Roberson

Birzer
Introduction to CRIMINAL INVESTIGATION

•
 Introduction to
CRIMINAL
INVESTIGATION
Edited by
Michael L. Birzer and Cliff Roberson

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C ontents

Preface, vii
Editors, xi
Contributors, xiii

Section 1 FOUNDATIONS

Chapter 1 ■ A Brief History of Criminal Investigation 3

John A. Eterno

Chapter 2 ■ Introducing Criminal Investigation 17

Bryan Courtney

Section 2 PRELIMINARY CONSIDERATIONS

Chapter 3 ■ Crime Scene Search 35

Michael L. Birzer

Chapter 4 ■ Report Writing 47

Gene L. Scaramella

Chapter 5 ■ Interview and Interrogation 67

Scott M. Mire and Robert D. Hanser

Chapter 6 ■ Evidence 81
Cory Rodivich

Chapter 7 ■ Role of Forensic Science 99

Cory Rodivich

v
vi ◾ Contents

Section 3 PROPERTY CRIMES AND FINANCIAL INVESTIGATIONS

Chapter 8 ■ Vandalism 127

Matthew O’Deane

Chapter 9 ■ Larceny and Burglary 155

Walter J. Wywadis

Chapter 10 ■ Auto Theft 173

Donald Munday

Chapter 11 ■ Arson Investigation 189

Cliff Roberson

Chapter 12 ■ Financial Investigation 199

Michael J. Palmiotto

Section 4 CRIMES AGAINST PERSONS

Chapter 13 ■ Homicide and Assault 211

Gregg W. Etter and Roger L. Pennel

Chapter 14 ■ Sex Crimes 239

John Padgett

Chapter 15 ■ Robbery 261

J. Harrison Watts

Section 5 SPECIALIZED INVESTIGATIONS

Chapter 16 ■ Narcotics Investigation 273

Donald F. Vespa

Chapter 17 ■ Cybercrime 301

Mark R. McCoy

Chapter 18 ■ Gang Investigation 313

Gregg W. Etter
 Contents ◾ vii

Section 6 PUTTING IT ALL TOGETHER

Chapter 19 ■ Legal Issues in Criminal Investigations 337

Frank DiMarino

Chapter 20 ■ Preparing the Case for Court 357

Cliff Roberson and Gwynne Birzer

Index, 373
P reface

The diligent investigation of crime is both necessary and critical. Many years ago, police
reformers O.W. Wilson and R.C. McLaren wrote in their classic textbook on police admin-
istration, “The purpose of the detective or criminal investigation function is to investigate
certain serious crimes in order to arrest and convict the perpetrators and to recover stolen
property” (Wilson and McLaren, 1977, p. 364). It is undeniable that the basic purpose of
the criminal investigation function in the 21st century has for the most part remained
unchanged. The investigation of crime is an important mandate of the police. All police
agencies, large and small, rural and urban, perform criminal investigations; consequently,
the manner in which investigators are trained is neither uniform nor consistent. Some
neophyte investigators receive sophisticated training in order to learn the craft, while oth-
ers simply learn on the job while assigned to a senior criminal investigator. Often, the first
exposure that an investigator may have to crime scene investigation techniques goes back
to their college days, as a student, taking an introduction course to criminal investigation.
We reminded ourselves often of this as we crafted this introductory textbook on criminal
investigation.

AUDIENCE AND STYLE

This book is suitable for use in college-level introduction to criminal investigation courses.
Law enforcement personnel who want to learn how to become better investigators may
also benefit from the book. Likewise, the book would be ideal as a reference guide for
recruits attending police academies. Finally, the book is appropriate for the reader who
simply desires to know why the police do what they do during a criminal investigation. We
present this textbook with a high order of practicability, while at the same time maintain-
ing rigorous academic standards of the content presented herein. It is rare to find an edited
book that introduces criminal investigation. We present to the reader one such book. This
textbook represents a collection of essays written by authorities on criminal investigation.
The 20 chapters in this text give the reader a comprehensive overview of the criminal inves-
tigation process. We have woven together some of the most important and evolving areas of
criminal investigation. Some of the contributors to this textbook are practicing or retired
law enforcement personnel, while others are former investigators who have embarked on
academic careers. Still others are attorneys who bring years of legal experience working as
criminal prosecutors to obtain convictions of perpetrators responsible for crimes. It is our

ix
x ◾ Preface

belief that combining the expertise of law enforcement authorities with academicians who
study crime and law enforcement practices is the gold standard of an effective textbook on
criminal investigation.

ORGANIZATION OF THE BOOK

This text is organized into six parts. Part 1 presents two chapters. You may recall the old
cliché regarding how do you know where you are going if you don’t know where you’ve
been. Having some knowledge of the history of criminal investigation will assist the reader
in placing the topic in proper context. We feel this is essential for students. As such, in
Chapter 1, John Eterno provides an excellent abbreviated history of criminal investiga-
tion in Western society. This chapter is written in a manner so as not to bog the reader
down with a voluminous amount of historical details, but it does provide what you need to
know to place criminal investigations into proper historical context. In Chapter 2, Bryan
Courtney presents some basic introductory remarks on the field of criminal investigation.
Aspiring police officers and investigators will greatly benefit from this chapter. The chapter
discusses the qualifications of becoming an investigator, the selection process, and ideal
training requirements. The first two chapters of this text are designed to present the basic
foundation necessary to study criminal investigation in a more detailed fashion.
Part 2 is made up of five chapters that focus on preliminary considerations of the crimi-
nal investigation process. In Chapter 3, Michael Birzer details crime scene search tech-
niques. The chapter also includes a discussion of planning the search, the actual search,
and the post-search debriefing. In any criminal investigation, law enforcement authorities
rely heavily on field notes and written reports to recall at a later date intricate details about
the crime. Many actors in the criminal justice system, including attorneys, judges, pre-
sentence investigators, and possibly jurors, will read the investigator’s report; therefore, it is
important to ensure that the investigative report is completed correctly and, more impor-
tantly, is readable. In Chapter 4, Gene Scaramella takes up a discussion of field notes and
report writing. The chapter details how effective field notes and report writing are critical.
In Chapter 5, Scott Mire and Robert Hanser provide an excellent overview of interview
and interrogation. The chapter is a gold mine of information and offers many practical tips
that will assist the investigator in preparing for the interview or interrogation. Moreover,
the chapter offers specific techniques that have been time tested to be effective. In Chapter
6, Cory Rodivich provides an overview of the kinds of evidence that crime scene investiga-
tors may encounter. The chapter begins with a thorough discussion of the nature and type
of evidence that may be found at the crime scene. The chapter concludes with a hands-on
discussion of how to collect, package, and preserve different types of evidence. The role of
forensic science in the investigation of crime has evolved significantly in recent years; in
Chapter 7, Cory Rodivich provides a constructive overview of the contributions of forensic
science to criminal investigations. The chapter discusses the forensic analysis of evidence
and concludes with a tour of the crime lab, where the reader will be introduced to the
instruments and equipment that are commonly found in most crime labs.
 Preface ◾ xi

The five chapters in Part 3 focus on property crimes, auto theft, arson, and financial
crimes. In Chapter 8, Matthew O’Deane examines vandalism. The chapter provides a thor-
ough discussion of the most common types of vandalism in the United States: tagging
and gang graffiti. The chapter offers prevention tips and basic investigative protocols that
should be followed in order to effectively prosecute the perpetrators. Chapter 9 focuses on
larceny and burglary. In this chapter, Walt Wywadis does an excellent job of discussing
larceny and burglary from the preliminary investigation through the follow-up investiga-
tion. The chapter discusses offender characteristics and presents prevention techniques. In
Chapter 10, Don Munday examines the investigation of auto theft in a step-by-step manner
and discusses common methods and tools that perpetrators use to steal autos. Moreover,
the chapter clearly outlines the steps to be followed in both the preliminary and follow-up
investigation. In Chapter 11, Cliff Roberson provides an overview of arson investigations.
Arson investigations can be both challenging and complex and should be approached with
diligence. The chapter begins with a detailed description of the duties of the first responder
and then proceeds to describe the steps that should be taken to preserve an arson scene.
The chapter concludes with a comprehensive discussion of specific investigative steps that
should be taken. Michael Palmiotto tackles financial crimes in Chapter 12. The chapter
presents an overview of financial crimes while at the same time providing practical tech-
niques that should be followed during the investigation.
Part 4 consists of three chapters. In Chapter 13, Gregg Etter and Roger Pennel discuss
homicide and assault investigations. The chapter provides a thorough discussion of mode,
method, and opportunity; the role of the medical examiner; manners of death; and types
of evidence that may be encountered by investigators. Chapter 14 is written by John Padget
and centers on the investigation of sex crimes. The chapter describes the nature of sex crime
investigations and the critical role of the first responder. The chapter culminates with an
overview of specific steps that should be followed during the investigation of a sex crime.
In Chapter 15, Harrison Watts examines robbery investigation by discussing the categories
of robbery, parties to the crime, and specific investigative steps. The chapter concludes with
a discussion what is required for the successful prosecution of robbery.
The three chapters in Part 5 center on specialized investigations. The use of illegal drugs
is considered to be a serious crime problem in the United States; in Chapter 16, Don Vespa
provides a thoughtful overview of the investigation of illicit drug trafficking, including ini-
tiating the investigation, establishing and managing confidential informants, steps in the
investigation, and a variety of surveillance techniques used in undercover operations. With
the barrage of technological advancements, millions of children find themselves regularly
in front of the computer on the Internet, and it is not uncommon to hear news reports of a
child being solicited online by a sexual predator. Cybercrimes represent a significant grow-
ing threat in our society. In Chapter 17, Mark McCoy discusses the various types of cyber-
crimes and offers a timely protocol on how these cases should be investigated. In Chapter
18, Gregg Etter provides a complete overview of the investigation of gang-related crimes. He
discusses the cultural characteristics of gangs and provides information centering on the
primary and secondary crimes committed by gangs. Motivations for gang-related crimes
xii ◾ Preface

are also covered in the chapter. The chapter offers a comprehensive discussion of effective
gang investigative techniques and concludes with an overview of anti-gang programs that
have been shown to be effective.
Part 6 concludes the book with two chapters. In Chapter 19, Frank DiMarino discusses
the legal issues centering on criminal investigation. Among the topics discussed are crimi-
nal law, felonies, misdemeanors, and factors that should be taken into account during the
crime scene investigation and upon the initial arrest of the suspect. Rounding out the text
is Chapter 20, in which Cliff Roberson and Gwynne Birzer provide an overview of how
to prepare a case for court. Topics in the chapter include testimony in court, accuracy of
police reports, chain of custody of evidence, personal credibility, and insightful tips for
testifying in court.

LET THE VENTURE BEGIN

Whether you are a student taking a first course in criminal investigation or perhaps a neo-
phyte investigator looking to hone your skills, we sincerely hope the textbook adequately
fulfills your needs. We now invite you to turn the pages ahead and embark upon a fascinat-
ing journey through the world of criminal investigation.

REFERENCE
Wilson, O.W. and McLaren, R.C. (1977). Police Administration, 4th ed. New York: McGraw-Hill.
E ditors

Michael L. Birzer, EdD, is professor of criminal justice and director of the School of
Community Affairs at Wichita State University. His research interests include police
behavior, advancing the adult learning theory of andragogy into criminal justice education
and training, the intersection of race and police contacts, and qualitative research meth-
ods (phenomenology, ethnomethodology, and ethnography). His non-academic experi-
ence includes over 18 years of service with the Sedgwick County Sheriff’s Department in
Wichita, KS, where he obtained the rank of lieutenant. Books he has co-authored with Cliff
Roberson include Introduction to Private Security: Theory Meets Practice (Prentice Hall,
2010); Police Field Operations: Theory Meets Practice (Allyn & Bacon, 2008); and Policing
Today and Tomorrow (Prentice Hall, 2007).
Cliff Roberson, LLM, PhD, is a professor emeritus at Washburn University and academic
chair, Graduate School of Criminal Justice, Kaplan University. He is also managing editor of
Police Practices and Research: An International Journal and Professional Issues in Criminal
Justice Journal. He has written numerous texts and articles on criminal justice and has
over 30 years’ experience in academia as a professor, dean, and associate vice president.
His non-academic experience includes service as Director of Programs, National College
of District Attorneys; chief defense counsel for offenders, Texas Board of Criminal Justice;
head, Military Law Branch, U.S. Marine Corps Headquarters; and Marine judge advocate.

xiii
C ontributors

Gwynne Birzer, JD, a practicing attorney in the state of Kansas, earned her undergradu-
ate degree in criminal justice from Washburn University, Topeka, KS, in 1989. She earned
her law degree from Washburn University School of Law in 1992. In 1993, she became
an assistant district attorney and prosecuted sexual offenses and child abuse cases for 5
years. She also served as a special assistant attorney general, prosecuting sexually violent
offenders across the state of Kansas. In 1998, she entered private practice and taught trial
techniques as an adjunct instructor at Washburn University. She is currently an associate
attorney at the law firm of Hite, Fanning & Honeyman, LLP, where she focuses her practice
on civil defense and litigation with emphasis on medical malpractice. She also serves as an
adjunct professor teaching about the American courts and judicial system at Wichita State
University.
Bryan Courtney is executive director of the Missouri–Regional Community Policing
Institute at Missouri Western State University, St. Joseph. MO–RCPI is a member of U.S.
Department of Justice, COPS Office, national RCPI training network. Courtney is cur-
rently coordinating a Bureau of Justice Assistance (BJA) project, RCPI National Network
Delivery of BJA Training, which provides a wide range of BJA training throughout the
nation to federal, state, and local law enforcement. Courtney has been with the MO–RCPI
since 1997. He received his undergraduate degree in criminal justice at Missouri Western
State University and his master’s degree in criminal justice at Washburn University in
Topeka, KS. He was a police officer in Maryville, MO, for 6 years.
Frank DiMarino, JD, LLM, is dean of the School of Criminal Justice, Kaplan University,
and executive editor of the journal Professional Issues in Criminal Justice. From 1991 to
2007, he served as a Financial Institution Fraud Coordinator and Environmental Crimes
Coordinator while prosecuting white collar criminals as an assistant U.S. Attorney in
Savannah, GA. Frank’s other legal experience includes serving as chief of the Criminal
Law Division, Fort Stewart, GA, and as assistant U.S. Attorney, Miami, FL. In Washington,
D.C., he worked as a senior trial attorney with the General Crimes Section, Multi-District
Fraud Unit, Division of Enforcement, Commodity Futures Trading Commission. He also
served as appellate counsel and branch chief of the U.S. Army Legal Services Agency, Falls
Church, VA, and as prosecutor and officer-in-charge of the military post legal office in
Nuremberg, Germany.

xv
xvi ◾ Contributors

Gregg W. Etter, Sr., EdD, is an assistant professor of criminal justice at the University of
Central Missouri, Warrensburg. He served 29 years with the Sedgwick County Sheriff’s
Office in Wichita, KS, retiring as a lieutenant. Dr. Etter earned his bachelor’s and master’s
degrees from Wichita State University and his doctorate from Oklahoma State University.
He is a member of the American Society of Criminology, Academy of Criminal Justice
Sciences, and the National Sheriff’s Association. He is rated as a gang expert by the National
Gang Crime Research Center.
John A. Eterno, PhD, is associate dean of graduate studies in criminal justice at Molloy
College, Rockville Centre, NY, and is a retired captain from the New York Police
Department. He is managing editor of Police Practice and Research. His books include
Policing within the Law: A Case Study of the New York City Police Department (Praeger,
2003); Police Practices in Global Perspective (Rowman & Littlefield, 2009; with Dilip Das),
and Unveiling Compstat: The Global Policing Revolution’s Naked Truths (Taylor & Francis,
forthcoming; with Eli Silverman). He has testified as a policing expert, appeared in vari-
ous media outlets (e.g., ABC, CBS), and consulted widely. His most recent peer-reviewed
articles have appeared in Professional Issues in Criminal Justice, International Journal of
Police Science & Management, Women and Criminal Justice, and Criminal Law Bulletin.
Robert D. Hanser, PhD, is the head of the department of criminal justice at the University
of Louisiana at Monroe. In addition to teaching undergraduate and graduate courses in
criminal justice, Dr. Hanser conducts pre-service and in-service training for police and
correctional officers at the North Delta Regional Training Academy. He is a licensed pro-
fessional counselor in the states of Louisiana and Texas, a licensed addictions counselor
in Louisiana, a certified anger resolution therapist, and a certified gang specialist in gang
counseling. His research and teaching interests focus on human behavior and mental
health issues within the field of criminal justice.
Mark R. McCoy, EdD, is an associate professor at the University of Central Oklahoma
Forensic Science Institute, where he is administrator of the Digital Evidence and Cyber
Security Program. He retired after 20 years of service with the Oklahoma State Bureau of
Investigation (OSBI), where he was the first supervisor of the OSBI Computer Crime Unit.
He is a member of the International Association of Computer Investigative Specialists and
is a certified forensic computer examiner. Dr. McCoy has a master’s degree in forensic sci-
ence and a doctorate in occupational and adult education.
Scott M. Mire, PhD, is currently an assistant professor of criminal justice at the University
of Louisiana at Lafayette. He is a former police officer and U.S. border patrol agent.
Following his service as a border patrol agent, Dr. Mire was employed by the Texas Police
Corps as a training coordinator while he pursued his doctorate in criminal justice at Sam
Houston State University, Huntsville, TX. As a training coordinator, Dr. Mire was respon-
sible for all curriculum development in addition to providing training in all aspects of law
enforcement. More recently, Dr. Mire has authored or co-authored several journal articles
and book chapters. In addition, he has co-authored three textbooks in the areas of correc-
tional counseling, ethics in criminal justice, and understanding the correlates of violence.
 Contributors ◾ xvii

Donald Munday, EdD, has over 22 years of experience as a commissioned law enforce-
ment officer. Dr. Munday served with the Wichita Police Department, where his respon-
sibilities included patrol, crime prevention, community policing, critical stress debriefing,
Crime Stoppers, vice and organized crime, bunco, exploited and missing children, and
planning and research. He then became the chief of police for the city of Bel Aire, KS. Dr.
Munday has been teaching criminal justice courses in university settings for many years.
He has also authored two criminal justice undergraduate programs of study. He holds
a bachelor’s degree in human resources management; a master’s in management from
Friends University, Wichita, KS; and a doctorate in occupational and adult education from
Oklahoma State University. Dr. Munday is an elected faculty member of the Alpha Phi
Sigma National Criminal Justice Honor Society and has been a presenter at the Academy
of Criminal Justice Sciences and other state and national conferences. Currently, he is a
director at Pratt Community College–Wichita.

Matthew O’Deane, PhD, has been a police officer in California since 1992. He is currently
an investigator for the San Diego County District Attorney’s Office and is a former police
officer, detective, and sergeant of the National City, CA, Police Department. He holds a
doctorate in public policy from Walden University and is an adjunct professor for Kaplan
University. Dr. O’Deane has also written two books on the subject of gangs, the Gang
Investigator’s Handbook: A Law-Enforcement Guide to Identifying and Combating Violent
Street Gangs (Paladin Press, 2008) and Gangs: Theory, Practice, and Research (LawTech
Custom Publishing, 2010).

John Padgett, PhD, is a native of Augusta, GA, and is curårently serving as a core faculty
member in Capella University’s Public Safety program. He obtained his associate’s degree
in criminal justice from Georgia Military College, Milledgeville; his bachelor’s degree in
business administration from Brenau University, Gainesville, GA; his master’s degree in
education from Troy University, Troy, AL; and his doctorate in professional psychology,
specializing in terrorism and violence, at Walden University. He is 26-year law enforce-
ment veteran, an administrative law hearing officer, director of law enforcement training,
professor, and core faculty member. His most notable law enforcement convictions include
the investigation and apprehension of two serial child molesters, two serial rapists, and the
first serial murderer in Augusta, GA.

Michael J. Palmiotto, PhD, is a professor of criminal justice at Wichita State University.

He is a former police officer in New York State and has experience in establishing and oper-
ating a police training facility. He has a master’s degree from John Jay College (CUNY) and
a doctorate from the University of Pittsburgh. Dr. Palmiotto is the author of ten books, as
well as numerous book chapters and articles on policing and criminal justice.

Roger L. Pennel, PhD, is a professor of criminal justice at the University of Central

Missouri. He served nearly 7 years with the Joplin, MO, Police Department, achieving
the rank of sergeant. He also served 26 years in the U.S. Army Reserve and retired as
a Criminal Investigations Division (CID) investigator. Dr. Pennel earned his associate’s
xviii ◾ Contributors

degree from Jasper County Community College, his bachelor’s degree from Missouri
Southern University, and his master’s and doctorate degrees from Sam Houston State
University, Huntsville, TX.
Cory Rodivich is a crime scene supervisor with the Wichita, KS, Police Department.
He is responsible for the daily operation and supervision of the crime scene investiga-
tion section, including the direction and supervision of investigative work at major crime
scenes. Supervisor Rodivich holds a master’s degree in criminal justice from Wichita State
University, where he currently serves as an adjunct professor in the criminal justice and
forensic science programs. He holds the honor of being the first law enforcement professional
from Kansas to attend the renowned National Forensic Academy, where he was elected
class president by his colleagues. Supervisor Rodivich has instructed police officers and
scene investigators throughout the Midwest as a consultant for the Regional Community
Policing Institute at Wichita State University. His professional affiliations include the
International Association for Identification, the International Association of Bloodstain
Pattern Analysts, and the Association for Crime Scene Reconstruction. He is certified as a
Crime Scene Investigator through the International Association for Identification.
Gene L. Scaramella, EdD, currently serves as the Dean of Graduate Studies for Ellis
University. He received his doctorate in leadership and educational policy studies from
Northern Illinois University, DeKalb, and his master’s degree in law enforcement admin-
istration and bachelor’s degree in law enforcement administration from Western Illinois
University, Macomb. Dr. Scaramella served as a police officer for 16 years with both the
Arlington Heights, IL, Police Department and the Chicago Police Department.
Donald F. Vespa, resident agent in charge (retired) for the Drug Enforcement
Administration, St. Louis Division, has extensive operational experience in investigative
surveillance techniques, informant utilization, undercover operations, and narcotic case
development, and he has over 22 years experience in drug law enforcement. Vespa has
served as a DEA High Intensity Drug Trafficking Areas (HIDTA) task force commander,
DEA state and local task force group supervisor, and DEA resident agent in charge.
J. Harrison Watts, PhD, is an assistant professor in the criminal justice and legal studies
department at Washburn University. Dr. Watts is a former police practitioner with 15 years
of progressive law enforcement experience in Texas. He has 10 years of administrative-
level management experience with assignments including sergeant in the criminal inves-
tigations division, deputy chief constable, inspector general, and city commissioner. His
research interests are focused on police policy and management.
Walter J. Wywadis is Deputy Chief of Police, Topeka, KS, Police Department. He attended
Kansas State University on a football scholarship and later became a Topeka police offi-
cer. He has served in the field of investigations as an investigator, supervisor, and division
commander. Wywadis holds a bachelor’s degree in criminal justice and a master’s degree
in management from Friends University, Wichita, KS. He is a graduate of the FBI National
Academy and the Police Executive Research Forum sponsored Senior Management
Institute for Police (SMIP) at Boston University.
 1
Foundations

Chapter 1 ■ A Brief History of Criminal Investigation

Chapter 2 ■ Introducing Criminal Investigation

1
 Chapter 1

A Brief History of
Criminal Investigation
John A. Eterno
Malloy College

CHAPTER OBJECTIVES
After reading this chapter, you should be able to do the following:

1. Explain the purpose of criminal investigation.

2. Discuss ancient civilizations’ attempts at investigation.
3. Describe “thief takers” and their importance to the history of criminal
investigation.
4. Describe the “Bow Street Runners.”
5. Identify and describe the history of Scotland Yard.
6. Describe the importance of the U.S. Postal Service to the history of criminal
investigation in the United States.
7. Explain the development of criminal investigation in the United States.
8. List some of the key figures involved in the history of criminal investigation.
9. Describe the Federal Bureau of Investigation (FBI).
10. Discuss the mission of the FBI.
11. Identify paths of employment in the wide-ranging field of criminal
investigations.

