetty, Mothers and Children Seeking Safety in the U.S.: A Study of International Child Abduction Cases Involving Domestic Violence. ■ Chris Stone, Police-on-Police Shootings and the Puzzle of Unconscious Racial Bias. ■ Dennis Rosenbaum, et al., From the Academy to Retirement: A Journey Through the Policing Lifecycle. ■ David Weisburd, Crime Mapping and Hot Spots Policing.
■ Felton Earls, Children as Citizens: Engaging Adolescents in Research on Exposure to Violence. Upcoming seminars include: ■ Jens Ludwig and Roseanna Ander, Benefit-Cost Analysis for Crime Policy (February, 2011).
Visit http://www.ojp.gov/nij/events/research-real-world.htm to watch past Research for the Real World seminars, read the transcripts or see interviews with the presenters.
36 The National Institute of Justice is the research, development and evaluation agency of the U.S. Department of Justice. NIJ’s mission is to advance scientific research, development and evaluation to enhance the administration of justice and public safety.
The National Institute of Justice is a component of the Office of Justice Programs, which also includes the Bureau of Justice Assistance; the Bureau of Justice Statistics; the Community Capacity Development Office; the Office for Victims of Crime; the Office of Juvenile Justice and Delinquency Prevention; and the Office of Sex Offender Sentencing, Monitoring, Apprehending, Registering, and Tracking (SMART).
Photo Source: iStockphoto, Punchstock Images, Fotolia, and Getty Images. ISSUE NO. ISSUE
U.S. Department of Justice Office of Justice Programs PRESORTED STANDARD National Institute of Justice POSTAGE & FEES PAID Washington, DC 20531 DOJ/NIJ Official Business PERMIT NO. G-91 Penalty for Private Use $300
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