U.S. Department of Justice Office of Justice Programs National Institute of Justice U.S. Department of Justice Office of Justice Programs 810 Seventh Street N.W. Washington, DC 20531 Eric H. Holder, Jr. Attorney General Laurie O. Robinson Assistant Attorney General John H. Laub Director, National Institute of Justice This and other publications and products of the National Institute of Justice can be found at: National Institute of Justice www.nij.gov Office of Justice Programs Innovation • Partnerships • Safer Neighborhoods www.ojp.usdoj.gov CONTENTS iii Preface 1–1 Chapter 1: History 2–1 Chapter 2: Anatomy and Physiology of Adult Friction Ridge Skin 3–1 Chapter 3: Embryology and Morphology of Friction Ridge Skin 4–1 Chapter 4: Recording Living and Postmortem Friction Ridge Exemplars 5–1 Chapter 5: Systems of Friction Ridge Classification 6–1 Chapter 6: Automated Fingerprint Identification ystS em (AFIS) 7–1 Chapter 7: Latent Print Development iii C O N T E N T S 8–1 Chapter 8: The Preservation of Friction Ridges 9–1 Chapter 9: Examination Process Chapter 10: Documentation of Friction Ridge Impressions: 10-1 From the Scene to the Conclusion 11-1 Chapter 11: Equipment 12-1 Chapter 12: Quality Assurance 13-1 Chapter 13: Fingerprints and the Law Chapter 14: Scientific Research Supporting the Foundations of 14–1 Friction Ridge Examinations 15–1 Chapter 15: Special Abilities and Vulnerabilities in Forensic Expertise A–1 Appendix A: Author and Reviewer Biographies Appendix B: The Origin of the Scientific orkingW Group on Friction B–1 Ridge Analysis, Study and Technology (SWGFAST) C–1 Appendix C: Members of SWGFAST Appendix D: SWGFAST Standard Terminology of Friction Ridge D–1 Examination, Ver. 3.0 iv PREFACE The idea of The Fingerprint Sourcebook originated active members of SWGFAST, participation in the during a meeting in April 2002. Individuals repre- project was not restricted to SWGFAST members. senting the fingerprint, academic, and scientific communities met in Chicago, Illinois, for a day and NIJ provided grant funding to the WVU Forensic a half to discuss the state of fingerprint identifica- Science Initiative to support the project and a call tion with a view toward the challenges raised by for authors and reviewers was extended through- out the forensic community. The prospective Daubert issues. The meeting was a joint project between the International Association for Identi- authors were asked to prepare a detailed outline fication (IAI) and West Virginia University (WVU). and an introduction (approximately 250 to 750 One recommendation that came out of that meet- words) for each chapter that they hoped to write. ing was a suggestion to create a sourcebook for They were also asked to provide a curriculum friction ridge examiners, that is, a single source vitae. Two or more individuals volunteered for most of researched information regarding the subject. chapters and some chapters had as many as seven This sourcebook would provide educational, train- volunteers. Reviewers critiqued the introductions ing, and research information for the international and outlines for the various chapters, and Frank scientific community. Fitzpatrick and I made the final selection of chapter authors. Multiple reviewers for each chapter par- The Scientific Working Group on Friction Ridge ticipated and are listed at the end of each chapter. Analysis, Study and Technology (SWGFAST) The curricula vitae for all of the authors and most prepared an outline of the subjects that should reviewers are included in the appendix. be included in the sourcebook. Charles Illsley, a SWGFAST member, prepared a grant proposal for After the selection of authors was made and the submission to the National Institute of Justice (NIJ) chapters were assigned to the various authors and for funding of the project, with Frank Fitzpatrick as coauthors, the chapters were written and mul- the project director and Alan and Debbie McRob- tiple rounds of author revisions and review were erts as the sourcebook editors. Although many completed. The chapters were then edited and re- participants in the project were, and some remain, viewed again. The chapters were then submitted to iii P R E F A C E NIJ, where additional review and editing occurred. During providing fingerprint training is well known. However, with the NIJ edit and review process, Chapter 15 (Special Abili- the creation of SWGFAST in 1995, the FBI showed great ties and Vulnerabilities in Forensic Expertise) was added to leadership in providing a mechanism to promote consen- the project because of contemporary importance placed on sus standards within our diverse forensic community. A that research. Those NIJ employees—and contractors, in