Chapter Outline
• Overview of Criminal Investigation
• Origins of Western Society’s Criminal Investigation
• English Influence
• Development of Criminal Investigation in the United States
• Contemporary Employment in Criminal Investigation

3
4 ◾ John A. Eterno

OVERVIEW OF CRIMINAL INVESTIGATION

Crime exists in every human society. Social scientists call this phenomenon a cultural
universal. Crime, then, is an inescapable truth of human existence as we know it. Before
crime can occur, however, there must be laws, formal government-created rules that can
be obeyed or disobeyed. Legal scholar Alan Dershowitz (2002) observed that laws develop
and change based on human experience. The many varieties of cultures and human expe-
riences have paved the way for many different laws and enforcement institutions, including
those familiar to most Americans. Civilizations throughout history have addressed the
need for lawmaking; the Code of Hammurabi, Ten Commandments, Magna Carta, and
U.S. Constitution are examples of milestones of law.
With law comes order, some predictability about behavior. This helps society’s insti-
tutions to function in a workable way (e.g., people feel safe enough to conduct business,
citizens can travel safely, people do not worry too much about personal belongings). At the
same time, however, laws create a class of people we call criminals—those who transgress
the boundaries created by the laws. Law enforcement authorities must then be deployed
to investigate, arrest, and prosecute these people. To Americans, and most in the Western
world, the rule of law legislated through the people’s representatives is commonplace and
generally taken for granted. Of course, law in a democratic society is not the only method
of political rule. Throughout the world and its history, police have been and continue to
be involved in other types of crimes, such as political crimes against a regime. Indeed, law
enforcement can become the defining aspect of a state—for example, a police state (e.g.,
Nazi Germany). Investigations, therefore, inherently depend on the type of legal system in
place and the personalities of those in power, among many other factors. Many countries,
for example, operate under Islamic law or socialist law. Importantly, then, the focus of this
chapter is on democratic law and the investigation of crimes therein.
The many different types of crimes can range from minor ones such as petit theft to
violent crimes such as serial murder. The following short list of crimes is neither exhaustive
nor exclusive but is meant to give the reader an idea of the vastness of criminal activity:
white collar crimes, victimless crimes, street crimes, property crimes, violent crimes, gang-
related crimes, hate crimes, domestic violence, occupational crimes, corporate crimes,
computer crimes, sex crimes, terrorism, etc. Investigations of criminal behavior can be
very complicated, specialized, and technical. These occupations often call for highly edu-
cated and extremely motivated individuals (e.g., medical examiners have advanced degrees
in medicine).
Although police officers in our society do investigate and take reports for most criminal
acts, detectives or investigators with special skills are called in for more serious crimes
such as homicide, sex crimes, and kidnappings, among other major crimes. These detec-
tives have special skills that come from education, training, and experience. Some crimi-
nals are exceedingly cunning or gruesome and require a team of investigators to capture
them. Serial killer Albert Fish is a particularly interesting example in American history. He
murdered at least 15 children in the metropolitan New York area in the 1920s and 1930s.
 A Brief History of Criminal Investigation ◾ 5

He was trusted by people due to his kind demeanor and his grandfatherly appearance. His
behavior seems to have steadily gotten worse when his wife left him when he was 49. He
was a vicious man and a cannibal (Anon., 2007, paragraph 4):

In 1928, Fish indulged his taste for human flesh on a 12-year-old girl named Grace
Budd. She was the daughter of parents who knew and trusted Fish. When Fish
offered to take her to a party for children, they let him do so without any misgivings.
Instead of a party, Fish took Grace to his cottage in Westchester County, New York.
Stripping himself naked, Fish strangled the child, and then beheaded and dismem-
bered her with a meat cleaver. He then cooked her body parts into a stew seasoned
with onions and carrots. Albert Fish then consumed this grisly repast down to the
last awful morsel, and then he vanished.

This is only one example of the absolutely horrifying nature of this killer. After another
incident in July 1924, where a police officer’s son went missing in Staten Island, a borough
on the south side of New York City, investigators were feverishly called in: “In a short period
of time, Manhattan fingerprint experts and police photographers were enlisted in the case
as well as some two hundred and fifty plainclothesmen” (Bardsley, 2010). Fish was not
caught until a break in the case occurred in July 1934. At that point, most thought the case
would never be solved, and only one investigator was still involved in the case, Detective
William King. Fish sent a letter to Delia Budd, Grace’s mother, in which he provided the
gruesome details of her murder. Following a lead from the envelope, the investigators were
able to find Fish (Bardsley, 2010):

But, Detective King realized that the details of his meeting with the Budds and Grace
were accurate. Also, the handwriting on this horrible letter was identical to the letter
the elderly kidnapper had written … six years earlier. The envelope had an impor-
tant clue: a small hexagonal emblem had the letters N.Y.P.C.B.A. which stood for
the New York Private Chauffeur’s Benevolent Association. … A young janitor [at
the N.Y.P.C.B.A.] came forward, admitting that he had taken a couple of sheets of
paper and a few envelopes. He had left the stationery in his old rooming house at 200
East 52nd Street. The landlady was shocked when she was given “Frank Howard’s”
description. He sounded just like the old man who had lived there for two months,
the old man who had checked out of her rooming house just a couple of days earlier.
The former tenant had called himself Albert H. Fish. … Finally, the post office told
Detective King that it had intercepted a letter for Albert Fish. … On December 13,
1934, the landlady called Detective King. Albert Fish was at the rooming house look-
ing for his letter. The old man was sitting with a teacup when King opened the door.
Fish stood up and nodded when King asked him if he was Albert Fish. Suddenly, Fish
reached into his pocket and produced a razor blade which he held in front of him.
Infuriated, King grabbed the old man’s hand and twisted it sharply, “I’ve got you
now,” he said triumphantly.
6 ◾ John A. Eterno

Criminal investigators seek to uproot and bring to justice such horrid lawbreakers.
Influenced by what they have seen and heard in the media, students may think that detec-
tive skills are innate to everyone, but they are not.

ORIGINS OF WESTERN SOCIETY’S CRIMINAL INVESTIGATION

Although the science of criminal investigation would not be developed until modern times,
some interesting developments date back to ancient civilizations. The medical field is clearly
the most important of the professions in determining the cause of death. Even in ancient
Egypt, physicians conducted autopsies, and autopsies can be documented back to at least
the time of the ruler Imhotep in 2980 B.C. (Ramsland, 2007). One interesting case, which
occurred in 44 B.C., was the killing of Julius Caesar, on whom a physician, Antistius, per-
formed an autopsy. It was announced in the Roman Forum that one of his stab wounds was
through the heart, killing him. Interestingly, the Latin word for “forum” is forensis, mean-
ing a marketplace or a place of debate. In Roman times, if one person accused another of a
crime, it would be taken to the Forum for debate. The best debater won the case. The Latin
word forensis, then, is the basis for the word “forensics” today (Ramsland, 2007).
An interesting development in England occurred circa 1000 A.D. Under the rule of
King Richard, an official called a crowner would perform various duties for the king. This
office would eventually evolve and be called coroner. In addition to the duties involved in
protecting the king’s interests, these officials not only collected taxes but also “summoned
inquest juries for people who were seriously wounded or who had died from ‘misadven-
ture’” (Ramsland, 2007, p. 5). Determining how a person died was important because it
affected how much money the king got. By the 13th century, this official became the person
who investigated all dead bodies. Although physicians may have been called in to help,
little accurate scientific methodology was applied at the time; therefore, coroners relied on
many different criteria to determine the cause of death, which, of course, led to interesting
if not outright outlandish conclusions. Also during the 13th century, the specialty of legal
medicine began to be offered at the University of Bologna in what is now modern-day Italy
(Ramsland, 2007). It should be noted that, from 486 through 1500 A.D., punishment was
arbitrary, and trials by ordeal or executions of the innocent were not uncommon (McKenzie,
1996). One could hardly call the investigatory practices of whatever law enforcement there
was fundamentally fair and just.

ENGLISH INFLUENCE
THIEF TAKERS
Ancient civilizations and early European practices developed the roots of modern-day inves-
tigations, but it was the lure of money and the advancement of science that served as the cata-
lysts for advances in detective work. In 18th-century England, changes in approaches to crime
fighting were instrumental in the development of modern-day investigations. Constables
and watchmen were the common law enforcement practice of the time. Mostly, these men
 A Brief History of Criminal Investigation ◾ 7

assisted victims in taking an offender to a magistrate, but it was also hoped that their pres-
ence would deter would-be criminals, as private citizens were expected to bear the brunt of
enforcing the law and doing any investigatory work. As cities became more populated, urban
problems such as poverty and crime began to escalate. The difficulties of relying on private
citizens for law enforcement became obvious, but the solution to this problem was not so
clear. As early as the 1600s, men known as “thief takers” could be found (Beattie, 2006). For a
reward or fee, these men used their knowledge of criminals and criminal behaviors to nego-
tiate between perpetrators and victims for the return of some or all of the stolen property, or
they helped bring the perpetrator to justice. Thief takers became far more numerous in the
mid-1700s because the monetary rewards for capturing criminals grew larger. These rewards
came from both the government and newspapers (Emsley et al., 2011).
Beattie (2006, p. 16) wrote that, “Over the quarter century between 1720 and 1745, and
again briefly between 1750 and 1752, the reward for the conviction of a robber in London
was 140 pounds, a sum that approached three or four years’ income for even a skilled work-
man.” Notwithstanding the inevitable corruption that such a system led to, many believed
that these methods were to some extent successful, at least compared to the constable and
watchmen, who felt little or no responsibility to investigate incidents.

BOW STREET RUNNERS

Thief takers might take a perpetrator to a local magistrate, and one place to find a magis-
trate was at the Bow Street office, which was set up in 1739; however, it was not until Henry
Fielding took control in 1748 that a remarkable shift in the activities occurred. Because the
area had an extraordinarily high rate of crime, Fielding initiated the practice of having a
group of law enforcers be proactive in finding and bringing to justice perpetrators. Beattie
(2006, p. 16) wrote,

For in the winter of 1749–50, with reports increasing of violence, … Fielding had
taken what was to turn out to be an important initiative by persuading a group of
men, including constables and ex-constables, to devote themselves to seeking out
and apprehending serious offenders and bringing them to Bow Street for examina-
tion and commitment to trial.

This, in itself, was a critical innovation, but Fielding took it a step further. Without a source
of funding, the experiment devised by Fielding could easily have failed, and, in fact, it was
on the brink of failing (Beattie, 2006). Although rewards were still coming in, they were
expensive for the government to maintain, led to corruption, and were inefficient. Further,
they were hardly adequate for this unique operation. Fielding provided the government
with a clear alternative to rewards: Give him money to pay for his group and advertise the
reporting of crimes and descriptions. Bow Street then began to pay its men directly for
their services. Clearly, Fielding took a major step forward in the development of modern-
day policing and detective work. Indeed, he has been credited with establishing the first
detective unit (Germann et al., 1978, as cited in Roberg et al., 2009, p. 34).
8 ◾ John A. Eterno

By 1765, after Fielding had died and his half-brother John had taken over, Bow Street
had clerical staff and regular people to help. This arrangement eventually caught on: “More
rotation offices were set up in Middlesex and Westminster. In 1792, the Middlesex Justices
Act created seven police offices in the metropolis, each with three stipendiary magistrates
and six constables charged with detecting and arresting criminals” (Emsley et al., 2011).

SCOTLAND YARD
By the early 1800s, it was clear that changes were needed in the way laws were enforced,
and the British Parliament set up committees to study the issues of crime and policing in
1812, 1818, and 1822 (MPS, 2011a). It was not until 1829, though, that the British Home
Secretary, Sir Robert Peel, created the first modern police force in London through the
Metropolitan Police Act (i.e., the Act for Improving the Police in and near the Metropolis).
Although the police had developed a military structure, the intent of Peel was that the
force not be military but civilian, and he deliberately chose uniforms for his officers that
had no resemblance to those of the military (McKenzie, 1996). Today, both styles of polic-
ing, military and civilian, have become commonplace, depending on the country and the
particular police force. Peel chose Scotland Yard for his first headquarters, and the name
has become synonymous with the Metropolitan Police.
Prevention was the key to Peel’s reforms; however, there was no immediate acceptance
of the police. Gaining public trust was critical: “Peel’s reforms, particularly in regards to
discipline, were not only intended to promote and preserve the public peace, but to pro-
mote and preserve the public trust. Prior to these reforms, the public’s faith in the existing
police watch systems was faint” (Anderson, 2001, p. 78). Initially, the police primarily had
an influence on the everyday quality of life, as they enforced laws against public drunken-
ness, fights, and similar minor violations.

DETECTIVES
It was not until 1842 that the Detective Branch was established, but “it soon became appar-
ent that a detective force was needed to work in conjunction with the uniformed, beat
patrol officers. Authority was given for the creation of a distinct detective force within the
Metropolitan Police in 1842” (Emsley et al., 2011). Today, detectives are fewer in number
compared to the uniformed patrol officers, and they tend to think of themselves, in gen-
eral, as vastly more skilled than the typical officer. As Emsley and Shpayer-Makov (2006, p.
12) stated, “In their memoirs and in the way that they use the media, detectives commonly
have liked to stress their knowledge of offenders, their shrewdness, their cunning, and,
in more recent times, their ability to deploy science and technology.” Unfortunately, such
skills and information can lead to corrupt activities. Indeed, scandal among plainclothes
officers is not uncommon: “Metropolitan Police detectives in the late twentieth century
have demonstrated the problems in setting police officers on relatively modest incomes to
investigate high-earning entrepreneurs dealing in, for example, drugs and pornography.
Detective officers in such situations are exposed to dangerous levels of temptation and
 A Brief History of Criminal Investigation ◾ 9

the potential for serious corruption … especially when the detectives regard themselves
as elite” (Emsley and Shpayer-Makov, 2006, p. 13). Nevertheless, it is clear that the special
skills of detectives are clearly necessary for proper investigations.
The difficulties of being a detective, including corruption and politics, among many
other possible troubles, should not be underestimated. A very early case can be found in the
then newly formed Detective Branch of the London Metropolitan Police (MPS, 2011b):

Jonathan Whicher was one of the original members of the Detective Branch. … In
1860, he was called in to assist the investigation into the horrific murder of 4-year-
old (Francis) Savile Kent. … When the nursemaid, Elizabeth Gough, reported
the child missing at 7:15 am to Mrs. Kent, a search commenced for the child, who
was found dead in an outside privy with his throat cut and a stab wound to the
chest. … The local magistrates soon became impatient for results …. They asked
the Home Office for assistance from Scotland Yard without the agreement of the
local Chief Constable, and it was after a second request from them that Detective
Inspector Jonathan Whicher, then the most senior and well known of the detectives
at Scotland Yard, was sent. Whicher concentrated on a missing night dress, possibly
blood stained, belonging to Constance, and there was also circumstantial evidence
against her. The magistrates directed Constance’s arrest and gave Whicher seven
days to prepare a case. Mr. Kent provided a barrister for his daughter who domi-
nated proceedings. Constance was released on bail and the case was later dropped.
The reaction in the newspapers was sympathetic to Constance, Whicher was heavily
criticised, notwithstanding the difficulties he had faced, and his reputation never
recovered. … Five years later, in April 1865, after a period abroad and in a reli-
gious institution in Brighton, Constance attended Bow Street magistrates court and
confessed to the murder. Her motive had apparently been to exact revenge against
the second Mrs. Kent for her treatment of Constance’s mother. … The confession
from Constance came too late to save the career of Jonathan Whicher who had been
pensioned before Constance’s appearance at Bow Street confirmed his original sus-
picion. It is a classic illustration of how early investigations were directed heavily by
magistrates, of the influence which well-to-do people could exert over local police
officers, and of the importance of immediately searching and questioning the whole
household at the scene of a crime, regardless of social status.

DEVELOPMENT OF CRIMINAL INVESTIGATION

IN THE UNITED STATES
While Sir Robert Peel was working on creating a police force in England, the American
experience with policing was also beginning, and parallels can be drawn between the two
experiences. They both had in common the rise of cities and their inherent problems of
crime and poverty. Also, the United States began to, at least to some extent, follow the model
developed by Peel: “The police departments established from the 1830s to 1850s—Boston
in 1837, New York in 1844, Philadelphia in 1854—were loosely based on the Peelian model
10 ◾ John A. Eterno

of the London police” (Roberg et al., 2009, p. 37). One of the greatest differences between
the two, uniquely American, was the large number of local departments with only tangen-
tial centralized federal government control. Further, the nature of the American system
was such that local law enforcement developed more quickly compared to federal enforce-
ment. Indeed, law enforcement at the federal level was put together in piecemeal fashion.
As Johnson (1981, pp. 74–75) stated:

Each department which exercised some control over domestic affairs (Treasury,
Post Office, etc.) had particular law enforcement problems … they evolved as each
department evolved. Federal law enforcement, therefore, developed haphazardly,
with no central supervision in response to specific needs. … Federal officers had
neither a separate identity nor a general assignment to uphold the law. Rather, they
worked within a particular government bureaucracy where they investigated spe-
cific crimes.

Recall that Peel established his force due to an act of Parliament; not so for the American
police, as each locale set up its own department, and federal agencies concentrated on their
own areas of responsibilities. This was at least partially the result of the American federal-
ism style of government. Johnson (1981) compared the American and British experiences
with police from 1829 to 1860: “London’s police therefore had a highly centralized com-
mand. … By contrast, an American chief of police had many masters. So did his patrol-
men. Mayors and aldermen interfered often and without thought about the consequences
… there was no single standard of behavior” (p. 32). Also, it was not until the American
Civil War in the 1860s that it was ultimately decided that the federal government was
supreme. Prior to that, the neophyte democracy still had many lingering questions regard-
ing the power of the states.
Today, investigations in the United States are accomplished by an array of local, state,
and federal agencies, reflecting the power structure of our complex government. According
to the U.S. Department of Justice (BJS, 2007), 17,876 state and local law enforcement agen-
cies employed 1,076,897 employees in 2004. Many of these are small agencies that do not
have detectives. For these smaller agencies, when an incident requiring further inves-
tigation occurs, detectives from state, county, or other local departments are called in.
Adding to the state and local numbers, at the federal level 30 agencies have 100 or more
law enforcement officers who are full time and authorized to carry firearms and make
arrests (BJS, 2007).

THE EARLY AMERICAN EXPERIENCE: THE POSTAL SERVICE

Understanding the development of investigations in the United States is no simple mat-
ter. It appears that necessity was definitely the mother of invention. One of the earliest
attempts at investigations in the United States involved the Postal Service. In the 1800s, the
U.S. Postal Service was one of the most important agencies, and laws against tampering
with the mail date back as far as the beginning of the nation in 1789. Such laws required
 A Brief History of Criminal Investigation ◾ 11

enforcement, though. As the nation grew, Americans used the mail system to transport
cash or other valuables, making the Postal Service ripe for criminal activity. In the early
19th century, it became obvious that some substantial enforcement was needed. Special
agents were hired who not only investigated crime but also performed a variety of inspec-
tion duties (Johnson, 1981); these special agents did investigations but were not full-time
detectives. Furthermore, before 1830, very few of these special agents existed: “Postmasters
general probably employed no more than a dozen special agents at any one time” (Johnson,
1981, p. 78)
In 1836, Congress passed a law that allowed the hiring of full-time special agents with
arrest powers; these special agents became the first formal police force within the executive
branch of the federal government. These new special agents were finally full-time investi-
gators (Johnson, 1981, pp. 79–80):

[Post Office detectives] developed the habit of making thorough investigations as

systematically and as unobtrusively as possible. J. Holbrook, a special agent in the
1850s, used methods which convey some of the meticulous care these men adopted.
In a case involving the theft of several letters containing money, Holbrook disguised
himself as a traveler. This permitted him to survey the mail route, observe the rou-
tines of the postmasters, and learn the habits of local postal employees in casual
conversations with local inhabitants. When he noticed that a venerable postmaster
happened to own a coat somewhat too grand for his income, Holbrook arranged a
trap to test his suspicions. He sent a packet containing marked bills along this mail
route, confirmed that it had disappeared upon its arrival at the suspected post office,
and caught the old postmaster with his wallet full of the marked money. Such detec-
tive methods seem to have been fairly typical throughout the century.

The Postal Service is one of the earliest examples in American history of the use of detec-
tives who were exclusively government agents; however, a fairly common practice, even for
the government, was to hire private detectives.

ALLAN PINKERTON
One of the most well known private detectives was Allan Pinkerton. In the 19th century,
he created one of the most famous detective agencies known throughout the world and
which still exists today—the Pinkerton National Detective Agency. The Pinkerton Agency
is credited with saving President-Elect Abraham Lincoln’s life in 1861 in Baltimore, among
their many other accomplishments (Anon., 2011). Pinkerton was born in Scotland in 1819.
His father was a police sergeant who died when Pinkerton was young, and his family was
very poor. As a young man, he got involved in a movement that called for political and
social reform. When the government issued a warrant for his arrest, Pinkerton fled to
the United States in 1842. His career as a law enforcement officer began after he caught
counterfeiters while cutting wood near Chicago. His reputation growing, he was given an
appointment as a deputy sheriff. Although the actual dates are in doubt, sometime around
12 ◾ John A. Eterno

1849 he was appointed as the city police’s first and, for a while, only detective. He soon
quit that job. Pinkerton himself said that he left that job because of “political interference”
(Mackay, 1996, p. 68).
Interestingly, and a fact not often cited in biographies of Pinkerton, at this point in his life
he was “eagerly snapped up by the United States Post Office which appointed him Special
United States Mail Agent” (Mackay, 1996, p. 69). As we know from our earlier discussion,
the Postal Service was one of the most professional investigative bodies of its time. Pinkerton
went undercover and brilliantly solved a case, determining that “one of the sorters, Theodore
Dennison, had a brother named Perry who had once been arrested for pilfering mail in
another town. Allan, in his guise as a recently arrived Scottish immigrant, befriended the
Dennisons and learned that they were, in fact, nephews of the Chicago postmaster” (Mackay,
1996, p. 69). Shortly after this excellent piece of undercover work, Pinkerton left the post
office and created the North-Western Detective Agency (later Pinkerton and Co.); however,
it should be noted that Pinkerton did not invent the private detective nor the private detec-
tive agency. Although he was certainly very good at it, a French detective, Eugene Francois
Vidocq, is generally considered to be the first modern detective. Vidocq created an agency
in 1832 or 1833, well before Pinkerton (Brown, 2006; Emsley et al., 2006; Mackay, 1996).
Pinkerton’s name, however, has become synonymous with investigations. He certainly pop-
ularized such work and enjoyed many successes. He was even hired by the Union during the
Civil War to obtain military information about the Confederate states (Anon., 2011).
Pinkerton also helped popularize a romanticized notion of criminals. Unlike the numer-
ous theories of crime that exist today, all essentially sociologically or psychologically based,
the image of a criminal as an equal adversary for detectives began to emerge. Walker (1977,
p. 22) observed that, “Between 1874 and 1885 Pinkerton published more than eighteen
books on crime and criminals. … Pinkerton wrote that ‘romance and tradition have for a
long period of time accredited the cracksman with being the most expert in their profes-
sion.’ The police officer was expected to match wits with these expert criminals.”

THE FBI
The Postal Service and the Treasury Department (Secret Service) were early federal govern-
ment investigative bodies. Today, the preeminent federal agency for law enforcement inquiries
is the Federal Bureau of Investigation (FBI). Although many other federal agencies conduct
investigations, those agencies tend to concentrate on very specific crimes; for example, the
Drug Enforcement Agency (DEA), Bureau of Alcohol, Tobacco, Firearms, and Explosives
(ATF), and Internal Revenue Service (IRS) all do investigations, but their work is specifically
tailored to the mission of the particular agency. The FBI, however, is unique in that its mis-
sion is far more general in nature. Indeed, its mission statement reads (FBI, 2011a):

To protect and defend the United States against terrorist and foreign intelligence
threats, to uphold and enforce the criminal laws of the United States, and to provide
leadership and criminal justice services to federal, state, municipal, and interna-
tional agencies and partners.
 A Brief History of Criminal Investigation ◾ 13

Investigations by the FBI can overlap with those of other federal agencies, and the FBI
may even take over. The well-known raid that took place in February 1993 on the Branch
Davidians in Waco, Texas, was initially an ATF operation. The FBI was called in to assist
after a raid by the ATF was unsuccessful, leaving four of its agents dead. A 51-day standoff
followed after the FBI took charge; it ended badly, and many of the Davidians died after the
FBI stormed the compound. The raid is still controversial today.
After 9/11, the FBI took on added significance in the war on terror. President George W.
Bush created the Department of Homeland Security (DHS) to ensure that all of the fed-
eral agencies involved in law enforcement were properly sharing information and working
together. The FBI, however, clearly has absorbed the lion’s share of federal investigations,
in addition to acquiring an enormous amount of expertise.
The FBI was created relatively recently compared to some of its counterparts (e.g., U.S.
Postal Service, Secret Service). Indeed, the oversight body of the FBI, the Department of
Justice (DOJ), was not created until 1870. The DOJ often utilized the Secret Service and
private detectives for their investigations (FBI, 2011b). What was to become the FBI was
not created until 1908. In that year, Attorney General Charles Bonaparte under President
Theodore Roosevelt assigned ten former Secret Service employees and some others to be
special agents; however, the specific reason for formation of the agency was political. There
was a fight between the President and Congress over corruption, and the Secret Service
agents on loan to the DOJ were subject to severe criticism for an investigation they did on
a U.S. Senator. Jeffreys-Jones (2007, p. 39) summarized the situation:

In 1904, Secret Service detectives on loan to Justice had obtained evidence that led
to the conviction of a number of land fraudsters, including U.S. Senator John H.
Mitchell (R-Ore.). … Unhappy about the investigation to which he had been sub-
jected, Congress directed a barrage of criticism at the Secret Service. This culmi-
nated, in the spring of 1908, in a legislative ban on the Treasury Department’s loan
of Secret Service detectives to any other department. Faced with this ban, the execu-
tive created the Justice Department’s own detective force.

When the terms of the Attorney General and President were completed in 1909, they
recommended that the 34 agents then assigned become a permanent force. The next
Attorney General, George Wickersham, named this group of agents the Department of
Investigation (FBI, 2011b), and the Bureau was given its current name in 1935. In 1924,
J. Edgar Hoover became the director of the FBI. He made many changes and oversaw a
rapid expansion of the Bureau. In 1932, the FBI began releasing its Most Wanted lists.
During World War II, the FBI collected intelligence and tracked down deserters. Today,
terrorism, cybercrime, white collar crime, and organized crime are among the many fed-
eral crimes investigated by the Bureau. The FBI is the main domestic investigative agency
for the U.S. government, and it reports to the Attorney General. The FBI, however, does
not have the disciplinary powers of state and local police forces. Those police forces, who
do the vast majority of police work in the United States, run their own departments under
local authority.
14 ◾ John A. Eterno

CONTEMPORARY EMPLOYMENT
IN CRIMINAL INVESTIGATION
In today’s world, there is no shortage of criminal behavior. In fact, the United States has
the dubious distinction of having the highest prison population rate in the world and is
the largest consumer of the world’s illegal drugs (Eterno and Das, 2010). On a global level,
transnational crime and terrorism are ever increasing as modern technology and trans-
portation systems expand to more and more countries. Opportunities for careers in inves-
tigation should be widely available for the foreseeable future; however, this field offers so
many potential career paths that it is beyond the scope of this chapter to explain them all.
Instead, readers interested in careers as investigators are given a broad outline on how to
proceed.
Preparing for a career as an investigator requires one to be aware of the possible tracks
one can take. In very general terms, one can work in a laboratory setting or in a field set-
ting. For those thinking of working in a laboratory (say, examining DNA), the requisite
educational path would be one in the hard sciences, with a major in biology, chemistry,
forensic science, or other related subject. This would allow entrance to graduate-level pro-
grams to prepare for work in a laboratory setting. In addition to DNA analysis, forensic
investigations can involve, for example, fingerprints, firearms, poisons, polygraph testing,
human remains, autopsies, accounting, computers, applied psychology, and much more.
Working in the field as an investigator requires a different set of skills. Although knowl-
edge of forensics is helpful, generally a detective working in the field would not be required
to develop a sophisticated, higher education in the sciences. Those interested in field
investigations would more likely major in criminal justice or a related discipline. These
careers generally involve becoming a sworn officer. The skills required are very different
and include an understanding of criminal and procedural laws, methods of interrogation,
understanding a crime scene, developing a case for prosecution, understanding modus
operandi, spotting patterns in criminal behavior, understanding the causes of criminality,
and much more.
Choosing which track to take will depend on one’s interests and abilities; for example,
those interested in accounting might seek to become experts in white collar crime. This
very wide range of potential careers makes it important for future investigators to think
about what they would like to do in the future as soon as possible so their education can
be tailored to achieving that goal. Those interested in becoming an FBI special agent, for
example, should know that the FBI has five entry-level programs: accounting, computer
science/information technology, language, law, and diversified (combination of full-time
experience and education).
As you read through this book, certain topics may be more appealing to you, and you
may even consider embarking on a career in one; however, you need to do your homework
to find out what it takes to become that particular type of investigator and to determine
job opportunities in that field. Some careers are more likely to have openings than others.
Importantly, students should talk to an advisor and a practitioner as early in their college
career as possible.
 A Brief History of Criminal Investigation ◾ 15

QUESTIONS FOR DISCUSSION

1. Discuss some of the skills required to expose the serial killer Albert Fish.
2. Based on the discussions regarding ancient civilizations and early investigations,
is it necessary to have a fair and just system to properly investigate crime?
3. Why did modern-day detectives develop?
4. Are detectives more prone to corruption? If so, why? If not, why not?
5. The United States has a unique system of law enforcement. Can it be made more
efficient? If so, how? If not, why not?
6. If you wish to become an investigator, what are some steps you can take to reach
your goal?

BIBLIOGRAPHY
Anderson, J. (2001). Iron Discipline, Then and Now. Law & Order, 49(8):77–78.
Anon. (2007). Albert Fish, the Grandfatherly Ghoul, http://twistedminds.creativescapism.com/most-
notorious/albert-fish/af-murders/.
Anon. (2011). Allan Pinkerton. In Encyclopaedia Britannica Online, http://www.britannica.com/
EBchecked/topic/461110/Allan-Pinkerton.
Bardsley, M. (2010). Albert Fish: The Manhunt, http://www.trutv.com/library/crime/serial_killers/
notorious/fish/8.html; Albert Fish: A Clue, http://www.trutv.com/library/crime/serial_killers/
notorious/fish/10.html.
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 Chapter 2

Introducing Criminal
Investigation
Bryan Courtney
Missouri Western College

CHAPTER OBJECTIVES
After reading this chapter, you should be able to do the following:

1. List and describe the qualifications necessary to become a criminal

investigator.
2. List and describe specific training for criminal investigators.
3. Explain the role of the initial responding officer at a crime scene.
4. List and describe the goals of criminal investigations.
5. Describe the functions of a criminal investigator in documenting a crime
scene.
6. Describe the role of criminal investigations in the overall police mission and
comprehend the challenges facing the criminal investigations unit in a com-
munity policing environment.

Chapter Outline
• Introducing Criminal Investigation
• Qualifications for Becoming a Criminal Investigator
• Selection Process
• Specialized Training for Criminal Investigators
• Role of the Patrol Officer in the Preliminary Investigation
• Role and Function of the Criminal Investigator

17
18 ◾ Bryan Courtney

INTRODUCING CRIMINAL INVESTIGATION

Criminal investigations and the criminal investigator carry with them near mythical status
and high regard from those within law enforcement and from society at large. The enter-
tainment industry has had a long affection for criminal investigations and the criminal
investigator. Countless novels, movies, and television programs have presented exciting
tales about the criminal detective. Visit any bookstore and you will find a “Crime” section
whose shelves are lined with stories about notorious crimes and criminals. Pop culture por-
trays criminal investigations as an exciting career filled with car chases, gun battles, and a
continual game of chess played between criminal investigators and the perpetrators.
If you were to ask criminal justice students or recruits in a police academy what their
career goals are, often their answers would focus on the general area of criminal investi-
gations. This chapter is designed to provide an overview of what it takes to be a criminal
investigator, ranging from the basic skill sets necessary to become a criminal investigator
to the common qualifications law enforcement agencies require for the position of detec-
tive. This chapter also reviews the selection process within law enforcement agencies for
detectives and provides a summary of the training recommended or required for criminal
investigators. Additionally, this chapter provides an examination of the role that patrol
officers fill in the preliminary investigation. Specific job functions of the detective, such as
crime scene management, documenting the crime scene through photography, and crime
scene sketching, are explored, as well as the role that criminal investigators serve within
the context of the overall mission of the police in our society.

QUALIFICATIONS FOR BECOMING

A CRIMINAL INVESTIGATOR
Qualifications for becoming a criminal investigator in most agencies generally include the
requirement of prior experience in the patrol division (DMPD, 2011). The minimum time
required in patrol before becoming eligible to bid for a detective position within the orga-
nization is agency specific but generally ranges from 6 months to 6 years (BLS, 2011). A
review of numerous departmental detective job postings revealed that most commonly a
minimum of 3 years of patrol experience was necessary before applying for any specialized
position, including detective (KCPD, 2011).
The minimum qualifications for entering an organization’s selection process for a
position in the criminal investigations unit will vary by agency, depending on its size,
specialization, and responsibilities. As an example, with regard to the Alexandra Police
Department: “The Criminal Investigation Section’s primary responsibility is to conduct
the follow-up investigations of crimes that occur within the City. Examples of these
investigations are homicides, death cases, rapes and other felony sex offenses, commercial
robberies, offenses wherein juveniles are victims or suspects, financial crimes, computer
crimes, domestic violence, stalking, child welfare (ex: CHINS, child abuse, cases involv-
ing Child Protective Services), missing persons, and other serious investigations requir-
ing intensive specialized or confidential investigation” (APD, 2011). One can speculate
 Introducing Criminal Investigation ◾ 19

that this or any agency would favor those candidates from patrol who enter the criminal
investigator selection process having developed skills and acumen in any of these special-
ized areas.
General qualifications may also include demonstrated interpersonal skills illustrating
that the detective candidate is able to successfully build relationships outside of the organi-
zation across gender, ethnic, generational, and political groups (Bennett and Hess, 2007).
Also key is that law enforcement agencies will evaluate the candidate’s demonstrated
ability to develop solvability factors during preliminary investigations while in patrol.
Additionally, the organization will evaluate if the detective candidate has been able to suc-
cessfully build professional relationships and has effectively communicated with the crim-
inal investigations unit from his or her patrol position. Criminal investigation is a process
of discovering, preparing, identifying, and presenting evidence. Organizations will look
for candidates who have demonstrated these skills, as well as the ability to perform deduc-
tive reasoning, a logical process in which a conclusion follows from specific facts (Bennett
and Hess, 2007). It has long been said that the greatest predictor of future performance is
past performance; law enforcement agencies will look to promote candidates for detective
positions that have a demonstrated history of assisting the criminal investigations unit in
successful clearance of criminal investigations.

SELECTION PROCESS
Generally, the process begins with a job posting, which informs department personnel of
an opening in the criminal investigations unit. Interested officers submit their interest in
the position following department policy, which typically requires sending a résumé to the
patrol officer’s supervisor. The supervisor will evaluate if the interested party has met the
minimum qualifications for the position; if so, the supervisor will enter the interested offi-
cer into the candidate pool. Applicants will be screened for eligibility for the promotional
process through reviews of the candidate’s experiences and expertise as they relate to the
qualifications of the posted position. Upon being entered into the promotional process
for detective the candidate will generally have to successfully navigate a selection process
consisting of an assessment center, written test, panel interview, role play, group exercise,
and in-basket (KCPD, 2011).
Larger agencies may require candidates who meet the minimum requirements for the
rank of detective or investigator to successfully complete the agency’s promotional acad-
emy. The Madison Police Department requires all of the detective and investigator candi-
dates who have successfully passed the department’s screening process for admission to
the promotional academy to complete a week of technical competency skills specific to the
rank and training in general quality improvement methods and leadership skills. Those
candidates who score 70% or higher are allowed to continue on to the assessment center
(MPD, 2011). The assessment center is essentially a job simulation consisting of various
exercises designed to assess the qualifications and developmental potential of each candi-
date. The exercises are based on job-related situations and are designed as interpersonal and
administrative exercises. A typical assessment center will be comprised of five sections for
20 ◾ Bryan Courtney

all ranks: written exam, interview, in-basket assignment, role-play situation, and a group
exercise. Nearly all agencies will require a written test in the promotion process that gener-
ally covers organizational policy, procedure, state law, and in some cases materials from a
reading list assigned to the candidates during the selection process (MPD, 2011).
Interviews are generally included in the selection process for positions in the criminal
investigations unit. Interviews are conducted by a promotion panel and serve to evaluate
the candidate’s skills, knowledge, and abilities to perform the functions required of the
position. Interview topics can include familiarity with department policies and procedures
and applicable statutes, as well as the candidate’s motivation to become a detective, initia-
tive, problem-solving and organizational skills, history of teamwork, report writing abil-
ity, crime scene expertise, tactical response, and view of the role of detective within the
department and in an interagency capacity (MPD, 2011).
Role plays included in the selection process generally focus on crime scene processing for
investigators and interviewing for detectives. Group exercises for detectives and investiga-
tors can include debate, major incident simulation, and demonstration of communication
skills. The in-basket exercise for detectives generally includes a simulated case assignment
for the candidate to work. Evaluation criteria for the assessment center can include scoring
the candidate’s communication skills, both internal and external to the organization, in
addition to problem solving and case feedback (MPD, 2011).
Candidates are scored based on their performance throughout the selection process by the
promotion panel. Generally, departments post a list in rank order of those who completed
the promotion process. Open positions will be filled by the highest ranking candidates on
the promotional list, which is typically posted for 12 months (DPD, 2011). Candidates who
are promoted to the criminal investigations unit generally enter the unit on a probationary
basis and are subject to review at the end of the probationary period. New detectives who
successfully pass the evaluation at the end of their probationary period will remain in that
capacity; those who do not may be removed or retrained. Candidates not promoted dur-
ing the life of the promotional list will need to repeat the selection process to be eligible for
future detective or investigator position openings within the criminal investigations unit
(KCPD, 2011).

SPECIALIZED TRAINING FOR CRIMINAL INVESTIGATORS

The old-school image of the criminal investigator suggests that the successful clearance of
criminal investigations is the result of the detective beating the streets in search of clues,
and the only technology required of the position is shoe leather. The criminal investigator
of today, though, needs to have a wide range of technical acumen. The modern crimi-
nal investigator has many resources available to aid in the investigative process, and most
require specialized training. Specific training for detectives will generally focus on the nec-
essary skill sets directly related to the role and function of criminal investigators, including
crime scene processing methodology skills such as crime scene assessment, observing the
crime scene, documenting the crime scene, conducting effective and efficient crime scene
searches, and processing and analyzing the crime scene.
 Introducing Criminal Investigation ◾ 21

Specific skills that are very useful to criminal investigations and that often require spe-
cialized training include (Swanson et al., 2006):

• Applying light technology

• Recovering fingerprints
• Casting impression evidence
• Bloodstain pattern analysis
• Bullet trajectory analysis
• Applying light technology

ROLE OF THE PATROL OFFICER IN

THE PRELIMINARY INVESTIGATION
The role of the patrol officer in criminal investigations has evolved over the years from
the traditional model focusing on random preventive patrol and responding to calls for
service (Kelling, 1974). The traditional view of the patrol officer’s role in criminal inves-
tigations was based on the premise that a criminal investigation did not actually begin
until the detectives arrived on the scene. The role of the patrol officer was simply to get to
the crime scene as quickly as possible, arrest any suspect still onsite, care for the injured,
identify witnesses, and secure the scene until the detectives arrived to take over the crimi-
nal investigation. Research has shown that the actions of the initial responding officer
to a crime scene is critical to the successful conclusion of a criminal investigation when
that officer takes on an expanded role in the preliminary investigation (Greenberg and
Wasserman, 1979).
To examine the ideal role of the patrol officer in preliminary investigations it is neces-
sary to define “preliminary investigation.” Every individual law enforcement agency will
have its own policies and protocols in effectively directing what steps the patrol officers
within a specific agency will take in reference to preliminary investigations. Generally,
the role of patrol officers in preliminary investigations can be defined using the acronym
PRELIMINARY (Greenberg and Wasserman, 1979):

Proceed to the scene promptly and safely.

Render assistance to the injured.
Effect the arrest of the criminal.
Locate and identify witnesses.
Interview the complainant and the witnesses.
Maintain the crime scene and protect the evidence.
Interrogate the suspect.
Note conditions, events, and remarks.
Arrange for collection of evidence.
Report the incident fully and accurately.
Yield the responsibility to the follow-up investigator.
22 ◾ Bryan Courtney

INITIAL RESPONSE FUNCTIONS OF PATROL

OFFICERS AT A CRIME SCENE
The initial responding officer will proceed to the scene of the crime after learning of the
crime scene from a citizen contact, because of self-initiated activity, or most frequently
because of a radio communication from the department call center. The initial respond-
ing patrol officer is not directly responsible for the processing of the crime scene; how-
ever, the officer does serve a vital role in the successful clearance of criminal investigations
(Gardner, 2000). Specific objectives of the initial patrol officer response to a crime scene
should include mentally documenting information. Dispatch will provide information
provided by the calling party which can be anywhere between 100% accurate and timely
to incomplete, inaccurate, and minus a logical time sequence of events. A very necessary
and important skill for patrol officers is to take in information, mentally document it, and
remain open to new information as it develops. Information may be communicated via
radio transmissions or may be gained through personal observations, witness input, or
suspect input. Any of this new information may contradict or even conflict with initial
information. Suppose, for example, a call center dispatches a patrol officer to a crime scene
where a citizen caller has described a suspect driving from the area of the crime scene in a
green van that is on fire. Upon arriving in the area of the crime scene, the officer observes
a blue van that is on fire leaving the area of the crime scene. Obviously, the patrol officer
would process the new information gained from personal observation—a blue van is on
fire, is leaving the crime scene, and is very likely the suspect vehicle. The officer in this
example would process all available information and take appropriate actions based on
this new information.
Later, in the reporting process, it will be very important for the patrol officer to be able
to translate this mental documentation into report form. In-car cameras, recorded phone
lines, and recorded radio transmissions are excellent resources for documenting the initial
response to a crime scene. These audio and visual recordings provide a record that can later
be utilized if necessary in the report-writing process to corroborate or dispute the mental
notes taken by the patrol officer upon arriving at the crime scene.

OFFICER SAFETY CONCERNS FOR PATROL OFFICERS

IN THE INITIAL RESPONSE TO A CRIME SCENE
Officer safety is always a priority, and a heightened concern for officer safety should occur
as officers are approaching a known crime scene. The natural response by patrol officers
when directed to a crime scene is to get there quickly. It is very important to temper the
need to get to the scene quickly with the safety of the responding officer and with citizen
safety. In 2009, 48 officers were feloniously killed in the line of duty, 47 officers were acci-
dentally killed while on duty, and 34 of those deaths resulted from automobile accidents
(FBI, 2010). It is very important for patrol officers responding to a crime scene to remember
that they cannot be of service if they fail to arrive at the scene.
 Introducing Criminal Investigation ◾ 23

The responding patrol officer must be open to any and all sources of information and
open to new information when approaching a crime scene. The responding officer may have
received some information from dispatch or other sources in reference to any weapons,
natural hazards, manmade hazards, or any other potential threats at the crime scene and
should take all of this information into consideration when arriving at the scene (Gardner,
2000). Many times, the information about what exactly the potential threats are at a crime
scene is incomplete at best and many times completely unknown. Officers should work to
develop a strong tactical acumen and use their training and experience to protect them-
selves and others in the initial approach to crime scenes. In the initial approach to a crime
scene it is very important to determine if there is a crime in progress and if the suspect is
still at the scene. If a suspect is at the scene, the patrol officer must determine if there are
multiple suspects and whether or not the officer has the tactical acumen to arrest the sus-
pects. If the suspect has left the scene prior to arrival of the patrol officer, is an injured victim
present? If so, does the victim present any threat to the officer’s safety? When the respond-
ing officer has determined that no threats to the officer’s safety are present and declares the
scene secure, the officer can begin rendering assistance to any injured victims.

PATROL OFFICER RESPONSIBILITY FOR CARING

FOR THE INJURED AT THE CRIME SCENE
The role of the patrol officer has multiple demands, including providing medical assistance
to victims in need of emergency medical care. Many crimes committed against persons
result in injuries and death. Initial responding patrol officers arriving at a crime scene who
encounter physical injuries requiring medical assistance should activate emergency medi-
cal services (EMS) to assist the victims. It may be necessary to perform lifesaving func-
tions such as cardiopulmonary resuscitation (CPR), stop bleeding wounds, or provide an
airway, among a wide range of other life-saving activities, while waiting for EMS to arrive
at the scene. Having an ongoing medical emergency taking place in the middle of a crime
scene presents some challenges to preserving crime scene integrity and evidence (Gardner,
2000). With EMS on the scene and caring for the crime victim, the initial responding offi-
cers can turn their attention solely to managing the crime scene, particularly minimizing
EMS damage to the crime scene, maintaining crime scene security, and controlling anyone
at the crime scene (Gardner, 2000).

SECURING THE CRIME SCENE

Controlling who is in the crime scene involves identifying victims, witnesses, suspects,
other officers, EMS, etc. who are within the crime scene area. It is important to identify
those parties who are critical to the investigation and are performing investigative func-
tions and to ensure that they are the only persons actually inside the crime scene (Gardner,
2000). It is very common for other officers to migrate to an active crime scene to see what
happened. Victim’s family members, friends, witnesses, and onlookers may also migrate to
24 ◾ Bryan Courtney

the crime scene for their own personal reasons or curiosity. The initial responding officer
should quickly put up a crime scene tape barrier to keep those not directly involved in the
investigation out of the scene. Some officers, victims, witnesses, and onlookers may resist
when asked to step back from the crime scene. It is important that the officer use a firm but
respectful tone and approach to ensure that all comply and that the integrity of the crime
scene is preserved (Colwell and Huth, 2010).

TURNING THE CRIME SCENE OVER TO

THE CRIMINAL INVESTIGATIONS UNIT
The role of the initial responding officer to a crime scene is so critical that research findings
indicate that the majority of criminal investigations that are successfully concluded relied
heavily on the observations of the initial responding officer (Greenberg and Wasserman,
1979). The research concluded that the initial responding officer was critical in the pre-
liminary investigation in gathering specific information described as solvability factors that
would increase the likelihood of successfully concluding investigations. A key role for patrol
officers in the preliminary criminal investigation is to collect as much solvability factor
information at the crime scene as possible, including (Greenberg and Wasserman, 1979):

• Immediate availability of witnesses

• Naming of a suspect
• Information about a suspect’s location
• Information about a suspect’s description
• Information about a suspect’s identification
• Information about the suspect’s vehicular movement
• Information about traceable property
• Information about significant modus operandi
• Information about significant physical evidence

After the initial responding officer has arrived at the crime scene, cared for the injured,
arrested the suspect, identified victims and witnesses, secured the scene, and set up the
crime scene barrier, eventually the criminal investigations unit detectives will arrive on
the scene and the officer will turn the crime scene over to the investigators. Historically,
the dynamics of the relationship between patrol officers and detectives has been a source of
potential friction. Police scholar and former Wichita Police Chief O.W. Wilson stated that,
“The communication of information between patrol officers and investigators is a vital fac-
tor in the success of criminal investigations. Investigators should make every effort to fos-
ter the cooperation and enthusiasm of patrol officers through frequent personal contacts,
by making certain that beat officers receive acknowledgment in reports and press releases,
and by fostering preliminary investigations by patrolmen. One of the fastest ways to stop
the cooperation between patrol officers and investigators is to have the latter reword the
preliminary investigation as if the patrol officer were not to be trusted” (Greenberg and
Wasserman, 1979).
 Introducing Criminal Investigation ◾ 25

Ideally, law enforcement as a whole has embraced the patrol officer as a critical compo-
nent of criminal investigations overall and specifically in preliminary investigation. Every
agency should work toward meaningful communication and partnerships between patrol
personnel and investigations personnel to increase the likelihood of successful closure of
criminal investigations. Turning over a crime scene from patrol to the criminal investiga-
tions unit in a professional manner is an excellent avenue for easing potential friction and
can serve as a catalyst for fostering a closer relationship between patrol officers and detec-
tives, potentially improving the successful closure rate of criminal investigations. The first
step in turning over the crime scene to the criminal investigations unit requires the initial
responding officer to provide a proper debrief of the crime scene to the responding detective.
The debrief should include a detailed summary of the officer’s initial observations approach-
ing the scene; initial observations upon arriving at the scene; any and all of the solvability
factors information the officer was able to collect, including pointing out any witnesses to
the detective, any fragile evidence or evidence that may rapidly deteriorate, and any second-
ary crime scenes; and explaining the crime scene barrier (Gardner, 2000). When the initial
responding officer has clearly communicated all observations, actions, and solvability fac-
tors to the detective and the detective clearly communicates to the officer that the informa-
tion has been received and that investigations now has the scene, the officer can assume a
supporting role, begin the report writing process, or take whatever action the situation or
department policy dictates once the scene is released to the criminal investigations unit.