brief sketch about the origin of SWGFAST and a list of the particular Danielle Weiss and David Fialkoff—who partici- past and current members of SWGFAST are included in the pated in reviewing, editing, and finalizing this book should appendix. be congratulated for their efforts in bringing this project to completion. In the history of fingerprints, no previous effort of this magnitude has been made to assemble as much reviewed For those of us who have worked in the field of fingerprint information into a single source. I would like to extend my identification during the last 50 years, the influence of appreciation and the appreciation of future readers to all the Federal Bureau of Investigation’s (FBI’s) leadership in those authors and reviewers who contributed so much time and effort to make this book a reality. Alan McRoberts, Editor iv CHAPTER HISTORY Jeffery G. Barnes CONTENTS 3 1.1 Introduction 11 1.6 20th Century 3 1.2 Ancient History 17 1.7 Conclusion 4 1.3 221 B.C. to A.D. 1637 17 1.8 Reviewers 5 1.4 17th and 18th Centuries 17 1.9 References 6 1.5 19th Century 18 1.10 Additional Information 1–5 History C H A P T E R 1 CHAPTER 1 HISTORY 1.1 Introduction The long story of that inescapable mark of identity has Jeffery G. Barnes been told and retold for many years and in many ways. On the palm side of each person’s hands and on the soles of each person’s feet are prominent skin features that single him or her out from everyone else in the world. These fea- tures are present in friction ridge skin which leaves behind impressions of its shapes when it comes into contact with an object. The impressions from the last finger joints are known as fingerprints. Using fingerprints to identify indi- viduals has become commonplace, and that identification role is an invaluable tool worldwide. What some people do not know is that the use of friction ridge skin impressions as a means of identification has been around for thousands of years and has been used in several cultures. Friction ridge skin impressions were used as proof of a person’s identity in China perhaps as early as 300 B.C., in Japan as early as A.D. 702, and in the United States since 1902. 1.2 Ancient History Earthenware estimated to be 6000 years old was discov- ered at an archaeological site in northwest China and found to bear clearly discernible friction ridge impressions. These prints are considered the oldest friction ridge skin im- pressions found to date; however, it is unknown whether they were deposited by accident or with specific intent, such as to create decorative patterns or symbols (Xiang-Xin and Chun-Ge, 1988, p 277). In this same Neolithic period, friction ridges were being left in other ancient materials by builders (Ashbaugh, 1999, pp 12–13). Just as someone today might leave impressions in cement, early builders left impressions in the clay used to make bricks (Berry and Stoney, 2001, pp 8–9). 1–7 C H A P T E R 1 History Other ancient artifacts have been found that have ridge form of a stamp, and on the other side would be impressed patterns on them that were clearly carved rather than left the fingerprint of the author. The seal was used to show as accidental impressions. Examples of ancient artifacts authorship and to prevent tampering prior to the document displaying what might be considered friction ridge designs reaching the intended reader. It is generally recognized include megalithic artworks in the tomb of Gavr’inis on an that it was both the fingerprint and the name that gave the island just off the west coast of France and in the tomb at document authenticity. Newgrange on the coast of Ireland (Figure 1–1). The fingerprint impressed into the clay seal is a definite example of intentional friction ridge skin reproduction as 1.3 221 B.C. to A.D. 1637 a means of individualization. It is clear that the Chinese understood the value of friction ridge skin prior to the The Chinese were the first culture known to have used Christian era (Laufer, 1912, p 649). friction ridge impressions as a means of identification. The earliest example comes from a Chinese document en- After the invention of paper by the Chinese in A.D. 105, it titled “The Volume of Crime Scene Investigation—Burglary”, became common to sign documents using friction ridge from the Qin Dynasty (221 to 206 B.C.). The document con- skin. It was standard practice in China to place an impres- tains a description of how handprints were used as a type sion—either palmprints, phalangeal (lower finger joint) of evidence (Xiang-Xin and Chun-Ge, 1988, p 283). marks, or fingerprints—on all contract-type documents (Xiang-Xin and Chun-Ge, 1988, pp 282–284). In A.D. 650, During the Qin through Eastern Han dynasties (221 B.C.