DOCUMENTING THE CRIME SCENE

The criminal investigator’s primary goal in processing a crime scene is the identification,
collection, preservation, and reporting of evidence found at the crime scene. Properly doc-
umenting the crime scene is critical to successful completion of criminal investigations.
Crime scene documentation consists of four key steps (Bennett and Hess, 2007):

1. Notes
2. Photography
3. Sketches
4. Report

All four components of crime scene documentation are interdependent in properly recall-
ing the crime scene later in court (Bennett and Hess, 2007).

Crime Scene Photography

The study of crime scene photography can be an exhaustive and complex exploration into
camera technology, technique, focus and depth of field, digital vs. film, and so on (Redsicker,
2000). This chapter focuses only on general guidelines for photographing almost any crime
scene, keeping in mind the goal that crime scene photographs must accurately record the
condition, orientation, spatial relationships, and physical evidence within the crime scene
(Gardner, 2000).
26 ◾ Bryan Courtney

General Crime Scene Photography Guidelines

General guidelines for effective crime scene photography include the following (Swanson
et al., 2006):

• Photograph the crime scene as soon as possible.

• Photograph the crime scene with a partner who will keep an accurate photo log
detailing the time, photo number, and location within the crime scene where the
photo was taken.
• Capture overall photographs depicting the general condition and layout of the
crime scene.
• Capture evidence-establishing, mid-range photographs that serve to identify small
items of physical evidence within the overall crime scene.
• Capture close-up photographs of evidence.
• Photograph the crime scene from eye level to maintain a normal orientation view
of the scene.
• Photograph fragile areas of the crime scene first.
• Photograph all stages of the crime scene investigation, including discoveries of
evidence.
• Photograph evidence before it is collected and placed into custody.
• Photograph evidence to scale; when a scale is used, take a photograph without a
scale before inserting a scale next to the evidence.
• Use a fish-eye lens for overall interior photographs.
• Include a 360-degree view of exterior crime scenes.
• Photograph points of entry and exit from inside and out.
• Capture multiple images of important evidence from overall scene, mid-range,
and close-up perspectives.
• Prior to entering the scene, speak with the officer involved in the preliminary
investigation to gain an overall view of the crime scene and to determine what
sketches or photographs may have been taken prior to the criminal investigators’
arrival.

It is critical that criminal investigators be aware that, to be admissible in court, crime scene
photographs must be material, relevant, accurate, free of distortion, and non-inflamma-
tory. The court will evaluate crime scene photographs to determine if they will be allowed
into evidence in a trial proceeding based on specific criteria: Crime scene photographs
must be material; a material photograph is directly related to the specific case and subject.
Crime scene photographs must be relevant; a relevant photograph assists in supporting and
illustrating witness testimony. Crime scene photographs must be competent; a competent
photograph is an accurate representation of what was photographed. Its chain of custody
has been accurately documented and maintained, and the photograph was secured until
presentation as evidence in court.
 Introducing Criminal Investigation ◾ 27

Crime Scene Sketches

Crime scene sketches are excellent tools in crime scene documentation; when completed
in a professional manner, they accurately portray the physical facts within a crime scene,
create a permanent record of the location of physical evidence and their spatial relation-
ships within a crime scene, illustrate the sequence of events at the crime scene, and assist
in creating a picture of the crime scene for those not present at the crime scene (Bennett
and Hess, 2007). Additionally, crime scene sketches can be utilized by the prosecution, as
crime scene sketches are admissible in court.
The most common type of crime scene sketch is the rough sketch. The rough sketch is as
simple as it sounds—an outline of the crime scene drawn freehand, generally with a pen-
cil, depicting the overall scene and placement of objects and evidence within the outline
(Bennett and Hess, 2007). Sketching should begin after the preliminary investigation and
after the crime scene photographs have been taken. The steps in sketching a crime scene
include observing and planning, measuring distances, outlining the area, locating objects
and evidence within the outline, recording details, making notes, creating a sketch legend
and scale, and reassessing the sketch (Swanson et al., 2006).
Observing and planning the sketch require looking at the crime scene and creating a
mental image of the scene to document in the form of a rough sketch of an outline of the
crime scene. Locating objects and evidence within the crime scene involves measuring
distances and creating a record of the spatial relationships of objects both outside and
inside the crime scene. All measurements should be taken with a steel tape measure and
from fixed objects that cannot be moved or removed. Common fixed objects are walls,
trees, corners of structures, and curbs. Two common techniques for plotting objects and
evidence within crime scenes are the rectangular-coordinate method, where two adjacent
walls serve as fixed points from which distances are measured at right angles, and the
baseline method, a process of creating a straight-line axis and measuring at right angles
from the straight line to the object or evidence and recording the distance between the two
(Swanson et al., 2006).
After completing the crime scene rough sketch, the investigator should accurately docu-
ment in crime scene notes any observations of the crime scene that could not be sketched.
Crime scene notes provide further explanation and supporting information such as the
weather conditions at the time of the crime scene investigation, lighting conditions, and
what people were present (Gardner, 2000). Anyone who has ever looked at a map is familiar
with a map legend. The map legend gives users detailed information, such as scale, points
of interest, highway rest stops, and so on. A crime scene sketch should also have an accom-
panying legend. The crime scene legend should contain the case number, type of crime,
victim name, complainant name, location, date, time, criminal investigator’s name, who
assisted in the sketch, scale, direction of north relative to the sketch, and who created the
sketch (Bennett and Hess, 2007). The final step in sketching the crime scene is to reassess
the sketch to make sure that all relevant information has been included and that the sketch
is an accurate representation of the crime scene.
28 ◾ Bryan Courtney

ROLE AND FUNCTION OF THE CRIMINAL INVESTIGATOR

The functions of a criminal investigator are generally consistent, regardless of unit special-
ization or the size of the law enforcement agency. The functions of the criminal investiga-
tor include (Bennett and Hess, 2007):

• Determining if a crime has occurred

• Collecting evidence in order to identify suspects
• Arresting suspects
• Recovering property
• Documenting findings in a clear and concise manner for presentation to the pros-
ecutor and for use in the criminal judicial system

Properly defining the role of the criminal investigator must begin with an examination of
the overall mission of policing to illustrate the roles that criminal investigations and detec-
tives fill in meeting that mission. Policing in the United States has experienced a shift in the
manner in which police services are delivered largely as a result of the evolving philosophy
of community policing. Driven by research, citizen dissatisfaction with police services,
public policy, and federal dollars, many police agencies are adopting community policing
as a strategy. Community policing advocates a department-wide shift in the delivery of
police services that puts an emphasis on problem solving, community partnerships, and
organizational change (PERF, 1996).
The greatest boost to the community-oriented era of policing occurred with the passing
of the Violent Crime Control and Law Enforcement Act of 1994. The act authorized expen-
ditures of over $8 billion over 6 years to add 100,000 police officers to communities across
the country and to promote the implementation of community policing. Furthermore,
the Act also prompted Attorney General Janet Reno to create the Office of Community
Oriented Policing Services (COPS) in the U.S. Department of Justice. The COPS Office has
been tasked with the responsibility for putting the additional officers on the streets and
providing training and technical assistance to the nation’s communities and police depart-
ments in developing strategies for implementing community policing. The COPS Office
defines community policing “as a policing philosophy that promotes and supports orga-
nizational strategies to address the causes and reduce the fear of crime and social disorder
through problem-solving tactics and community-police partnerships” (Cohen, 2001).
In her Report to Congress on the COPS Office, Attorney General Reno (2000, pp. 2–3)
made an eloquent argument of support for community policing:

When President Clinton signed into law the Violent Crime and Control and Law
Enforcement Act of 1994, he fulfilled a promise he made when he first took office—
that his administration would provide local communities the resources to add
100,000 community policing officers to the nation’s streets. Six years later, this his-
toric legislation has made a difference. As of this summer, over 105,000 community
policing officers have been funded. More than 30,000 grants have been awarded
 Introducing Criminal Investigation ◾ 29

to over 12,000 law enforcement agencies, covering 87% of the country. Crime has
dropped to its lowest level since 1968, as police officers work hand-in-hand with the
community forging new partnerships and working together to solve problems.
By walking the beat and sharing in the life of neighborhoods, thousands of com-
munity oriented policing officers funded by the COPS program are redefining the
relationship between law enforcement and community. As community members
get to know the person behind the badge, and police officers learn the hopes and
fears of the residents they serve, perceptions change. Trust grows. New and creative
ways of dealing with longstanding problems are developed. Unique partnerships are
developed among groups and organizations where previously there was skepticism
or even hostility. Crime decreases, the fear of crime decreases, and neighborhoods
thrive.
Another of the many benefits of the COPS program, and a critical part of its legacy,
has been its focus on training. COPS’ regional network of training institutes across
the country has trained officers in areas including building partnerships within the
community, supporting victims of domestic violence, and problem solving. COPS
also has made a substantial contribution to numerous integrity initiatives and is
continuing to develop additional resources to strengthen this critical area. I know
that the COPS program has contributed significantly to a safer America. We must
not rest on our success, nor become complacent. We must continue our progress.
My hope is that the important work of the COPS program will go on, as we continue
to change the face of law enforcement for the 21st century.

Trojanowicz and Bucqueroux (1990) defined community policing as “requiring the

police to provide full-service policing, proactive and reactive, by involving the commu-
nity directly as partners in the process of nominating, prioritizing, and solving problems
including crime, fear of crime, illicit drugs, social and physical disorder, and neighbor-
hood decay.” The San Diego Police Department states that, “Our Mission is to maintain
Peace and Order by providing the highest quality police services in response to commu-
nity needs by: Preventing Crime, Apprehending Criminals, Developing Partnerships,
Respecting Individuals” (SDPD, 2011).
Community policing requires a proactive approach in which police, citizens, and com-
munity stakeholders work in collaboration to address crime and disorder within the com-
munity. The role of the criminal investigator within the overall mission of policing is
usually limited to a largely reactive one. The criminal investigator’s functions with regard
to collecting evidence, arresting suspects, recovering property, and documenting findings
for presentation to the prosecutor and for use in the criminal judicial system are critical
to meeting the organizational missions of reducing crime and protecting property. The
focus of community policing has been on the patrol function, with little focus on the role
of criminal investigations in providing services within a community policing framework.
The challenge for law enforcement agencies is to explore how the criminal investigations
unit can function within a community policing framework.
30 ◾ Bryan Courtney

What cannot be lost in this discussion is the importance of the role of the criminal
investigator in conducting the follow-up investigation. The criminal investigator’s ability
to successfully close criminal investigations will ensure that offenders are arrested and
entered into the criminal justice system, victims will see justice, and personal property
will be returned.

QUESTIONS FOR DISCUSSION

1. Discuss the minimum qualifications for being promoted from patrol into the
criminal investigations unit.
2. List the common steps in the promotional process for detective.
3. Discuss what the first responding officer should do when arriving at the scene of a
crime.
4. What is a preliminary investigation?
5. List and discuss the importance of solvability factors.
6. What are the criminal investigator’s primary goals in documenting a crime
scene?
7. Discuss the following as they relate to crime scene photographs: material, relevant,
free of distortion, and non-inflammatory.
8. What are two common methods of plotting objects and evidence within a crime
scene?
9. Discuss the basic functions of a criminal investigator.
10. Discuss how the basic functions of a criminal investigator serve to meet the overall
mission of policing and how they fit into a community policing environment.

BIBLIOGRAPHY
APD. (2011). How to Become a Police Officer: Selection Process. Alexandria, VA: City of Alexandria
(www.alexandriava.gov/police/info/default.aspx?id=9066).
Bennett, W. and Hess, K. (2007). Criminal Investigation, 8th ed. Belmont, CA: Thomson
Wadsworth.
BLS. (2011). Occupational Outlook Handbook, 2010–11 Edition. Washington, D.C.: U.S. Department
of Labor, Bureau of Labor Statistics (www.bls.gov/oco/ocos160.htm).
Cohen, D. (2001). Problem-Solving Partnerships: Including the Community for a Change. Washington,
D.C.: U.S. Department of Justice, Office of Community Policing Services (http://www.cops.
usdoj.gov/ric/ResourceDetail.aspx?RID=163).
Colwell, J. and Huth, C. (2010). Unleashing the Power of Unconditional Respect: Transforming Law
Enforcement and Police Training. Boca Raton, FL: CRC Press.
DMPD. (2011). Minimum Qualifications for Police Officer. Des Moines, IA: Iowa Department of
Public Safety (http://www.dps.state.ia.us/commis/prtb/qualifications.shtml).
DOJ. (2011). Community Oriented Policing Services: Community Policing Defined. Washington, D.C.:
U.S. Department of Justice (http://www.cops.usdoj.gov/Default.asp?Item=36).
DPD. (2011). Operations Manual for the Police Department of the City and County, Denver, Colorado.
Denver, CO: Denver Police Department (www.denvergov.org/Portals/326/documents/intro.
pdf).
 Introducing Criminal Investigation ◾ 31

FBI. (2010). Law Enforcement Officers Killed & Assaulted, 2009. Washington, D.C.: Federal Bureau of
Investigation (http://www2.fbi.gov/ucr/killed/2009/aboutleoka.html).
Gardner, R. (2000). Practical Crime Scene Processing and Investigation. Boca Raton, FL: CRC Press.
Greenberg, I. and Wasserman, R. (1979). Managing Criminal Investigations. Washington, D.C.: U.S.
Department of Justice, National Institute of Law Enforcement and Criminal Justice.
KCPD. (2011). Personnel Policy. Kansas City, MO: Kansas City Police Department (www.kcpd.org/
masterindex/files/ppbm/500/504-6.pdf).
Kelling, G. (1974). Kansas City Preventive Patrol Experiment: A Summary Report. Washington, D.C.:
Police Foundation.
MPD. (2011). Madison Police Department Promotional Process for Investigators, Detectives, and
Sergeants. Madison, WI: Madison Professional Police Officers Association (www.mppoainfo.
com/news/promotional_process.html).
PERF. (1996). Themes and Variations in Community Policing. Washington, D.C.: Police Executive
Research Forum.
Redsicker, D. (2000). The Practical Methodology of Forensic Photography, 2nd ed. Boca Raton, FL:
CRC Press.
Reno, J. (2000). Attorney General’s Report to Congress. Washington, D.C.: U.S. Department of Justice,
Office of Community Oriented Policing Services.
SDPD. (2011). Mission Statement. San Diego, CA: San Diego Police Department (http://www.sandi-
ego.gov/police/about/chief/index.shtml).
Swanson, C., Chamelin, N., Territo, L., and Taylor, R. (2006). Criminal Investigation, 9th ed. New
York: McGraw-Hill.
Trojanowicz, R. and Bucqueroux, B. (1990). Community Policing: How to Get Started. Cincinnati,
OH: Anderson Publishing.
 2
Preliminary Considerations

Chapter 3 ■ Crime Scene Search

Chapter 4 ■ Report Writing

Chapter 5 ■ Interview and Interrogation

Chapter 6 ■ Evidence

Chapter 7 ■ Role of Forensic Science

33
 Chapter 3

Crime Scene Search

Michael L. Birzer
Wichita State University

CHAPTER OBJECTIVES
After reading this chapter, you should be able to do the following:

1. Describe the purpose and scope of crime scene search.

2. Describe the legal requirements of the crime scene search.
3. Identify and discuss preliminary crime scene search considerations.
4. Identify and discuss crime scene search methods.
5. Describe the protocol if evidence is discovered in the search.

Chapter Outline
• Introduction
• Purpose of Search
• Planning the Search
• Legal Considerations
• Search Methods
• Post-Search Survey

INTRODUCTION
The actions taken during a crime scene investigation can play a critical role in the successful
resolution of a case. Proper treatment and preservation of the crime scene are vital to the
identification and ultimate prosecution of the perpetrators. A crime scene that is handled
in a haphazard manner can be detrimental to successful resolution of the case, not to men-
tion a police department’s reputation. The diligent investigation of the crime scene is both
necessary and critical (Birzer and Roberson, 2008). An important part of any investigation
is the crime scene search. This chapter introduces the crime scene search, and the purpose

35
36 ◾ Michael L. Birzer

and scope of the crime scene search are discussed along with legal considerations that must
be acknowledged. Finally, the chapter provides a detailed discussion of planning the search
as well as specific search techniques. The student will find the information presented in this
chapter an effective building block to learning about the critical nature of the crime scene
search. Police officers reading this chapter will find the information to be a fresh review of
the fundamentals of the crime search. Although the information presented in this chapter is
generic enough to be applied in most jurisdictions, police officers are always advised to check
with their agency’s standard operating procedures for crime scene search techniques.

PURPOSE OF SEARCH
O’Hara and O’Hara (2003, p. 6) informed us that, “An investigation can be considered a
success if all the available information relevant and material to the issues or allegations of
the case is uncovered.” Oftentimes the crime search is the underpinning for discerning
available information that is relevant and material to the issues and allegations of the case.
Throughout this book we emphasize that the primary purpose of crime scene investigation
is to help establish what happened and to identify the responsible person. This is done by
carefully documenting the conditions at a crime scene and identifying all relevant physi-
cal evidence. The ability to identify and properly collect physical evidence is often criti-
cal to prosecuting violent crimes. The crime scene search plays an important role in the
crime scene investigation. Actions taken at the outset of an investigation, such as the initial
crime scene search, can play an important role in the resolution of a case. Careful, thor-
ough investigation is important to ensure that potential physical evidence is not tainted or
destroyed or potential witnesses overlooked.
The purpose of the crime scene search is to discover evidence that will be useful in
determining what happened, with the ultimate goal of identifying the person or persons
responsible for committing the crime, and thus resolving the case. Evidence discovered at
the crime scene will play a crucial role later at the criminal trial in establishing the truth
and convicting the guilty parties. The general scope of the crime scene can cover structures
of any kind, including but not limited to vehicles, open fields, mass transit systems, water
vessels, waterways, aircraft, and the like. In some cases, there may be multiple crime scenes
for one crime. Suppose, for example, that a shooting happens in a residence and the suspect
subsequently places the body in the trunk of his car and drives the body to an open field
located in a rural area where he buries the body in a shallow grave. In this situation, there
are three separate crime scenes: the residence where the shooting took place, the vehicle that
was used to transport the body, and the open field where the body was buried. Investigators
would be responsible for diligent searches for evidence at each of these areas.

PLANNING THE SEARCH

Several preliminary tasks should be completed prior to the actual search of the crime scene.
Many are discussed in other chapters in this book, but it is necessary to at least mention them
here to lay the foundation for what should be done before the crime scene is searched.
 Crime Scene Search ◾ 37

CRIME SCENE BOUNDARIES

The boundaries of the crime scene should be determined as soon as possible. These bound-
aries define the areas that potentially could contain evidence and will have to be searched.
Defining and controlling the crime scene boundaries provide a means for protecting and
securing the crime scene. The number of crime scenes and their boundaries are deter-
mined by the type of crime and its location. It is recommended that boundaries be estab-
lished beyond the initial scope of the crime scene. Boundaries can always be reduced in
size if necessary, but they cannot easily be expanded when the investigation has begun.
Boundaries of the crime scene should begin at a specific focal point and extend outward to
include where the crime occurred, potential points and paths of entry and exit, and places
where the victim or evidence may have been moved. Be aware of trace and impression
evidence while assessing the scene. Persons present within the crime scene boundaries
should not smoke, chew tobacco, use the bathroom, eat or drink, move any items including
weapons (unless necessary for the safety and well-being of persons at the scene), adjust the
thermostat, or open windows or doors. The scene should be maintained as it was found.
Items at the crime scene should not be touched unnecessarily. Any item that is touched or
moved or disturbed in any manner at the crime scene should be documented.

CRIME SCENE SECURITY

First and foremost, the scene commander or search leader should ensure that the scene has
been secured, and he or she should be debriefed as to who had access to the scene (e.g., fire
personnel, responding patrol officers, paramedics, news media, curious citizens). It is of the
utmost importance to secure the crime scene to avoid contaminating the scene. Furthermore,
a record should be kept of any person who accessed the crime scene. Investigators should
consider all case information or statements from witnesses or suspects carefully in their
objective assessment of the scene. It is not uncommon for investigations to change course
a number of times during such an inquiry, and physical clues, initially thought irrelevant,
may become crucial to a successful resolution of the case (Osterburg and Ward, 2004).
The search leader should evaluate the scene before entering or allowing other person-
nel to enter the area. It should be determined where other personnel have walked, and
those areas should be marked; personnel should attempt to adhere to that path of travel, if
practical, to avoid additional destruction or contamination of evidence. An initial attempt
should be made to visually locate the essential items of evidence and to make mental or
written notes about what will have to be measured, photographed, and collected.
A pivotal responsibility of the crime scene team is to ensure that there is no immedi-
ate threat to others. The investigator or first responder should scan the area for sights,
sounds, and smells that may represent a danger to personnel (e.g., hazardous materials
such as gasoline or natural gas). If the situation involves a clandestine drug laboratory, bio-
logical weapons, or radiological or chemical threats, the appropriate personnel or agency
should be contacted prior to entering the scene. The scene should be approached in a man-
ner designed to reduce the risk of harm to officers and maximize the safety of victims,
38 ◾ Michael L. Birzer

witnesses, and others in the area. The investigator should survey the scene for dangerous
persons and control the situation. If necessary, additional assistance should be summoned
to the scene for the purpose of control and ensuring the safety of all personnel.
For the overall protection the crime scene, it is important to control, identify, and
remove persons at the crime scene as well as limit the number of persons who enter the
crime scene. The initial responding officers should identify persons at the crime scene
and control their movement. They should immediately control all individuals at the scene
and prevent individuals from altering or destroying physical evidence by restricting their
movement, location, and activity while maintaining safety at the scene. It is not uncom-
mon for passersby to stop at the crime scene to take a look or for news reporters to quickly
congregate on the scene after hearing the call come in over the police scanner. In a mat-
ter of minutes, the crime scene can become a spectacle. This is why it is important to
ask all unauthorized and nonessential personnel to leave the crime scene promptly. In
essence, all individuals at the crime scene should be identified, including suspects, wit-
nesses, bystanders, and medical and other assisting personnel. Controlling the movement
of persons at the crime scene and limiting the number of persons who enter the crime
scene are essential to maintaining scene integrity, safeguarding evidence, and minimiz-
ing contamination.

INITIAL WALKTHROUGH
According to the Department of Justice (DOJ, 2000), the crime scene walkthrough pro-
vides an overview of the entire scene, identifies any threats to scene integrity, and ensures
protection of physical evidence. Written and photographic documentation provides a per-
manent record. The investigator in charge should conduct a walkthrough of the scene with
individuals responsible for processing the scene. During this walkthrough, the investiga-
tor in charge should avoid contaminating the scene by using the established path of entry.
It is important to prepare preliminary documentation of the scene as observed. Fragile
or perishable evidence should be identified and protected (e.g., consider climatic condi-
tions, crowds, hostile environment). Ensure that all evidence that could be compromised is
immediately documented, photographed, and collected. Conducting a scene walkthrough
prior to the search gives the investigator in charge an overview of the entire scene. It pro-
vides the first opportunity to identify valuable or fragile evidence and to determine initial
investigative procedures, providing for a systematic examination and documentation of
the scene. Written and photographic documentation records the condition of the scene
as first observed and provides a permanent record. During the initial walkthrough it is
important to determine which areas should be searched, paying special attention to poten-
tial problem areas. Transient physical evidence should be identified and protected. A deter-
mination should be made about personnel and equipment needs. Furthermore, specific
assignments should be made of police personnel. The importance of taking extensive notes
to document the scene, physical and environmental conditions, and personnel movements
cannot be overemphasized (Birzer and Roberson, 2008).
 Crime Scene Search ◾ 39

EVALUATE POTENTIAL EVIDENCE

Based on the preliminary walkthrough of the crime scene, crime scene investigators should
make an effort to establish the types of evidence most likely to be encountered. The inves-
tigator should literally try to reenact the crime in his or her mind. Consider, for example,
where the perpetrator might have entered the crime scene, where he was standing, where
he might have exited, where the victim was located when the suspect entered, or where a
struggle most likely occurred. Prior to the search it is important to ensure that the proper
collection and packaging equipment is sufficient for the crime scene. Sound investigative
practice dictates that it is best to concentrate on the most transient evidence and work to
the least transient forms of evidence. Focus first on the easily accessible areas in open view
and progress eventually to possible out-of-view locations, looking for purposely hidden
items. It is also important for the investigator to consider whether the evidence appears
to have been moved inadvertently. Evaluate whether or not the scene and evidence appear
intentionally contrived.

PHOTOGRAPHING AND VIDEOTAPING

Prior to the crime scene search, the entire scene should be carefully photographed and
videotaped if possible. The aim of photographing the crime scene is to capture the most
useful amount of detail possible. When evidence or any part of the crime scene is being
photographed, three types of crime scene photographs are generally obtained: overall or
long-range photographs, mid-range photographs, and close-up photographs. This protocol
provides a clear concept of how each object related to the area. The perpetrator’s point of
entry and point of exit should be photographed in the same manner (e.g., overall, mid-
range, close-up). Likewise, the points of entry and exit should be shown in such a manner
that any marks of force will be shown clearly. A scale may also be used and depicted in the
photographs. Overall photographs of a residence should depict the house numbers. This
same procedure should be followed for both property and person crimes; for example,
when photographs of an assault victim are taken, overall photographs should be taken,
mid-range photographs of the injury or trauma, and close-up photographs of the same. In
some cases, aerial photographs of a crime scene may be helpful, especially when the scene
is located in a rural area. In crimes such as a rape–homicide, infrared ultraviolet photog-
raphy of the body may detect latent bite marks due to hemorrhaging in tissue under the
skin. The location of foreign hairs and fibers, biological fluids, and stains can also be pho-
tographed. For a more thorough discussion on photographing the crime scene, the reader
is directed to Chapter 2.

CRIME SCENE SKETCH

A sketch or diagram of the crime scene establishes a permanent record of items, conditions,
and distance/size relationships (Birzer and Roberson, 2008). The sketch may illustrate, for
example, the location of a weapon or drops of blood relative to the victim. Sketches and
40 ◾ Michael L. Birzer

diagrams are an ideal supplement to photographs. A rough sketch drawn at the scene is
normally not drawn to scale and is used as a model for the finished sketch. In general, the
following should be included on the rough sketch:

• Specific location
• Date
• Time
• Case identifier
• Preparer
• Weather conditions
• Lighting conditions
• Scale or scale disclaimer
• Compass orientation
• Evidence
• Measurements
• Key or legend

In some cases, number designations on the sketch can be coordinated with the same number
designations on the evidence log. The crime scene sketch should illustrate the basic perim-
eter, the location of fixed objects such as furniture, and the location of any evidence, in addi-
tion to providing the appropriate measurements, a key or legend, and compass orientation.

EVIDENCE CUSTODIAN
One evidence custodian should be assigned to log evidence as it is discovered during the
search. The evidence custodian should ensure that any item of evidence is photographed in
the position where it was found prior to collection and should log where the evidence was
found, the date and time when it was found, and who found it, in addition to maintaining
a chain of custody and control of the evidence. The evidence custodian should also coor-
dinate the packaging of all evidence collected at the crime scene and should thoroughly
document the circumstances behind the collection of a piece of evidence, including who
discovered the evidence, the time and date of discovery, and any special circumstances.
Assigning an evidence custodian limits the number of crime scene personnel who may
handle evidence, which could become an issue when a suspect is identified and the case
subsequently goes to trial.

SPECIAL CONSIDERATIONS
In some special cases prior to the search, crime scene authorities may find it necessary to bring
in specialists. Such specialists may come from a variety of disciplines, as dictated by the spe-
cific crime scene, to assist in the collection of evidence found during the search. Specialists
may include medical examiners, anthropologists, odontologists, entomologists, computer
investigative specialists, bomb technicians, geologists, and blood pattern analysts.
 Crime Scene Search ◾ 41

PRE-SEARCH MEETING
Prior to initiating the search, the search team leader should meet with all personnel who
will be involved in the search. The search team leader should fully debrief the search team
as to what is known up to that point in the investigation and about the general scope and
purpose of the search. Search patterns that will be used should be identified and assign-
ment of search personnel made. The evidence custodian should also be named at the pre-
search meeting. The search leader should maintain control during the entire search process,
including ensuring the safety of personnel at all times. All search personnel should be
made aware of the location of the command post. Birzer and Roberson (2008, p. 177) pro-
vided the following pre-search search planning checklist:

1. The crime scene has been properly secured and contained.

2. An on-duty prosecutor has been called and briefed (for a major crime scene).
3. A search warrant (if applicable) has been obtained for the premises.
4. Search personnel have been briefed about the crime scene and the nature of evi-
dence that is likely to be discovered. Search personnel should also be briefed as to
the type of search technique that will be used. In cases where bodily fluids or other
biological evidence may be collected, search personnel should wear the proper
protective clothing.
5. The initial walkthrough, video recording, and sketches have been made of the
entire crime scene.
6. Sufficient evidence packaging material is on hand.
7. Specific personnel have been designated evidence collectors; for example, a search
member who finds some evidence will summon the designated evidence collec-
tor, at which time the evidence will be photographed, documented, and collected.
Having a specific person designated as evidence collector reduces the chain of
custody of the evidence. The chain of custody tracks the movement of evidence
through its collection, safeguarding, and analysis lifecycle by documenting each
person who handled the evidence, the date and time it was collected or transferred,
and the purpose for the transfer.

LEGAL CONSIDERATIONS
An important first step in the crime scene investigation is to evaluate search and sei-
zure issues to determine the necessity of obtaining consent to search or a search warrant.
Consent to search is given by a person who has legal care, custody, and control of the
property or location. If consent to search is obtained, it should be in writing (Birzer and
Roberson, 2008). Most police agencies have a form for consent to search among their writ-
ten forms. Consent searches are a legitimate means of obtaining evidence, but it is always
best to obtain a search warrant. The gold standard, when in doubt, is to obtain a search
warrant. The controlling principles governing search warrants are generally provided by
42 ◾ Michael L. Birzer

the U.S. Constitution’s Fourth Amendment, which is part of the Bill of Rights and guards
against unreasonable searches and seizures (Birzer and Roberson, 2007). The procedure for
obtaining a search warrant involves the presentation of an affidavit to a judge or magistrate
by a law enforcement officer requesting that the magistrate issue the search warrant based
on the probability of criminal activity (Birzer and Roberson, 2008). For a detailed discus-
sion on the laws pertaining to search procedures, the reader is directed to Chapter 20.

SEARCH METHODS
Recall that the purpose of the crime scene search is to discover any and all evidence that
will be useful in determining what actually happened, with the ultimate goal of devel-
oping suspects. Physical evidence is any object that can establish that a crime has been
committed or any object that can link a suspect to a crime or can provide a link between
the victim and a crime. Physical evidence introduced in a trial is in the form of a physical
object, which is intended to prove a fact. Physical evidence can conceivably include all or
part of any object. Suppose, for example, that the victim is stabbed with a hunting knife,
which is later recovered; the hunting knife is physical evidence. Physical evidence can also
include imprints or compressions; this type of evidence may include footwear patterns,
tire tracks, tool marks and scratches, and bite marks. Physical evidence may also be in the
form of trace materials, which may include paints and other deposits, hair and other fibers,
pollens, glass, and polymers. Several types of crime scene search patterns may be used and
will vary depending on the nature of the crime scene and the type of terrain; for example,
the method used to search a crime scene where the victim was murdered inside of a house
will differ significantly from a case where the victim was taken to a rural area and mur-
dered in a field. It is always best to define the limits of the search in very broad terms. The
crime scene search must be thorough and systematic. If an investigator fails to recognize
an item as a piece of evidence or improperly collects the item, that item will not serve any
purpose in the investigation.

STRIP METHOD
The strip method is ideal to use when investigators are covering a large search area looking
for a sizeable object (see Figure 3.1A). The strip method requires that the area be blocked
out in the form of a rectangle. Search team members then proceed at the same pace along
paths parallel to one side of the rectangle. As with all search methods discussed in this
chapter, when evidence is discovered, that person announces the discovery and the search
is halted until the evidence is collected. Prior to collecting the evidence a photograph may
be taken of the discovery, and an investigator who has been assigned to collect the evidence
may be called to collect the evidence. After the evidence is collected, the search is contin-
ued. When the searchers reach the end of the rectangle, they turn around and begin to
walk back along new lanes or paths.
 Crime Scene Search ◾ 43

A. Strip Method B. Grid Method

Zone A Zone B

Zone C Zone D

C. Zone Method D. Spiral Method

FIGURE 3.1 Search methods.

GRID METHOD
The grid method is a modification of the strip method (see Figure 3.1B). A grid search is
simply two parallel searches, offset by 90°, performed one after the other. The grid search
method requires that the area be searched along horizontal and vertical lines of a grid. The
grid search is very thorough as the search is done in opposite directions.

ZONE METHOD
The zone method entails the crime scene being divided into zones or quadrants for indi-
vidual searching (see Figure 3.1C). Depending on the size of the area, zone quadrants may
be cut into another set of zone quadrants. The zone search method is ideal to use in an
indoor crime scene because these scenes typically represent readily definable zones.

ELEVATION ZONE SEARCH

An elevation zone search is used for indoor crime scenes where, for example, evidence such
as blood splatters and bullet holes may be present at different levels of a room. This search is
conducted one elevation zone at a time (e.g., floor to waist, waist to chin, chin to ceiling).

SPIRAL METHOD
For the spiral search method, the collection of evidence is carried out in a circular pattern
working toward a fixed point at the center (see Figure 3.1D). One of two methods may
be used when conducting a spiral search: an outward search or an inward search. In the
44 ◾ Michael L. Birzer

outward spiral search, investigators follow each other in the path of a spiral, beginning at
the outside and spiraling in toward the center. In an inward spiral search, investigators
begin in the center of the search area and proceed to circle around in an outward motion.
The spiral method is generally used for special conditions of the search. There is always
the possibility that, when using the inward spiral method, evidence could be destroyed as
investigators walk toward the center to begin the search.

WHEEL METHOD
The wheel method is similar to the spiral method. In the wheel method, the search area
is considered to be essentially circular. The search team gathers at the center of the circle
and proceeds outward along the radii. This search method may have to be repeated sev-
eral times depending on the size of the circle. The wheel search method does have a few
limitations. One limitation is the increase in relative area to be observed as the investiga-
tor departs from the center (O’Hara and O’Hara, 2003). The wheel method is also difficult
when searching larger areas and is usually reserved for smaller crime scenes.

POST-SEARCH SURVEY
At the conclusion of the search, the search leader or scene commander should conduct a
final survey of the search site. The final search survey should include a critical review of
the search. All aspects of the search should be discussed jointly with the search team in
an effort to identify any part of the scene or evidence that might have been overlooked.
All documentation made during the search should be double checked to ensure its accu-
racy and completeness. Moreover, it is also important to verify that all evidence has been
accounted for prior to leaving the scene. All equipment utilized in the search should be
retrieved. A final glance at the crime scene should be taken to make sure that hiding
places or difficult-to-access areas have not been overlooked. Finally, search team mem-
bers should be reminded not to release any particulars about evidence that was collected
to news outlets or other non-authorized persons unless authorized by the crime scene
commander.

QUESTIONS FOR DISCUSSION

1. Discuss the general purpose of the crime scene search.
2. Discuss preliminary considerations regarding the crime scene search.
3. Compare and contrast the various search methods discussed in this chapter.
4. Identify and discuss which search method would be most effective for an indoor
room with a significant amount of blood splatter evidence on the walls and ceiling.
5. Discuss why the post-search survey is important.
 Crime Scene Search ◾ 45

BIBLIOGRAPHY
Birzer, M.L. and Roberson, C. (2007). Policing Today and Tomorrow. Upper Saddle River, NJ: Prentice
Hall.
Birzer, M.L. and Roberson, C. (2008). Police Field Operations: Theory Meets Practice. Boston, MA:
Pearson Allyn & Bacon.
DOJ. (2000). Crime Scene Investigation: A Guide for Law Enforcement. Washington, D.C.: U.S.
Department of Justice, Office of Justice Programs (http://www.ncjrs.gov/pdffiles1/nij/178280.
pdf).
O’Hara, C.E. and O’Hara, G.L. (2003). Fundamentals of Criminal Investigation, 7th ed. Springfield,
IL: Charles C Thomas.
Osterburg, J. and Ward, R. (2004). Criminal Investigation, 4th ed. Cincinnati, OH: Anderson
Publishing.
 Chapter 4

Report Writing
Gene L. Scaramella
Ellis University

CHAPTER OBJECTIVES
After reading this chapter, you should be able to do the following:

1. Describe, in a general sense, why effective writing skills are of critical

importance.
2. Identify and elaborate on the many purposes of police reports.
3. Compare and contrast the differences between the general offense case
report, the supplemental or follow-up report, and specialized reports such as
inventory reports, field contact reports, and other miscellaneous reports.
4. Identify the issues or rifts between prosecutors and police regarding police
reports.
5. Describe the actions that can be taken by police officers to mitigate potential
civil litigation.
6. Explain the importance of having an up-to-date understanding of both stat-
utory and case law when completing formal reports.
7. Identify various reasons why the careful documentation of field interviews is
important for investigative purposes.
8. Explain why police officers should be concerned about their department’s
policies regarding the use of field notes.

Chapter Outline
• Introduction
• Police Reports
• Supplemental or Investigative Reports
• Field Notes
• Concluding Remarks

47
48 ◾ Gene L. Scaramella

INTRODUCTION
Before proceeding to a discussion inclusive only of police report writing, a few words regard-
ing the importance of effective writing in a general sense seem to be in order. Regardless
of the job one seeks to attain, hiring managers who represent organizations looking for
specific skill sets in job applicants (ranging from positions in general office work to execu-
tive level management in a variety of workplaces) all identify, as one of the top criteria
for successful employment, effective communication skills, both written and oral. As this
chapter focuses on writing, it is the importance of written communication skills that will
be emphasized throughout. Nevertheless, it should be noted that effective oral and other
nonverbal forms of communication such as body language are very important, as well.
One who cannot articulate their thoughts orally or use appropriate body language during
presentations or courtroom testimony will be at a distinct disadvantage.
A relatively recent survey conducted by Stevens (2005) focused on the satisfaction levels
of more than 100 employers in Silicon Valley (the technology center of our country, located
in California) with their newly hired college graduates. Communication skills, particularly
those pertaining to writing, emerged as one of the most significant sources of employer
dissatisfaction. In response to a particular survey question asking employers to rate their
level of satisfaction with new employee writing skills, the mean score on a five-point Likert
scale fell below the minimum 4.0 level of satisfaction (p. 4). Employer responses to a similar,
open-ended question on the survey bore remarkably similar results. Responses included
such concerns as “lack of attention to detail”; “noting typographical errors on résumés and
cover letters”; “seemed reluctant to write”; “they must understand they need to write the
essay rather than bullet-list ideas”; and “our recent hires can’t organize their thoughts on
paper and can’t proofread” (p. 4). Unfortunately, many of those surveyed indicated having
to terminate employees who lacked this fundamental but critical skill we call writing.
Similarly, in a study conducted by the U.S. Department of Labor’s Office of Disability
Employment Policy (ODEP, 2008), more than 400 employers were asked to identify com-
petencies needed by young people attempting to enter the 21st-century workforce. Of the
six core competencies identified, effective writing skills made the list. As stated in their
report, “Sometimes your supervisors may specifically ask you for your opinion or ask you
to express your opinion in writing” (p. 3). Again, this fundamental but critical skill called
writing emerged as a requisite for attaining gainful employment.

POLICE REPORTS
Veteran officer to rookie partner: “What are you doing, writing a novel? Listen kid,
if you can’t fit it on the back of a matchbook it’s too much information.”

Let us hope that the direction given to the new officer by the field training officer high-
lighted above is no longer a significant issue in the field of policing. Once upon a time,
however, being as brief as possible and taking shortcuts on reports were serious prob-
lems in the field. Changes in education requirements for entry and promotion, as well
 Report Writing ◾ 49

as increased focus on professionalizing the field, have improved this situation through
the years, but it remains somewhat problematic even today. Moreover, this issue varies
from department to department and is affected by a number of different variables, such
as technology; supervisory likes and dislikes; formal education; effective training, both
basic and in-service; and the ability of the field training officer to instill in young officers
the importance of the written report at the very beginning of their careers. In likewise
fashion, supervisory personnel must advocate for and sustain officers’ commitment to
effective report writing on a continuous basis and at all levels of the agency. The remain-
ing portion of this chapter addresses the various types of reports utilized by law enforce-
ment agencies, such as general incident reports, supplemental investigative reports, field
notes, and the like. Although there may be subtle differences in the format or style of these
reports, it is important to note that there are many more common denominators than
there are differences.

THE MANY PURPOSES OF REPORT WRITING

Jetmore (2008, p. 2) identified many critical purposes of a police report, which include, but
are not limited to, the following:

1. The written report serves or functions as a permanent record for incidents reported
to and actions taken by representatives of an agency, either in response to those
reported incidences or actions initiated on their own.
2. The written report supplies, or should supply, the context and details of an inci-
dent via the age-old golden rule of writing (i.e., who, what, when where, why, and
how).
3. The written report serves as a resource for incidents that require additional agency
action, such as a follow-up investigation of a crime reported to patrol officers.
4. The written report serves as an instrument that is relied upon by the various legal
authorities functioning within the criminal justice system, such as judges, pros-
ecutors, defense counsel, and those involved with civil litigation when a matter
reported to or taken by a department’s representative is at issue. Traffic accident
reports are a good example of this sort of civil litigation.
5. The written report provides information for an agency’s strategic operations and
planning, ranging from crime analysis and manpower allocations to budgeting
and tactics for emergency response preparedness.
6. The written report serves as a mechanism for local, state, and national database
systems that provide vital information to law enforcement agencies throughout the
country ranging in purpose from information on fugitives to data used for crime
mapping.

Additional attributes of written reports include comprehensiveness, legibility, chronol-

ogy of events, absence of misspelled words, use of proper grammar, and lack of repetition
unless absolutely necessary.
50 ◾ Gene L. Scaramella

BLAST FROM THE PAST 1

While writing this chapter many memories from my past career with the Chicago
Police Department came to mind. Allow me to share a few of those memories regard-
ing the writing of reports in the two boxes found in this chapter. One thing that
always struck me as being very odd was that, when it came time to write the narrative
portion of case reports, the use of proper grammar seemed to somehow escape the
abilities of many officers. For example, most reports would start out “R/O reported
to above location. Complainant said unknown male subjects removed money from
his pants and fled E/B from scene.” Narratives that were more detailed would carry
on in similar fashion and more often than not would lack critical details, contain
misspelled words, use poor grammar, and, to my amazement, have no paragraph
breaks. Most case reports do have fields for the recording of a variety of pertinent
information, such as an incident or report number; the offense name; address of inci-
dent; offense and location codes (UCRs); complainant, victim, and witness identities;
offender description or identity; vehicle information, if applicable; and other routine
information. These fields, however, do not and should not obviate the need for using
proper grammar while writing the narrative section of the report. Going back to the
quote above, here is an improved way of writing the same thing:

In summary, the Reporting Officer (R/O) was dispatched to the stated location
regarding a radio call of a theft. Upon arriving at the scene, the R/O was met
by the victim, who stated that at approximately 2030 hours on this date, while
he was exiting his detached garage at the rear of his lot, he was confronted by
the male offender described above. The offender told the victim, “Hand over
your watch and wallet if you know what’s good for you.” The victim complied
and the offender then fled on foot E/B through the alley.

Although such a report would certainly contain many more details, including any
actions the officer took, such as sending a flash message of the offender, the point is to
notice the differences in grammar and clarity between the two quotations. It is with
the type of formality and clarity found in the latter writing that all reports should be
written. As my field training officer told me more than 30 years ago, if you get in the
habit of writing good reports from the get go, you’ll have no problems later on (e.g.,
in court, with supervisors, during depositions). In retrospect, that was the best and
most practical advice he ever gave me.

Jetmore’s (2008) emphasis on the reliance of well-written reports by a variety of legal

authorities within the criminal justice system is worthy of more attention. Police officers face
a double-edged sword in this regard. Not only must their reports be thorough and written
using proper grammar and spelling, but they must also be written in such a way so as to lay
out chronologically the course of events that may have led to an eventual arrest. Important
legal doctrines pertaining to such issues as reasonable suspicion, probable cause, search and
 Report Writing ◾ 51

seizure requirements, use of force, and high-speed vehicle pursuits, among others, are all
governed by statutory law, constitutional provisions, and man-made law, also referred to as
case law, which stems from judicial interpretation. Case law is very fluid in nature, always
changing. Any officer who does not keep up to date regarding the ever-evolving court deci-
sions and laws that affect police practice operate at a severe disadvantage. The consequences
of preparing improper or flawed reports are numerous and significant—for example, it could
mean the acquittal of a defendant charged with a very serious criminal offense.
Suppose Officer X was on routine patrol in his marked squad car when he noticed the
driver of the car traveling next to him giving him a “suspicious look.” Officer X then got
behind the vehicle in question, activated his emergency lights, and pulled the car over. The
officer then approached the car and asked the driver for his license, registration, and proof
of insurance. The driver complied, and Officer X returned to his squad car to check the
driver and vehicle for any wants or warrants. The computer check indicated no wants or
warrants. Still believing the driver to be “suspicious,” Officer X then had the driver step out

BLAST FROM THE PAST 2

Case Management and Report Writing
Organizationally, the Chicago Police Department is divided into five geographic areas
and 25 different police districts. Each of the five area headquarters has somewhere
between four and six police districts located therein. All crime reports made by district
personnel are forwarded to their respective area detective headquarters for follow-up or
other forms of disposition. Detectives from the case management units of those detec-
tive areas then review each report and assign them to the appropriate detective unit for
follow-up or take other administrative action. As one can imagine, with a police force
of more than 13,000 members, hundreds of reports are generated on a daily basis, and
each one is read by detective personnel from those case management units.
My partner’s father worked in the case management unit of one of those area
headquarters and, from time to time, if we had business in that facility we would
stop by and shoot the breeze with him. He and the detectives he worked with in the
case management unit often commented to us about the incredibly poor quality of
case reports that crossed their desks. Their complaints ranged from illegibility, poor
grammar, misspellings, and insufficient details to improper classification of offenses,
lack of any preliminary follow-up investigative efforts, and, perhaps the most egre-
gious of all, that supervisors had signed off on those reports. In a joking fashion, the
case management detectives would place copies of many of the worst reports on a
bulletin board in their office to let visiting officers and command staff personnel see
just how poor many of the reports really were. On a more serious note, a few of the
many negative effects associated with poor quality reports include significant and
unnecessary delays of investigative efforts, needless duplication of effort, placing suc-
cessful prosecutions at risk, and an overall drain on budgetary resources.
52 ◾ Gene L. Scaramella

of his vehicle and he conducted a search of the driver’s person. The driver had no contraband
items on his person. Still trusting his instincts, the officer then began a thorough search of
the inside of the driver’s auto, checking under the front and rear seats, the glove compart-
ment, and under the dashboard. The result was the same—no contraband items were found.
Still going with his instincts, Officer X then opened the trunk of the driver’s vehicle. To his
delight, there in plain view were several handguns and assault rifles and three large plastic
bags containing a white, powdery substance, which he suspected to be cocaine. Officer X
then placed the driver under arrest, seized the contraband, requested a tow for the auto to
be impounded, and transported the arrestee to the station for processing.
Once at the station, and after bragging a bit to some of his fellow officers about his “sixth
sense,” he began the daunting task of preparing the mountain of paperwork necessary for
completing the arrest process. After checking off all of the boxes in the reports he then
found himself having to write the narrative sections. Being the honest and dutiful officer
that he was he wrote that he had initially stopped the arrestee’s vehicle because of the “suspi-
cious look” the arrestee had given him. He then continued describing the ensuing course of
events. When Officer X finally went off duty, he left the station feeling as proud as a peacock
for the fine job he had done. When Officer X reported for duty the next day, however, his
mood was to change drastically. There was a message waiting for him requesting that he call
the prosecutor’s office. Officer X then placed the call and was connected to the prosecutor
handling his case. Expecting to be congratulated on a job well done, the officer was shocked
as the prosecutor began chastising him for his “shoddy police work.” The prosecutor also
informed him that, because the initial stop of the vehicle was not based on any lawful justi-
fication, the charges were being dropped and the arrestee was being released. The officer was
also informed that his actions would more than likely expose his agency to civil litigation.
Officer X was furious and immediately began telling anyone at the station who would
listen to him how bad the prosecutor’s office was and that it was no wonder there is so
much crime when prosecutors don’t want to do their jobs. At the same time, the prosecu-
tor who had spoken to Officer X was telling other prosecutors in his office what a terrible
job Officer X had done, exclaiming that if only officers would do their jobs correctly they
would be able to put more offenders in jail. This scenario is carried out over and over again
in jurisdictions all across the country. (See “Criminal Incident Report” in the Appendix for
a good example of a well-written general offense or incident report.)
With regard to this type of rift between the police and prosecutors, Jacoby et al. (1999)
discussed several points of contention from both sides of the fence; more importantly, they
offered many sound recommendations for mitigating these issues to ultimately improve
the overall quality of police reports. Following are typical comments made by police offi-
cers and prosecutors that Jacoby et al. (1999, p. 17) identified:

1. Said by the police about prosecutors:

• “Sure there is some delay but blame the desk sergeant, not me.”
• “What they want depends on which assistant is on the warrant desk.”
• “We give them as much information as we have at the time but they want it all
wrapped up in a neat package.”
 Report Writing ◾ 53

2. Said by the prosecutors about the police:

• “I know they aren’t Shakespeare, but can’t these guys even write?”
• “I’m a trial lawyer. I don’t have time to train everyone in report writing.”
• “A major weakness in our prosecutions is because of the lousy police reports.”

Regardless of how frequently these police–prosecutor issues arise, the bottom line is the
whole focus of this chapter—the absolute necessity of writing good police reports. Jacoby
et al. (1999) offered some sound recommendations for improving this situation, the most
notable of which include the following:

• Impress upon supervisors the importance of carefully reviewing reports before

approving them. If the reports examined are lacking sufficient detail or otherwise
written poorly, have the officers who wrote them redo them.
• Proper and continuous in-service training on report writing should be provided
and mandated by police agencies.
• Support should be provided by prosecutors if extenuating circumstances are
involved.

In conclusion of this section, it should be noted that many jurisdictions already have
policies and procedures in place that directly involve input from the prosecutor’s office
before charges can proceed. For example, the Cook County, Illinois, State’s Attorney’s
Office has a felony review unit. Officers wishing to charge arrestees with crimes classified
as felonies are required to call the felony review unit and describe the details of the case
to a prosecutor. Based on the facts of the case as described by the officer, the felony review
unit will either approve or deny the charge. Additionally, most prosecutors’ offices provide
the law enforcement agencies in their respective jurisdictions with examples or templates
of how the various criminal complaints used during the arrest process should be worded.
Although these safeguards and the technical assistance provided by prosecutors help
mitigate certain legal issues, they do not ensure that police reports are written well. That
responsibility must be shouldered by many, including police academy training personnel via
inclusion of appropriate curricular activities, in-service training required of officers by their
respective agencies, a commitment from the supervisory ranks of these agencies to carefully
review reports before giving approval, and a desire on the part of individual officers to write
effective reports. Absent these efforts, the problems cited above will likely continue.

WRITING GOOD REPORTS AND CAREER ENHANCEMENT

It is certainly worth noting that if newer patrol officers establish a reputation for writing
quality reports the likelihood of having an opportunity to move into an investigative unit
within their department increases dramatically. In addition to writing quality reports, it is
the officers that go that extra mile by conducting preliminary investigations whose reputa-
tions will be bolstered. Conversely, the reputations of officers who are not thorough and
write poor to average reports will more than likely prevent them from assignment to an
investigative unit.
54 ◾ Gene L. Scaramella

With respect to the vast majority of police departments in this country, when a vacancy
in the detective division, for example, occurs, departmental notices are sent asking offi-
cers who are qualified (e.g., have minimum number of years on the job, meet educational
requirements) to submit their requests for consideration. It is important to keep in mind
that crime reports turned in by patrol officers are routed to the detective division for fol-
low-up investigation. Normally, the unit commanders or designated supervisory personnel
read these reports and assign them to individual detectives for follow-up. By and large, this
is how new officers become known or establish their reputations in this regard.
As an example, when called to a burglary at a residence and after recording the neces-
sary information for the report, the officer should inform the victim and other occupants
of the residence to avoid disturbing the areas surrounding the forced entry or any other
areas or items in the house that may have been touched by the offender. The officer should
then summon the crime scene investigation unit to the scene for processing. A dutiful
officer will then conduct a neighborhood canvas, which involves attempting to contact
residents of other homes or employees of businesses that are in close proximity to the
residence to ascertain if they saw or heard anything unusual during the time in question.
That also means documenting the names, addresses, and contact information of indi-
viduals at those locations. If nobody was at home during the time of inquiry, that should
be noted as well. This demonstrates to detective division personnel that the officer did a
thorough job and provided sufficient detail in the report to assist with and enhance the
follow-up investigation. If officers conduct their business in this way on a consistent basis,
this will have a very serious and positive impact on decisions to assign or not assign them
to vacancies.

POLICE REPORTS AND CIVIL LIABILITY

Unfortunately, we live in a litigious society, and police officers, as well the agencies that
employ them, are extremely vulnerable to civil litigation. The nature of police work lends
itself to these potentialities. Litigation arising from claims of, for example, false arrest,
unlawful searches and seizures, excessive use of force, negligent operation of a motor vehicle
resulting in injury or death (i.e., high-speed vehicle pursuit), negligent training, and negli-
gent supervision and retention of personnel is commonplace in the field of policing. Police
agencies can reduce the frequency of these kinds of lawsuits by having lawful and up-to-
date policies and procedures, providing ongoing training to their personnel regarding legal
updates and other issues that affect police practice, and providing effective supervision.
Individual officers can likewise mitigate the frequency of lawsuits by adhering to the policies
and procedures of their respective agencies, by following the law (statutory and case law),
and, most of all, by writing the narrative sections of their reports properly and effectively.
As Scarry (2008) so aptly stated, “Officers sometimes neglect their report writing, but it has
very serious consequences if left unattended. What officers write in their reports stays with
them forever. The words on the paper cannot be changed, and an omission of critical details
cannot later be added to a report without calling the report’s veracity into doubt.” Defense
attorneys in criminal cases and plaintiffs’ attorneys in civil cases will always try to attack the
 Report Writing ◾ 55

weakest link in opposing counsels’ cases. In both of these legal venues, sadly, the weakest
links are oftentimes poorly written police reports. Police officers always talk about cover-
ing their behinds, commonly referred to as “CYA.” The best way to accomplish this goal is
by writing effective and detailed reports. Stressing the importance of this in the context of
potential civil liability, Scarry (2008) offered many sound recommendations, such as:

• Document any and all injuries during an arrest or similar encounter incurred by
either the officer or arrestee, regardless of how minor the injury may have been. As
mentioned earlier, if any pertinent details are omitted from the report and raised
later, the veracity of the officer will be called into question.
• Document all statements made by offenders, victims, and witnesses. For the same
reason cited above, if it’s not documented in the report but brought up later, doubts
may very well be formed by the trier of facts, either the judge or members of a jury.
• Officers must document in detailed fashion why they took the actions they did,
particularly surrounding incidents involving the use of force. Officers must lay out
the events that led to a physical altercation and describe the circumstances regard-
ing their reasons for using force.

Although these recommendations are very straightforward and should be considered as

simply using common sense, there are a variety of reasons why reports are not written
according to Hoyle, so to speak. Some officers are just plain lazy and want to get through
the report as quickly as possible. Others do not want to work overtime, so they rush through
their reports. Still others might not choose their words wisely. As Scarry (2008) noted, this
kind of haste can have severe consequences with regard to the civil liability of both the
department and the individual officer.

SUPPLEMENTAL OR INVESTIGATIVE REPORTS

The most common investigative report is the supplemental report. As the name indicates,
it is a report that begins from the point of the end of the initial report and documents
further police action taken relevant to a particular case. The most common supplemental
report is prepared by investigative personnel. As you may recall from earlier in the chapter,
crime reports completed by patrol division personnel are routed to the agency’s primary
investigative unit for further investigation or other form of disposition.
Let’s say, for example, that Detective Richard “Dick” Tracey has received a case for fol-
low-up that involved the armed robbery of a convenience store the evening before. After
thoroughly reviewing the original report, as well as any other supplemental reports that
may have been completed, such as one completed by evidence technicians called to the
scene, Detective Tracey’s investigation may take any number of twists and turns. He will
more than likely begin by contacting the victim or any other witnesses who may have been
present during the robbery. Arrangements would then be made to interview these persons
to see if the information they provide him is consistent with the details contained in the
original report and to see if they can provide any further details that may aid in identifying
56 ◾ Gene L. Scaramella

the offender. If the victim or a witness got a good look at the offender and Detective Tracy
eventually ends up developing a solid lead on the offender, a photo or in-person line-up
may be in order.
Let’s now assume that the victim and a witness have made a positive identification after
viewing a photo line-up. Detective Tracey then goes out and locates said suspect, takes him
into custody, and brings him to the station for interrogation. He then informs the suspect
of his rights under Miranda. The suspect waives said rights and agrees to be questioned
without an attorney present. Tracey begins questioning the suspect and eventually con-
fronts him with the fact that he has been identified in a photo line-up as being the offender.
After hearing this information, the suspect then confesses to the crime and agrees to pro-
vide a written statement.
Although the circumstances described above may seem straightforward and not overly
complicated, let’s examine all of the information that must be contained in Tracey’s sup-
plemental report:

1. Tracey must note the dates and times he made contact with the victim and witness
and what information they relayed to him regarding the robbery.
2. Tracey must also note the dates and times the victim and witness came to the police
station to view the photo line-up. The photos used in the line-up must be incorpo-
rated into the file and must be consistent with relevant case law and department
directives regarding how many photos are to be used and how they are presented
to the victim or witness. Also, the photos of the subjects must be similar in nature
(e.g., same race, age range, height, weight).
3. Detective Tracey must then document the time, date, and location where the sus-
pect was placed under arrest and whether or not the suspect resisted arrest or
attempted to flee or was taken into custody without incident. Any corresponding
action taken by Tracey must then be documented as well.
4. Upon arriving at the station with the suspect but before the questioning begins,
Tracey must document the fact that the suspect was advised of his rights under
Miranda and that the suspect understood those rights. It is highly recommended
that the suspect’s acknowledgment of receiving his rights be done in writ-
ing and with a witness present. Most agencies have standardized forms for this
procedure.
5. Because the suspect in this case waived his rights to have an attorney present and
agreed to be questioned, Tracey must also document that waiver, again in writ-
ing and in the presence of a witness. The ensuing questioning should or could
be documented in a number of ways (Wallace and Roberson, 2009). The ques-
tions and answers could be documented by Tracey or another detective taking
handwritten notes of the responses and later included in their report. Other,
more recent methods of documenting information obtained through question-
ing include audiotaping or videotaping the interrogation, particularly when the
crime is of a serious and violent nature, such as an armed robbery, sexual assault,
or murder. More and more law enforcement agencies are beginning to adopt
 Report Writing ◾ 57

policies requiring videotaped interrogations so that any future claims of impro-

priety made by offenders about the conduct of the police can be refuted. Finally,
the length of time taken during the interrogation should be noted. Lengthy inter-
rogations should be avoided whenever possible, and the suspect should be given
periodic breaks to use the restroom, eat, and drink. These breaks should be docu-
mented as well so as to refute any potential allegations of duress by the suspect at
a later time.
6. Because the offender in this case confessed to the crime, a statement written by the
offender in his own writing should be obtained. That statement should be signed
and dated along with the time. The suspect’s confession should also be witnessed
and signed and dated by that person, as well. In circumstances like this, a video-
tape of the confession is highly recommended. If the agency involved prohibits
the videotaping of interrogations and confessions, then careful documentation as
described above will suffice.

As you can see, what initially seemed like a relatively easy case to prepare actually
required a significant amount of careful planning and documentation. Not only must
Tracey’s report be written well in terms of clarity and the proper use of grammar and cor-
rect spelling, but it must also contain sufficient detail and documentation regarding the
steps taken by Tracey to conform to a variety of legal requirements, as well as pertinent
departmental policies and regulations. Absent this type of detail and careful preparation,
the report will more than likely open up several possible lines of attack by defense counsel.
(See the Appendix for an example of a supplemental report.) Hess et al. (2010, p. 90) aptly
stated that, “The effective report writer attends to both content and form because they are
equally important. A well-written report helps the criminal justice system operate more
effectively and efficiently, saves the department time and expense, reduces liability for the
department and the officer, and reflects positively on the investigator who wrote it.”
Examples of other types of supplemental reports include evidence inventory reports,
evidence technician reports, and forensic laboratory request and results reports, among
many others. They may vary in form and the information contained therein, but all require
the same level of detail and adherence to the basic mechanics of writing as any other report.
Reports such as these become part of a permanent case file and are subject to discovery for
trial purposes; thus, the factual information contained in them must be consistent. Such
information includes dates; times; locations; identities of victims, witnesses, and offenders;
and any actions taken by various other personnel involved with the case. In addition, any
action taken by police personnel must always be laid out to demonstrate conformity with
the law and department policies. Let’s examine a few examples of these reports.

CRIME SCENE TECHNICIAN REPORTS

Of the reports mentioned, the crime scene or evidence technician reports possibly require
the most detail and precision. When technicians are called to a crime scene for process-
ing, an abundance of detailed information must be carefully recorded and eventually
58 ◾ Gene L. Scaramella

incorporated into their reports. Although the list of things that evidence technicians must
do is a mighty long one, some of the most important points of information to be gathered
are as follows:

• They must record the date and time of arrival, who summoned them, who was on
the scene at the time of their arrival, any witnesses to the crime, and whether or not
the scene was possibly contaminated by first responders (police and/or paramed-
ics), the victim’s friends, or co-habitants. They must determine if the scene was pro-
tected before their arrival and, if so, record the name of the officer who protected
the scene and the names of anyone entering the scene prior to their arrival. In other
words, they must record all pertinent information relative to the crime scene prior
to their arrival and the scene being turned over to their exclusive control.
• As they begin processing the scene, they must carefully note their actions and
note, for example, the areas and objects they may have examined for fingerprints
or the presence of blood, the procedures used for collecting any potential evidence,
the proper identification of each piece of evidence collected, at what time the evi-
dence was transported to the crime laboratory or evidence storage facility and by
whom, and the nature of any requested laboratory tests.
• Technicians must also make detailed sketches of the crime scene that are drawn
to scale, using appropriate measurements and devices. Detailed photographs of
the scene and the evidence collected must be taken and logged. Some agencies go
a step further and require a videotaping of the scene in addition to the still photo-
graphs to provide viewers with a more broad and thorough perspective.
• Anytime any piece of evidence originally collected from the scene is subsequently
moved for any reason, the chain-of-custody log becomes a crucial, legal document.
The chain-of-custody log documents any and all movement of evidence, along
with the purpose of said movement and to whom the evidence was turned over.
This log must be carefully maintained from the time the evidence was collected up
to the point at which it is brought to court at the request of either prosecutors or
defense counsel. It should be noted that claims of an improper custody chain are
often made by defense counsel when all due diligence is not taken by the preparers
of those reports.

Thus, as was the case with the more general supplemental report, what initially may seem
like a straightforward task instead involves a tremendous amount of detail, careful plan-
ning, and coordination. (See “Crime Scene/Evidence Technician Report” in the Appendix
for an example of a crime scene technician’s supplemental report.)

TRAFFIC ACCIDENT REPORTS

Another good example of this genre of reports is the traffic accident report, particularly
when the crash involves serious personal injury or death. Normally, the first responder
or patrol officer will complete the initial report. These reports contain many fields of
 Report Writing ◾ 59

information regarding the number of vehicles or pedestrians involved; the identities of the
drivers and passengers; the positions in the vehicles of any passengers; identification of the
vehicles involved (e.g., license plate numbers; year, make, and model of the vehicles; vehicle
identification numbers); the directions of travel of each vehicle prior to impact; the areas
of damage to the vehicles; possible intoxication or other vehicle code violations on the part
of the drivers and action taken, if any; a basic sketch that indicates the names of the streets
and direction of travel of each vehicle prior to collision, the point of collision, and the point
at which the vehicles came to rest; and a narrative section describing the information con-
tained in the sketch.
The completion of these reports can be fairly routine, but if serious injuries or deaths
result from the accident then chances are more than good that either a criminal prosecution
or civil litigation will follow. Thus, most departments have certified, specially trained traffic
accident investigators, commonly referred to as traffic accident reconstructionists, who will
conduct a more thorough and scientific investigation regarding the details of the accident.
Their reports are not unlike the ones completed by crime scene technicians with respect to
the detail and planning involved. These reports, along with the courtroom testimony of the
officers who prepared them, will be the center of attention regarding any subsequent crimi-
nal or civil actions taken. Moreover, the attention to detail in these reports and knowledge
of the law surrounding their specialty play pivotal roles in the outcome of any litigation. (See
the Appendix for reference to a detailed traffic accident report template.)

FIELD CONTACT REPORTS

Most, if not all, police departments have reports for officers to complete when they encoun-
ter suspicious persons. Circumstances that lead to the completion of such a report most
often occur when street officers, on routine patrol, observe persons acting suspiciously.
Officers Friendly and Crusty, for example, observed a male subject walking down a street
in a residential area in the early morning hours; he was constantly looking from side to side
and behind him, as if to see if anyone was watching him. The officers confronted the sub-
ject, performed a protective search under the provisions of the Terry v. Ohio case, requested
identification, and inquired as to what the subject was doing in the area, where he came
from, and other pertinent questions. Seasoned officers such as Friendly and Crusty will
record all of the information and circumstances surrounding such encounters in great
detail. The person’s identity, address, date of birth, physical characteristics, clothing worn,
and questions asked of the person by the officers and responses given should be carefully
documented in the field contact report.
A new officer or someone not acquainted with policing might ponder why Officers
Friendly and Crusty went through so much trouble. The officers could have just checked
the man’s name through the computer for any warrants and, if the subject was not wanted,
just let him go and be done with it. The value of field contact reports is that they place
an individual at a certain place at a certain time and date. These reports also contain, or
should contain, detailed physical descriptions of the subjects, along with clothing worn
and other pertinent details.
60 ◾ Gene L. Scaramella

These reports are not just thrown in a file cabinet and forgotten about. With today’s
technology, most departments enter these reports into databases which makes retrieval
of any such reports on a certain date, time, or a proximate location an easy process. The
person encountered by Officers Friendly and Crusty may have committed a serious crime
minutes before being spotted by the officers. Detectives place great importance on these
reports, and many offenders have been identified and arrested for crimes ranging from
sexual assault, robbery, and burglary all the way to murder as a result of the information
contained in those reports. These reports also serve as potentially valuable leads for inves-
tigators working on “cold cases.” (See “Field Contact/Interview Report” in the Appendix
for an example of a field contact card or report.)

CURFEW AND SCHOOL ABSENTEE REPORTS

The importance of these reports is much like that of the field contact report. In addition to
young persons staying out too late or skipping school, many of these minors may have been
involved in or may be about to be involved in criminal activities shortly before police offi-
cers initially come in contact with them. From an investigative perspective, such reports
place individuals at a certain place at a certain date and time. From a crime prevention
point of view, these encounters may very well have prevented a crime from taking place.
Either way, it’s a win–win situation for the police and the public they serve.

FIELD NOTES
Before proceeding to the concluding remarks section of this chapter, a few words regarding
the use of field notes are in order. Simply defined, field notes are nothing more than notes
written in small notebooks carried by officers to record information that is later incorpo-
rated into a formal report. Most police officers carry such notebooks in their pockets so
they can jot down an array of information, such as names and contact information for
victims, witnesses, and offenders; locations and times; vehicle identification information;
comments made by victims, witnesses, and offenders; and numerous other details neces-
sary for completion of an official report.
The issue involved in using these is whether or not to include field notes as a permanent
part of a case file. This matter is determined by department policy; some agencies do so,
some do not. If the policy is not to maintain field notes, this is not an issue; however, in
those agencies that do require this officers are well advised to use their notebooks for offi-
cial purposes only. It would prove very embarrassing for an officer to be asked by defense
counsel in open court why he has notations for grocery items to pick up on his way home
from work. Moreover, as insignificant as this may appear, good defense attorneys can raise
much doubt in the minds of the judge and jury members regarding the officer’s level of
professionalism and lack of adherence to department policy. The moral of the story is that
if a law enforcement agency requires, by department policy, that officers’ field notes are to
become part of the permanent file, then officers must get used to using field notes only for
official business and not personal matters.
 Report Writing ◾ 61

CONCLUDING REMARKS
It is hoped that the information contained in this chapter has demonstrated the critical role
that report writing plays in the law enforcement profession and the broader criminal jus-
tice system. Reports serve several functions, perhaps the most important of which is to aid
our legal system in the prosecution of persons charged with criminal offenses. As stressed
throughout the chapter, a poorly prepared police report may very well result in defendants
literally getting away with murder or other serious crimes. In addition, several of the more
common types of reports were discussed in detail. Although all reports may differ slightly
in style and purpose, these and numerous other kinds of reports not identified here all
share many more commonalities than differences. Finally, several vital and fundamental
recommendations for writing effective reports were directed at both individual police offi-
cers and their respective agencies. Let’s conclude by revisiting those recommendations.

RECOMMENDATIONS FOR INDIVIDUAL OFFICERS

1. The basic mechanics of writing, such as the use of proper grammar, punctuation,
and correct spelling, must guide each and every report written.
2. Start getting used to writing all reports in an effective manner at the beginning of
one’s career. This will make doing so a routine matter throughout one’s career.
3. Be sure to address all of the who, what, when, where, why, and how issues, if
possible.
4. Tell the story in a logical and carefully planned manner.
5. Include all of the pertinent details of an incident in the narrative.
6. Keep up to date regarding statutory and case law relevant to the field of policing.
7. To the extent possible, develop and maintain positive working relationships with
prosecutors.
8. Time permitting, preliminary investigators (normally patrol officers) should take
the initial report as far as it can go. Neighborhood canvasses and other extra efforts
demonstrate professionalism and go a long way toward gaining a good reputation
in one’s own agency which very likely will assist officers in getting reassigned or
promoted to an investigations division.
9. Do not rely too much on the spelling and grammar check functions of word pro-
cessing programs. Those functions do not identify all mistakes. Not only are the
basic mechanics of writing important but also careful planning regarding the con-
veyance of the story is crucial.

RECOMMENDATIONS FOR POLICE ADMINISTRATORS

1. The necessary curricula and time designated to report writing must be available
at the recruit training level. Police academy recruits who do not demonstrate
proficiency in this regard should be required to participate in remedial writing
instruction.
62 ◾ Gene L. Scaramella

2. It is critical for report writing to be at the top of the list when field training officers
are assessing the performance of rookie officers. Field training officers should be
encouraged to consistently reinforce to their rookies just how important effective
report writing is, for all of the reasons highlighted throughout this chapter.
3. Department administrators must provide for periodic in-service training oppor-
tunities for all agency members in reference to effective report writing.

In the final analysis, the police officer’s pen is indeed mightier than the proverbial sword!

QUESTIONS FOR DISCUSSION

1. In general terms, explain why good writing abilities are so important in our pro-
fessional and private lives. Offer some examples in support of your position.
2. What are some of the factors or variables that positively contribute to the develop-
ment of what we call effective police report writing? Identify and elaborate at least
three such factors.
3. Why is up-to-date knowledge of statutory and case law such a critical factor when
completing official reports? Provide examples.
4. What benefits are accrued by officers who are known to be good report writers by
members of their respective agencies? Do these benefits apply in any other context
within the criminal justice system? Why or why not?
5. Why is it important for police officers to document in detail incidents involving
suspicious persons and circumstances? Provide examples.
6. What is the determining factor for an officer’s decision to either include or exclude
field notes from their permanent case files?

BIBLIOGRAPHY
Anon. (2010). 9 Tips for Rookie Success. Police Link, 258, July 1 (http://policelink.monster.com/
benefits/articles/142427-9-tips-for-rookie-success?page=10).
Baker, B. (2006). Becoming a Police Officer: An Insider’s Guide to a Career in Law Enforcement.
Bloomington, IN: iUniverse (http://www.careerpoliceofficer.com/).
Hess, K., Bennett, W., and Orthmann, C. (2010). Criminal Investigation, 9th ed. Florence, KY:
Cengage Learning.
Iowa DOT. (2011). Iowa Accident Report Form. Ames: Iowa Department of Transportation (http://
www.iowadot.gov/mvd/ods/accidents.htm).
Jacoby, J., Gilchrist III, P., and Ratledge, E. (1999). Prosecutor’s Guide to Police–Prosecutor Relations.
Washington, D.C.: Jefferson Institute for Justice Studies (http://www.jijs.org/publications/pros-
pubs/Police-Pros.pdf).
Jetmore, L. (2008). Investigations: Investigative Report Writing. Law Officer, January 31 (http://www.
lawofficer.com/article/magazine-feature/investigative-report-writing).
Miranda v. Arizona, 384 U.S. 436 (1966).
ODEP. (2008). Essential Skills to Getting a Job: What Young People with Disabilities Need to Know—
Work Ethic, Communication, and Problem Solving. Washington, D.C.: Office of Disability
Employment Policy, U.S. Department of Labor (http://www.dol.gov/odep/documents/essen-
tial_job_skills.pdf).
 Report Writing ◾ 63

Scarry, L. (2008). Report Writing: What You Fail to Report Could Have Negative Consequences in
Civil Litigation. Law Officer, January 30 (http://www.lawofficer.com/article/magazine-feature/
report-writing).
Stevens, B. (2005). What Communication Skills Do Employers Want? Silicon Valley Recruiters
Respond. Journal of Employment Counseling, March 1 (http://www.allbusiness.com/sector-56-
administrative-support/administrative/1189004-1.html).
Terry v. Ohio, 392 U.S. 1 (1968).
Wallace, H. and Roberson, C. (2009). Written and Interpersonal Communication Methods for Law
Enforcement, 4th ed. Upper Saddle River, NJ: Pearson Education.

APPENDIX
SUPPLEMENTAL REPORT
Crime/Incident Date/Time of Original Report Case Number

Burglary (residential) 10 Aug 2007, 1400 hrs 20074H-47065

Complaint’s/Victim’s Name (Last, First, Middle) Res. Phone

Jones, John, James 788-555-6785

Complaint’s/Victim’s Residence Address Bus. Phone

787 Roundview Cir, Baltimore, MD 21000 788-555-1200

Date/Time of Original Crime/Incident Date/Time of This Report

7 Aug 2007 to 10 Aug 2007, 1700 to 1400 hrs 12 Aug 07, 1800 hrs

Source: Baker, B.M., Follow-up Report, CareerPoliceOfficer.com, 2011 (http://www.careerpoliceofficer.com/PoliceandVictims/

police_report_writing/follow-up_report.html).

Narrative
After a thorough inventory of his home, Mr. Jones discovered that the following additional
items were taken in the burglary:

One (1) television; Sony; 12 inch; serial number unknown; value: $50.00
Two (2) pillow cases; pink in color (taken from second floor rear guest bedroom);
value: $20.00
Total additional value: $70.00

Mr. Jones further reports that one of his neighbors had observed two men loitering in the
block during the time frame of this incident. I responded to the neighbor’s residence where
I spoke with the following witness:

Mr. Reuben Castle

M-W-55; DOB: 12 Feb 1952
64 ◾ Gene L. Scaramella

782 Roundview Cir

Baltimore, MD 21000
Res. Phone: 785-555-3824
Bus. Phone: Same (Self-Employed)

Mr. Castle reports he observed two white males placing items into a dark colored, late-
model SUV which was parked in front of the victim’s residence. Mr. Castle states he earlier
noticed the men when they were sitting inside the vehicle for an extended period of time.
Later, he noticed the men standing beside the vehicle looking around as if they were wait-
ing or looking for someone. His last observation occurred when he saw the men placing
two (2) bags inside the vehicle.
I asked Mr. Castle if he remembered the color of the bags? Mr. Castle paused for a
moment and then stated, “You know, they looked like they were pink.” Asked if he could
describe the size and shape of the bags and the type, Mr. Castle responded, “Just bags …
some kind of cloth bags.” Mr. Castle’s description of the bags he observed is consistent with
the two pink pillow cases reported taken in this report.
Mr. Castle’s observations occurred between 1200 and 1300 hrs on 8 Aug 2007.
Mr. Caste provided the following suspect descriptions:

Suspect #1: M-W-20 to 25; 5-10 to 6-00; thin build; 130 to 150 lbs; medium length red
hair; freckles on face and arms; white tee shirt; blue jeans with holes in both knees;
white tennis shoes; NFD
Suspect #2: M-W-20 to 25; 5-08 to 5-10; stocky build; 180 to 190 lbs; short dark hair;
dark sun tan; large tattoo on right forearm; green t-shirt; blue jeans; dark color
shoes; NFD
Vehicle: Dark colored late model SUV with Maryland registration possibly contain-
ing the letters: B and F; NFD

TRAFFIC ACCIDENT REPORT TEMPLATE

Access http://www.iowadot.gov/mvd/ods/accidents.htm and open the PDF document
entitled “Iowa Accident Report Form” for a good example of a traffic accident report
template.

CRIMINAL INCIDENT REPORT

Access http://searchwarp.com/swa220385.htm and examine the narrative provided con-
cerning the report of a domestic violence incident. This is a good example of a well-written
narrative summary of the incident, and it answers the who, what, when, where, why, and
how questions that are so critical for effective report writing.
 Report Writing ◾ 65

CRIME SCENE/EVIDENCE TECHNICIAN REPORT

Access http://www.crimescene.com/noir/1958_crime_report.html and examine the initial
crime scene report. Be sure to also access the links at the bottom of the page, particularly
the one named “Evidence.” These various reports are excellent examples of thorough and
detailed reports and correctly demonstrate the amount of detail required.

FIELD CONTACT/INTERVIEW REPORT

Access the following two websites and examine the templates used by the New York and
New Orleans City Police Departments. Notice that the template used by the New York
City Police Department requires significantly more detail, which may potentially provide
valuable data and documentation for a future criminal investigation and which is more
consistent with pertinent statutory and case law than the report template used by the New
Orleans Police Department. The report used by the latter agency has received much recent
scrutiny regarding legal issues surrounding its use.
http://media.nola.com/crime_impact/photo/terry-form-new-torkjpg-20110028f7fbd2bc.jpg
http://media.nola.com/crime_impact/photo/terry-form-new-orleamsjpg-51a1a24bc0999695.jpg
 Chapter 5

Interview and Interrogation

Scott M. Mire
University of Louisiana at Lafayette
Robert D. Hanser
University of Louisiana at Monroe

CHAPTER OBJECTIVES
After reading this chapter, you should be able to do the following:

1. Understand the process of interviewing a person.

2. Understand the process of interrogating a suspect.
3. Understand the key principles of interview and interrogation practices.
4. Understand the importance of allowing fact to guide the process of interview
and interrogation.

Chapter Outline
• Introduction
• Interviewing Individuals
• Interrogating Suspects
• Key Principles of Interview and Interrogation
• Conclusion

INTRODUCTION
The process of interviewing persons and interrogating suspects has received an enormous
amount of attention from scholars and practitioners over the past several decades. Both the
interview and the interrogation consist of a sometimes deeply personal interactions between
law enforcement personnel and members of the community. And, as is generally the case
with social science topics involving human behavior, we have yet to see that substantial
breakthrough where all questions are answered and the mysteries of effective interview and
interrogation are laid to rest. In fact, in spite of technology and other modern advances,
67
68 ◾ Scott M. Mire and Robert D. Hanser

American law enforcement elicits a confession from a suspect only 45 to 60% of the time.
In other words, for all practical purposes, we are still not much better than chance in being
able to solicit a confession from a suspect as a result of interview and interrogation tactics.
This chapter is aimed at exploring some of the most important aspects of successfully
conducting interviews and interrogations. The primary objective is to explore some of the
most basic factors widely believed to have a direct impact on whether a suspect will confess.
Before going any further, however, it is important to clearly illuminate the population we
are most interested in. Some suspects who are selected for interrogation will never confess.
Consider the example of a suspect involved in narcotics trafficking who had been previously
arrested on several occasions: “I wasn’t going to tell them anything. It wouldn’t have mat-
tered what they said. I had been through that before and found out the hard way that I was
better off keeping my mouth shut. I was prepared to sit in jail for as long as I had to and just
do my time. And what was funny was that when they realized that I wasn’t going to give
them any information they got angry and began threatening me. One said he would be sure
that I spent the rest of my life in jail. It was kind of funny coming from the same detective
that had just lectured me on the importance of telling the truth and being honest.”
On the opposite end of this spectrum are those who are going to confess regardless of
the tactics employed by investigators. For these individuals, the reasons for confessing are
usually very personal and tied to extreme shame that produces profound psychological and
emotional suffering. For those individuals in this group, the confession serves as a cleansing
of emotion, substantially reducing their suffering and ultimately resulting in their life being
much more tolerable. The confession is much more about them reducing their own levels of
stress than it is about individual investigators or their method of interrogation.
Between these two extremes is a group of individuals who may confess depending on
the circumstances. And, unlike the other two groups, the tactics employed by investiga-
tors are crucial when dealing with this group of suspects. These individuals, and especially
those who have had limited contact with the police in the past, are often overwhelmed with
trepidation. Often, and especially for those individuals who are guilty, their biggest con-
cern is what is going to happen to them. The interview and interrogation process is aimed
precisely at these individuals, and it is critical that the process be carried out in a manner
that is most likely to solicit a confession, as opposed to shutting them off, a state whereby
no useful information is provided.

INTERVIEWING INDIVIDUALS
It is important to understand that, although the terms are often used interchangeably, an
interview is different from an interrogation. Generally, interviews should precede the inter-
rogation phase; they involve gathering baseline data from a person potentially associated
with a criminal event. During the interview, investigators have two primary objectives:

1. Come to know and understand the individual.

2. Determine whether the individual is a suspect and whether or not to proceed to
interrogation.
 Interview and Interrogation ◾ 69

The importance of getting to know the individual during the interview cannot be over-
emphasized. A practical example unique to each reader may help to illuminate this point.
Think back to some point in your past or even recently when you determined that a person
(usually a good friend) was a terrible liar. Every time this person tried to fudge the truth,
you could always tell. In fact, you would know immediately that this person was beginning
to stretch the truth, and you were so accurate in your observations that after a while the
person no longer even resisted your objections. This is when people who have been effec-
tively challenged on their quest to stretch the truth are often heard to say, “Okay, it was
really 2, not 5.” Or, “Well, yeah, you’re right. It wasn’t quite that big, but you know what
I mean.” Some clue, either verbal or behavioral, has alerted the listener to the likelihood
that a false statement or a stretching of the truth is about to follow. The point here is that
this clue is identifiable on a consistent basis, sometimes with 100% accuracy. The reason
for this is because a listener who has become so accustomed to a speaker’s mannerisms is
immediately able to detect deviations from normal and becomes suspicious. In essence,
the listener knows the speaker very well. Over time, more and more variations on telling
a lie become apparent. This same phenomenon is also often the case for children and their
parents. Parents are often so in tune with their children that they are usually able to detect
immediately when their child is telling a lie.
How do these examples tie into our discussion? Ultimately, they represent one extreme
of the interview process. In other words, detectives rarely know the people they interview
so well that they are able to detect deception so readily and with such accuracy. In fact,
it is more often the case that detectives either do not know the interviewee at all or the
extent of the relationship is very limited; therefore, the interview is best thought of as the
process through which investigators get to know the interviewee as well as possible. Based
on this logic, the chances of investigators accurately predicting the truthfulness of inter-
viewees are directly related to the amount of interaction they have with the interviewees
(see Figure 5.1). Using an analogy related to scientific research, the amount of interaction
would be synonymous with the size of the sample. Generally, the larger the sample, the

10
Likelihood of successful interview

1 10
Degree to which the investigator knows the interviewee

FIGURE 5.1 Likelihood of successful interview.

70 ◾ Scott M. Mire and Robert D. Hanser

greater the chances of reaching valid and reliable results. The ultimate goal of the interview
is for investigators to get to know the interviewee as well as possible so they can establish
a baseline of truthfulness based on the mannerisms and characteristics of the interviewee
while responding to direct questions.
One example of an interview process that has been well documented is the Behavioral
Analysis Interview (BAI) (Blair, 1999). The BAI provides a strategic and methodological
approach to assessing the likelihood of whether the interviewee may be involved in the
incident being investigated. As noted by Horvath et al. (2008), the BAI is not intended to
detect specific acts of deception but rather to be used as a tool to provide directions and
guidance for evaluating the totality of the interview and whether it is likely that someone
is being deceptive.
Generally, the BAI consists of three parts. Initially, background information is col-
lected that serves as the initial process of getting to know the interviewee. As pointed
out earlier, this is a critical part of the interview. We suggest that as much time as pos-
sible be allocated for gathering background information. In this phase of the interview,
investigators may ask questions relating to where the interviewee lives, the interviewee’s
relatives, etc. Investigators may ask questions about favorite sports teams and players as
well as the interviewee’s favorite movies and genres of music. In essence, the investigator
is attempting to create a connection with the interviewee or, in other words, a good rap-
port that will serve as the foundation for later questions that may be more uncomfortable
and intrusive.
The second part of the BAI usually consists of investigative questions. These types of
questions generally attempt to ascertain whether an interviewee could have committed the
crime in question. In other words, they try to determine the actions of the interviewee dur-
ing the estimated time frame of the alleged commissioning of some criminal act. Although
it is not very common, it is possible to completely eliminate an interviewee from further
suspicion during the phase of investigative questions. An example could include an inter-
viewee establishing an air-tight alibi for where they were during the commission of the
crime in question. In most circumstances, however, interviewees are further questioned
about their opportunity, access, motivation, and propensity to commit a crime (Horvath
et al., 2008).
The third phase of the BAI includes questions related to behavior that are meant to draw
out differences in verbal and nonverbal behavior from both innocent and guilty intervie-
wees. As an example, interviewees may be asked what they understand the purpose of the
interview to be and how they feel about being interviewed about some specific incident
(Horvath et al., 1994, 2008; Inbau et al., 1986, 2001).
What is critical to understand and remember with regard to the interview is that any
result should be a reflection of the totality of the interview and not one single phase of
the interview or a single response to a particular question within a phase. Horvath et al.
(2008) provided five specific guidelines that should always be considered when attempting
to interpret the messages and behaviors observed during the BAI:
 Interview and Interrogation ◾ 71

1. Evaluate any deviations from the suspect’s normal behavior. There are no unique
behavioral indicators that are consistently associated with innocence or guilt.
It is the suspect’s deviation from his or her normal behavior that is significant.
Such normal behavior is especially reflected in responses to questions regard-
ing personal history, which are generally less emotionally provocative for both
guilty and innocent persons. For the innocent person, items in the investiga-
tive and behavior-provoking categories are less provocative than they are for a
guilty person. Therefore, it is the consistency within and between categories that
is important.
2. Evaluate the nonverbal behaviors as they occur in response to a particular ques-
tion and be attentive to repetition of these behaviors—that is, their consistency
across questions.
3. Evaluate verbal and nonverbal behaviors in conjunction with each other. Look for
discrepancies between the two channels.
4. Consider underlying factors that could affect the validity of behavior analysis.
Examples of these include the seriousness of the offense, what the suspect was told
about the offense, the suspect’s emotional stability, and the suspect’s cultural and
social environment.
5. Consider the suspect’s behavior in conjunction with factual analysis. When there
is a discrepancy between known facts and a suspect’s behavioral indicators, the
interviewer must be cautious in rendering a definite opinion of the suspect’s
involvement.

INTERROGATING SUSPECTS
Before reading about the general features of an interrogation, remember that the interview
is meant to identify possible suspects who may have engaged in some criminal activity. The
interview is generally a nonconfrontational process where investigators obtain important
information and also identify baseline reactions demonstrated by interviewees. When an
interviewee has been determined to be a possible suspect, the next phase of questioning
is carried out in the form of an interrogation. In addition, we would like to caution read-
ers that the literature is far from being in agreement on the best methods for soliciting
a confession from a suspect. In Europe, for example, a growing body of literature sug-
gests that suspects are more likely to confess when engaged with a style characterized by
less confrontation and more sensitivity (Hakkanen et al., 2008). In the United States, this
view is much less prevalent, as the general assumption is that suspects are motivated to lie
and should be interrogated as such. As a result, two significant distinctions can be made
between the interview and interrogation:

1. Purpose
2. Tactics
72 ◾ Scott M. Mire and Robert D. Hanser

The purpose of an interrogation is to obtain a confession. The purpose of an interview

is to determine whether someone should be considered a suspect in the commission of a
criminal act; therefore, if a person reaches the interrogation phase, then at least theoreti-
cally the question is not whether this person is involved but how. Did the suspect directly
carry out some criminal act or was the suspect involved in the commission of a criminal
act? Based on the different assumptions associated with interviews and interrogations, the
approaches are different. The primary distinction is the use of confrontation when con-
ducting an interrogation. Investigators are much more direct when conducting an inter-
rogation and often use accusatory statements to obtain information. Some examples could
include the following:

Interview: John, do you have any idea of what happened to Mr. Citizen?
Interrogation: John, we know you were involved in the death of Mr. Citizen.
Interview: John, do you know why someone might have wanted to injure Mr.
Citizen?
Interrogation: John, either you killed Mr. Citizen yourself or you helped someone
kill Mr. Citizen because you wanted his money.

Numerous publications and training manuals can be found on how to interrogate sus-
pects in ways that are most likely to elicit a confession (Aubry and Caputo, 1980; Gordon
and Fleisher, 2002; Holmes, 2003; Walkley, 1987; Walters, 1996). The one manual, however,
that is still most widely used was developed by Inbau et al. (2001). Originally developed
in the 1960s, the manual is now in its fourth edition and describes the Reid technique for
conducting interrogations. The Reid technique is based on numerous observations of the
administering of the polygraph exam and the responses and reactions of those individuals
found to be deceptive.
To begin, the Reid technique calls for a particular setting in which the interrogation
should take place; for example, the room should be relatively small and should be located in
the police station. Further, the setting should be soundproof to limit distractions and mini-
mally furnished. The psychology behind such a setting is to attempt to raise anxiety levels
within a suspect by creating unfamiliar surroundings and enhancing the idea of isolation.
In some cases, the greater the feelings of anxiety and isolation, the greater the likelihood of a
confession (Inbau et al., 2001). Once the correct setting has been has been achieved, the Reid
technique consists of nine steps aimed at driving a suspect toward confession:

1. Confrontation—In this phase of the interrogation, investigators make it very clear

that they believe the suspect is responsible for or involved in the commission of a
crime. The speech is direct and automatic: “John, the reason we are here is because
you committed this crime. I am not asking you. I am telling you that you commit-
ted this crime. The evidence is clear, and everyone I have spoken to says the same
thing. You did it.” The primary objective of the confrontational phase is to quickly
raise the suspect’s stress level and begin the process of logically laying out evidence
showing the suspect’s involvement.
 Interview and Interrogation ◾ 73

2. Theme development—When investigators have confronted a suspect with strong

assertions of his guilt, the next phase is to begin to explore themes that may serve
to justify the suspect’s criminal actions. This is a very important phase of the Reid
technique. Often, suspects feel an abundance of shame related to their crimi-
nality, and they need some type of justification to be able to reduce the shame
and subsequently disclose their actions. Consider a suspect accused of sexually
molesting a child. In some cases, investigators may be well served in developing a
theme whereby they express how they also see some children as being extremely
sexy. The purpose of this theme is to create some justification for the suspect, thus
reducing his shame. Some suspects may respond with, “Yes! I can’t believe you
feel the same way. I thought I was the only one who had those kinds of feelings
and thoughts.”
3. Stopping denials—When the investigation has begun to develop themes based on
the evidence, it is important to stop a suspect’s denials before the investigator and
the interrogation get taken off track. The point is to stay on theme and within the
domain of evidence with as few distractions as possible.
4. Overcoming objections—At this point in the interrogation, many suspects will
object to the theme presented by investigators. This is different that a denial of com-
mitting the crime. Here is an example of a suspect objecting to a theme: “I could
not kill another person. I saw my dad murder my mom when I was 12 years old.” In
order to overcome such an objection, one reply available to investigators could be,
“John, I understand. You are correct, you could never PLAN to kill another person
like your dad had planned to murder your mom. In fact, he had probably planned
to kill her for years.”
5. Getting the suspect’s attention—In this phase of the interrogation, many suspects
are very unsure of themselves. Especially when successful themes have been pre-
sented suspects will often find themselves more isolated than ever. The goal is now
to offer support to the suspect. “John, I know you were under stress. You had been
trying for a long time. Anyone would have been stressed under those circum-
stances. Hell, you lasted a lot longer than I could have.”
6. Suspect loses resolve—Suspects who are provided support by an investigator
will often feel as though they have an ally and that they are being understood.
Unfortunately, for some suspects, this may be the first time they ever felt heard. As
a result, they will begin to let their guard down and lose some of the resolve neces-
sary to maintain their lies and deception.
7. Offering alternatives—In some cases, when suspects begin to lose their resolve, the
path to confession is quick and uninterrupted. Others, however, may need alter-
natives or contrasts for the most shameful aspects of the crime: “John, either you
planned to kill your wife or you were so upset when you found out she was having
an affair, you blew up. You were out of control.” These two contrasts will often
result in a suspect who has begun to lose resolve indicating which scenario is most
accurate. At this point, the indicators will often be subtle, such as a gentle nod of
the head or putting their head in the palms of their hands.
74 ◾ Scott M. Mire and Robert D. Hanser

8. Bringing the suspect into the conversation—In this phase of the interrogation, the
suspect has usually given some indication as to which alternative is most accu-
rate. For all practical purposes, the confession has begun and the goal is to allow
the suspect to provide as much information as possible. In some cases, additional
investigators may be brought in, and suspects once again rely on the most socially
acceptable rationale for the commission of their crime. The result is that the sus-
pect confesses to now another person.
9. Confession—The final stage of the interrogation is simply ensuring that the confes-
sion will be admitted in a trial. The voluntariness of the confession will be cap-
tured, and usually suspects will be asked to provide their confession in writing.

A PRACTICAL EXAMPLE
On September 1, 2003, Detective Victor Lauria of the Novi Police Department in Detroit,
Michigan, used his training in the Reid technique to interrogate Nikole Michelle Frederick
(Layton, 2010). Frederick’s 2-year-old stepdaughter, Ann Marie, was brought to the emer-
gency room near death, with obvious signs of extensive child abuse. Frederick was her
primary caretaker and was watching Ann Marie in the time before the trip to the hospital.
The interrogation took place over 2 days, with Frederick being charged with the crime
immediately following the first sit-down. Lauria began with a simple interview, just talking
in a non-threatening way to establish Frederick’s baseline reactions:

Lauria: How would you rate yourself as a mother?

Frederick: Um, I think I’m, I’m pretty good. I mean I, I am a little bad with being stern
and stricter, you know, letting them get away with things.
Lauria: How would you describe Ann Marie?
Frederick: She was a very hard baby. She would, uh, cry all the time. Always wanted
to be held. … I mean Annie just, I mean she always looks like she’s beaten. She’s
always climbing or you know. I always can see a little bit of bruising and scrapes or
whatever on her back. Her shins are always bruised.

Because Frederick appeared to be making excuses for Ann Marie’s injuries and setting
up a justification—“She was a very hard baby”—and because she was taking care of Ann
Marie when the injuries occurred, Lauria predicted guilt and began interrogating her. He
proceeded to subtle confrontation, letting Frederick know how she would be caught:

Lauria: There’s a whole line of study in police work that can determine how injuries
occur and how old the injuries are.
Frederick: … I don’t even think we’ll find out exactly what happened because the only
one that really knows is her and it’s gonna be awfully hard trying to get her to say
if anything happened, you know. I’m not trying to be rude or anything, I was just
wondering how long this is going to take.
 Interview and Interrogation ◾ 75

Lauria: Well, like I said, one of the things we’re able to do with those [bruises] is we
can date bruises based upon, you know, whether they’re new bruises just coming
in, or whether they’re bruises that are already starting to heal because, you know,
doctors and forensic scientists and pathologists study those type of things.
Frederick: Okay.
Lauria: Can you think of any reason why they would determine that those bruises
were caused in the last 24 hours and that somebody would suspect that you did
this?
Frederick: Um, other than that I was there, no.
…
Lauria: Do you suspect anybody of doing this?
Frederick: No, I don’t. And that’s what I’m saying, and I, I’m having a hard time believ-
ing that it was inflicted on her because, like I said, we would have heard something,
too, you know.
Lauria: Out of all the people in the house that were there or came in last night, list all
the people that you would vouch for that you would say absolutely would not do
something to hurt Ann Marie.
Frederick: I know John wouldn’t do it. I honestly don’t think Brian would do it.
Lauria: Who’d vouch for you?
Frederick: Um, probably John. But, see, like, I don’t, I don’t necessarily, uh, believe
what the doctor’s saying and how they were inflicted, whatever.

Detective Lauria began developing a theme about an out-of-control situation—Freder-

ick had not premeditated the abuse; she just hadn’t been thinking clearly. But Frederick
didn’t like that theme. She asked the detective why he wasn’t believing her story. Lauria
then switched to an out-of-control “split second” in which Frederick had hurt Ann Marie.
He explained that Ann Marie’s injuries were definitely not from a fall. Someone else had
inflicted them, possibly in a split second of irrationality. Frederick was listening now,
apparently clinging to the “split second” qualification. Lauria further developed the
theme by bringing up Ann Marie’s difficult nature and how hard she was to care for—
blaming the victim, which Frederick had already shown a tendency toward. Frederick
began nodding her head, and Lauria set up an alternative. He told Frederick that “without
an explanation of what happened people would assume the worst.” The implied contrast
had already been set up: a cold-blooded, vicious attack on a toddler vs. a momentary loss
of self-control when dealing with a difficult child. The approach worked. According to
Lauria’s account:

Over two days of questioning Frederick never asked how Ann Marie was doing.
Near the end of the interview I pointed this out to her. She tried to convince me
that she had asked several times about Ann Marie’s injuries. She then asked me for
an update in her condition. I told her that Ann Marie was brain dead and that she
was probably not going to survive. Frederick stated, “Oh, my God. I’m gonna go for
murder.” I then spent another 45 minutes with various themes in an attempt to get
76 ◾ Scott M. Mire and Robert D. Hanser

further information. After several attempts at denying any further knowledge or

involvement in causing the injuries to Ann Marie she admitted to shaking her. After
admitting to shaking her, Frederick broke down and cried. She then said, “I killed
that little girl. I killed that little girl.”

Ann Marie died of her injuries, and Nikole Michelle Frederick stood trial for first degree
felony murder. She was found guilty and sentenced to life in prison without the possibility
of parole.

KEY PRINCIPLES OF INTERVIEW AND INTERROGATION

Before transitioning into the final parts of this chapter a couple of points are worthy of
mention. First, we have relied on two techniques, the BAI and the Reid interrogation sys-
tem, to illustrate the differences between interviews and interrogations. This is not meant
to imply, however, that we feel these techniques are superior to others. As noted above,
there are other styles and techniques of conducting interviews and interrogations, and the
specific methods chosen will largely be governed by the policies and procedures of indi-
vidual agencies and the manner in which their leadership has been trained. Some aspects
of interview and interrogation, however, are universal and do not rely on the individual
techniques used to gather information and obtain confessions.
The first aspect of interviewing persons and interrogating suspects that has been shown
to be effective is careful planning. This point cannot be overemphasized. It is vital that
investigators gather as much background information as possible on individuals to be
interviewed and especially suspects that will be interrogated. For those who will be inter-
rogated, investigators should make every attempt to learn about their associates, past crim-
inal involvement, employment history, and any other information that may be available.
This background information will not only help investigators identify possible patterns
of deception but also provide the foundation for effectively planning how to carry out the
interview and interrogation (Napier and Adams, 2002; Vessel, 1998).
Another aspect of interview and interrogation that is important to understand and carry
out is for investigators to follow the facts related to the incident in question. This aspect of
successful interviewing and interrogation is also directly tied to a thorough background
investigation prior to questioning. When investigators let facts guide their questioning
they are better able to stay on point and ensure that the process remains within areas of
questioning that are productive and relevant. When they allow facts to guide questions,
investigators are also better positioned to challenge suspects who may be deceptive and
not addressing the specific components of the questions being asked. When investigators
are able to point to substantive facts driving their questions, they are also more likely to be
viewed as credible by the suspect, and, especially within the criminal element, the percep-
tion of credibility is very important. If an investigator loses credibility during the interview
or interrogation, the chance of success is greatly diminished. In fact, in such circumstances
it may be best to stop and allow another investigator to take over the questioning or at least
be present for the duration of the conversation.
 Interview and Interrogation ◾ 77

A third aspect of successfully interviewing and interrogating suspects is to ask clear

questions that can be understood by the suspect. Questions should be construed in a simple
manner and not be overly complex. Just as important, however, is that when a clear ques-
tion has been presented investigators should be patient and allow the individual to respond
without interruption. For many investigators, allowing individuals to fully respond without
interruption is deceptively difficult. Especially in the beginning phases of an interview or
interrogation, open-ended questions, clearly framed, are usually best. Open-ended ques-
tions tend to force individuals away from one- or two-word responses. As noted by Napier
and Adams (2002), open-ended questions generally make it more difficult for suspects to
successfully lie, especially over time.
One caution is worth noting in relation to the framing of questions. In many circum-
stances, investigators will attempt to frame questions so perfectly that they actually end
up doing as much or in some cases more talking than the suspect. The psychology behind
this phenomenon is probably rooted in wanting to obtain the confession so badly that
the basics of communication are cast aside in the pursuit of a perfect question that will
somehow force the suspect to confess. This is rarely the case, however, and a confession is
usually the result of various factors and probably most associated with the strength of the
evidence. At any rate, many investigators make a serious error by not allowing a suspect
to fully answer a question without being interrupted. Of course, we do not mean to imply
that it is productive to allow someone to significantly depart from the main theme of ques-
tioning, either intentionally or unintentionally; however, every effort should be made to
provide their answers.
Finally, and arguably most importantly, all interviews and interrogations should be con-
ducted with the utmost of professionalism. This can sometimes be difficult, especially when
interrogating individuals suspected of committing a heinous crime. It can be a daunting
task to look into the eyes of someone who has killed another and calmly ask that person
to talk you through the crime scene and the reasoning behind their gruesome act. To not
remain professional, however, not only jeopardizes the confession but also may raise ques-
tions of legality regarding the entire investigative process and whether the case will be
accepted for prosecution.

CONCLUSION
The process of conducting successful interviews and interrogations is often difficult. A lot
of the variability is directly associated with the individual being questioned. Some will give
information willingly, and some will offer no information; for others, the methods used
in soliciting the information are critical and ultimately decide whether they will disclose
sensitive details. It is important to understand the difference between an interview and
interrogation. When conducting interviews, the questions are usually aimed at obtain-
ing general information in order to ascertain whether the person should be considered
a suspect in some criminal event. When a person is deemed a suspect, the questioning
shifts to the form of an interrogation. The most significant difference between an interview
and interrogation is that an interrogation usually consists of intentional and deliberate
78 ◾ Scott M. Mire and Robert D. Hanser

confrontation. The suspect is told that he is believed to be responsible for the commission
of a criminal act. The ultimate goal in the interview and interrogation process is obtaining
a confession from an individual admitting that he or she did in fact commit the criminal
act or was involved in the commission of a criminal act. In the U.S. court system, a con-
fession is powerful evidence. In fact, without a confession many prosecutors will not file
charges unless there is an abundance of physical or circumstantial evidence. As a result, a
great deal of importance is attached to the process of obtaining a confession. Investigators
often have a great deal of pressure on them to figure out how to effectively obtain a confes-
sion from a criminal who has a lot to lose by confessing. It is a difficult process that must
be carefully managed.
Prior to conducting interviews and especially interrogations, investigators should take
the necessary time to obtain as much background information as possible regarding the
individual to be questioned. A thorough background investigation helps investigators plan
for the interview and interrogation. It also allows investigators to develop themes that iden-
tify the precise questions that need to be answered. Investigators should follow the facts
when questioning suspects and allow them the time to answer questions without interrup-
tion. Finally, investigators must remain professional throughout the duration of the inter-
view and interrogation. Professionalism is among the most salient tools an investigator has,
not only to get a confession but also to ensure that the confession is admissible in court.

QUESTIONS FOR DISCUSSION

1. What is the difference between an interview and interrogation?
2. Discuss the process of developing themes within an interrogation. What is the
purpose of developing a theme?
3. Identify and discuss several key principles to conducting successful interviews and
interrogations. Which of the principles do you think is most important? Why?
4. In your opinion, does the court system rely too heavily on the confession for a
criminal prosecution? Why?

BIBLIOGRAPHY
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Baldwin, J. (1992). Video Taping Police Interviews with Suspects: An Evaluation, Police Research Series
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Bull, R. (1999). Police Investigative Interviewing. In Memon, A. and Bull, R., Eds., Handbook of the
Psychology of Interviewing (pp. 279–292). Chichester: Wiley.
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B., and Savage, S., Eds., Core Issues in Policing, 2nd ed. (pp. 147–159). London: Longman.
Gordon, N. and Fleisher, W. (2002). Effective Interview and Interrogation Techniques. San Diego, CA:
Academic Press.
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Hakkanen, H., Ask, K., Kebbell, M., Alison, L., and Granhag, P.A. (2008). Police Officers’ Views
of Effective Interview Tactics with Suspects: The Effects of Weight of Case Evidence and
Discomfort with Ambiguity. Applied Cognitive Psychology, 23:468–481.
Holmberg, U. (2004). Police Interview with Victims and Suspects of Violent and Sexual Crimes,
Interviewees’ Experiences and Interview Outcomes, unpublished Ph.D. thesis. Stockholm
University.
Holmes, W. (2003). Criminal Interrogation: A Modern Format for Interrogating Criminal Suspects
Based on the Intellectual Approach. Springfield, IL: Charles C Thomas.
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Baltimore, MD: Williams & Wilkins.
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Gaithersburg, MD: Aspen.
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Layton, J. (2010). How Police Interrogation Works, http://people.howstuffworks.com/police-interro-
gation2.html.
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Lloyd-Bostock, S., McMurran, M., and Wilson, C., Eds., Psychology, Law and Criminal Justice:
International Developments in Research and Practice (pp. 91–99). Berlin: de Gruyter.
Napier, M.R. and Adams, S.H. (2002). Criminal Confessions: Overcoming the Challenges. FBI Law
Enforcement Bulletin, 71(11):9–15.
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 Chapter 6

Evidence
Cory Rodivich
Wichita, Kansas, Police Department

CHAPTER OBJECTIVES
After reading this chapter, you should be able to do the following:

1. Define the term evidence.

2. List and describe the general categories of evidence.
3. Discuss the linkage theory and Locard’s theory of exchange.
4. List and describe the major types of physical evidence.
5. Discuss the generalist concept and its application to forensic field
investigation.
6. Describe the methods of identification, collection, and preservation pre-
scribed for the major types of physical evidence.

Chapter Outline
• Nature of Evidence
• Founding Theories of Forensic Investigation
• Importance of Information Gathering
• Major Types of Physical Evidence
• Generalist Concept
• Identification, Collection, and Preservation of Physical Evidence

NATURE OF EVIDENCE
Evidence can be defined as anything legally submitted to a tribunal or trier of fact (judge
or jury) that tends to prove or disprove a fact in question. In a very practical sense, the two
fundamental questions to be answered in any criminal investigation are what happened
and who did it? Many specifics must absolutely be deduced to ultimately answer these
questions with a reasonable degree of certainty, but anything that assists the investigator
81
82 ◾ Cory Rodivich

and, in turn, the trier of fact in answering these questions can be considered evidence. The
term anything is, of course, very broad, but as we will discuss, the word evidence encom-
passes a broad range of objects, information, and observations. Evidence can be classified
into three general categories: testimonial, documentary, and physical.

TESTIMONIAL EVIDENCE
Testimonial evidence includes the statements of victims, witnesses, and suspects that are
gathered during the interview or interrogation process. Testimonial evidence, while often
beneficial in establishing and understanding certain factors such as motive, has one major
flaw—subjectivity. Humans are subjective beings, each bringing his or her own agenda and
perceptions to the interview table and witness stand. At times, an agenda can include out-
right perjury. More often than not, the nature of this subjectivity is less deceitful and more
a matter of perspective, centering on the individual’s ability to perceive and remember
events. A knife may appear to be quite large to a victim at the time of the incident and in
light of all of the emotions that accompany being victimized, when in actuality the weapon
recovered from the suspect was a small pocketknife. A witness who overhears another
witness describing some detail regarding a suspect’s appearance or behavior, which he
himself did not observe, may absorb that information and later change his statements after
convincing himself that he, too, observed this detail. Human beings, whether victim, wit-
ness, or suspect, are capable of distorting facts, sometimes purposefully for their benefit
or the benefit of others and other times unconsciously. Although testimonial evidence is
not to be ignored, the importance of documentary and physical evidence in evaluating the
statements of individuals must always be recognized (Gardner, 2005).

DOCUMENTARY EVIDENCE
The three primary methods used to document the people, places, and things involved in
criminal investigations are photography, sketching or diagramming, and notetaking.
Photographs are visual representations that provide investigators with permanent records
that can be examined and analyzed subsequent to crime scene investigations and all evi-
dence-gathering activities. Photographs, in the most basic sense, effectively demonstrate
what something looks like. Information regarding the appearance of a person, place, or thing
is more easily and often more effectively communicated to the trier of fact with photographs
rather than with verbal recollections and descriptions. Photographs are routinely entered
as evidence in criminal court proceedings, with officers or investigators testifying that each
photograph is a true, clear, and accurate representation of what they observed. Photographs
are increasingly valuable when they are utilized to capture transient or temporary condi-
tions, such as the appearance of a crime scene before it is processed or searched and the pres-
ence of items contained within before they are moved, altered, or collected. Photographs are
often the only way a piece of evidence can be preserved for viewing, as in the case of physi-
cal injuries on living persons. Injuries and resulting wound patterns cannot be physically
removed from individuals and will change over time, if not heal completely.
 Evidence ◾ 83

Sketches are drawn and measurements are obtained to record information that cannot
be captured in photographs, such as the size and dimensions of a crime scene and spe-
cific locations of objects and items contained within it, as well as their spatial relationships.
Sketches and measurements made in the field can then be utilized to construct polished,
scale drawings from a two-dimensional or three-dimensional perspective; these, again, can
be presented to the trier of fact as true, clear, and accurate visual representations of what was
observed or examined by investigators. Similar to photographs, diagrams can greatly assist
the trier of fact in gaining an understanding of the people, places, and things involved and
the events that occurred during both the commission and investigation of a crime.
Notes are written to document information that cannot be captured in either photo-
graphs or diagrams, such as sounds, smells, temperatures, nonvisual postmortem changes
in a deceased victim, or the actual ambient lighting conditions present at a crime scene. To
photograph a pitch-dark room or space, with the intention of demonstrating the appear-
ance of the interior, light must be artificially injected into the room. The exposed photo-
graph will show what the interior of the room looked like, but the image itself, the room
being illuminated, does not accurately reflect how the room appeared to the investigator
at the time the photograph was taken. Notes provide a supplement to photographs and
diagrams, painting a complete and clear picture of the observations made by investigators
for the trier of fact.

PHYSICAL EVIDENCE
Physical evidence takes the form of specific, tangible items collected during criminal inves-
tigations for subsequent examination, analysis, and presentation. The term physical does not
necessarily imply that the item is visible to the eye; often, the most compelling physical evi-
dence requires some form of development or instrumentation to visualize. The underlying
importance of physical evidence is that it is real and tangible and cannot be denied; physi-
cal evidence never lies. Failure to understand the true nature and significance of physical
evidence lies strictly in the human elements of its identification, collection, and examina-
tion. Properly considered, physical evidence establishes a framework of facts and objective
knowledge that will guide both the investigator’s understanding of the crime being investi-
gated and the trier of fact’s subsequent decision as to the guilt or innocence of the defendant
(Gardner, 2005). The remainder of this chapter focuses on physical evidence.

FOUNDING THEORIES OF FORENSIC INVESTIGATION

As is discussed in the following chapter, forensic science involves the application of profes-
sional and scientific disciplines to the examination and analysis of physical evidence. The
process of bringing an article of physical evidence up to the point of examination is just as
intensive, involving the three main activities of identification, collection, and preservation.
The most difficult aspect of this process is identification, which requires above all that the
investigator be critically observant and highly inquisitive. The initial stage of the identifica-
tion process involves application of the two founding theories of forensic investigation.
84 ◾ Cory Rodivich

Victim Suspect

Crime Scene

Physical Evidence

FIGURE 6.1 Linkage theory.

LINKAGE THEORY
The linkage theory is illustrated in Figure 6.1. The three main factors in the overall equa-
tion of most criminal investigations are the victim, the suspect, and the crime scene. Each
of these factors can be and many times is plural in number. It is important to note that,
although this chapter is not solely devoted to crime scene investigation, a definition of the
term crime scene would be beneficial. A crime scene is traditionally thought of as a loca-
tion, a home, a business, a parking lot, a vehicle, etc. This is true in every case, as the crime
has to be committed somewhere, but from an evidentiary point of view this definition
is very restrictive. A crime scene can, in fact, be any person, place, or thing from which
physical evidence can be recovered. When considering such relevant concepts as custody,
integrity, and contamination, one can see the similarities between a living room, a firearm,
a victim’s corpse, and a suspect’s clothing.
A quintessential goal of investigations involving crimes against property and persons is
to establish a linkage between these factors through physical evidence. In a very practical
sense, the linkage theory targets the investigator’s search by directing evidence-gathering
activities toward the factor missing from the equation. Suppose that the scene of a sexual
assault was reported as being the victim’s home; in this case, the investigator’s search would
concentrate on identifying and collecting physical evidence that would place the suspect
inside the scene, as that person did not reside within the victim’s home. If the crime scene
is a neutral location, such as a parking lot or outdoor venue, where the presence of neither
the victim nor the suspect can be strictly established, then physical evidence originating
from both individuals would be valuable. If the crime scene is a common location, as in
cases involving domestic violence or locations with unlimited public access and traffic
(such as a 24-hour convenience store), where the presence of both the victim and suspect
is not extraordinary, then the face value of physical evidence can possibly be diminished.
The linkage theory, therefore, also assists the investigator in assessing the probative or evi-
dentiary value of articles of potential physical evidence—that is, whether an item tends to
prove a fact in question or aids in the investigation.
 Evidence ◾ 85

Factors that can potentially strengthen the linkages among victims, suspects, and crime
scenes, and thus the probative value of physical evidence, are the basic nature of the evi-
dence itself and the context in which it is located. In some cases, especially when suspects
state that they have never visited a particular scene or location, the mere presence of physi-
cal evidence, such as a fingerprint, is valuable as it refutes the suspect’s statement. Some
forms of biological or DNA evidence are inherently valuable just because of what they are
and the implications that accompany them. If the victim and suspect both state that the
suspect was invited into the victim’s home and drank a glass of water prior to the sexual
assault, then the suspect’s fingerprint on the drinking glass is explainable and not very pro-
bative. The suspect’s seminal fluid atop the couch where the assault was reported to occur
not only places the suspect inside the home but also places him there in a very specific and
probative context, that of sexual intercourse. Blood is inherently valuable because it estab-
lishes not only the individual’s presence inside of a crime scene but also his or her active
participation in a disturbance or violent crime. In the case of a non-residential burglary
where a fingerprint recovered from the remaining glass within the broken window used to
gain entry is identified as belonging to an employee of the business, the mere presence of
the fingerprint is not entirely probative because of the employee’s consistent access to the
window. If the glass within the window is double-paned and the fingerprint was recovered
from the exterior side of the interior glass panel, the probative value of the fingerprint has
now significantly increased because of the context in which it was located; the fingerprint
could not have been deposited without the exterior glass panel being shattered first.

LOCARD’S THEORY OF EXCHANGE

Edmond Locard is credited with starting the first crime laboratory in Lyons, France, in
1910. Locard’s theory of exchange can be simply stated as every contact leaves a trace,
meaning that when a person comes into contact with an object or another person an
exchange of material (i.e., physical evidence) will occur; the person will leave something
behind and take something with him. Numerous factors exist that affect the forensic value
of this exchanged material, but Locard’s theory of exchange faithfully serves investigators
by directing them to the types of physical evidence potentially left within or taken from
crime scenes and the locations of such evidence.
Locard’s theory of exchange is often successfully applied by investigators trying to place
themselves in the shoes of perpetrators. What would the suspect have to contact in order
for him to accomplish what he did inside the scene? For a burglary incident, where the sus-
pect’s point of entry was a window unit, the ground below the window unit may bear partial
footwear impressions; an air-conditioning unit located adjacent to the window may have
been utilized by the suspect as a boost and may also bear footwear impressions, as well as
fingerprints; and jagged glass remaining within the window frame through which the sus-
pect crawled suggests the possibility of the suspect being injured and bleeding within the
scene. As Locard’s theory implies, it is important for the investigator to also realize what
86 ◾ Cory Rodivich

the suspect may have taken from the scene. Soil or vegetation from the ground below the
window may be trapped in the suspect’s shoes. If entry was made by prying open a door,
paint from the door may be embedded on the marking edge of the tool used and retained
by the suspect. Investigators should strive to identify and collect not only unknown, evi-
dentiary samples but also known standards for subsequent comparison.
It is also important to note the interrelationship between the linkage theory and Locard’s
theory of exchange, with the linkage theory representing the goal and Locard’s theory the
means by which to achieve the goal. In the case of the scene of a sexual assault reported to
be the suspect’s residence, an investigator who applies the linkage theory would realize that
physical evidence left by the victim would be most probative. The application of Locard’s
theory then alerts the investigator to the specific types of physical evidence potentially
resulting from sexual intercourse. This seems very simplistic, but when presented with
the absence of obvious pieces of physical evidence, such as a used condom, the investiga-
tor’s search for bodily fluids will be affected by this information, as the fluids deposited by
males and the fluids deposited by females during intercourse are entirely different pieces
of material.
The underlying concept addressed in Locard’s theory of exchange is that of transfer, the
transfer of materials when people and objects come into contact. The materials that are
transferred, both left behind and removed, become physical evidence that assists in estab-
lishing linkages among the victim, suspect, and crime scene. The concept of transfer can
serve to direct the flow of an entire investigation; just as suspects can be tracked through
cellular phone pings and stolen credit card purchases, suspects can be tracked through the
continual transfer of physical evidence. Blood is transferred from the victim to the suspect’s
clothing in a stabbing incident, resulting in primary transfer. The victim’s blood is then pos-
sibly transferred to the driver’s seat of the suspect’s car as he flees the scene, resulting in sec-
ondary transfer. The following day, traces of the victim’s blood are then possibly transferred
to the clothing of the suspect’s roommate, who is also permitted to drive the vehicle, result-
ing in tertiary transfer. The suspect’s vehicle and the roommate’s clothing now constitute
additional articles of physical evidence that can and should be pursued by investigators.
The possibility of transfer can be either limited or expansive based on the nature of the
material involved. In the previous example, the victim’s fingerprint was not able to be trans-
ferred to the suspect’s clothing for a variety of reasons. The victim’s blood, on the other
hand, was dynamic, capable of movement and flight, offering evidentiary value of personal
identification not dependent on factors such as surface characteristics and pattern forma-
tion. As will be discussed, biological/DNA evidence and those articles categorized as trace
evidence are most often associated with this concept of continual transfer. Presented with
these materials, a skilled, observant, and inquisitive investigator can take the concept of
transfer and run with it, striving to think “outside of the box.” Upon arriving at the scene
of a residential robbery, for example, an investigator notices that the home interior is cov-
ered in hair shed from the victim’s dog. Just as in humans, unique DNA signatures are also
located in the cells of animals. Presented with statements from the victim that he and the
unknown suspect fought on the living room floor during the incident, the investigator rec-
ognizes the potential transfer of pet hair to the suspect’s clothing. The dog shed on the floor,
 Evidence ◾ 87

resulting in primary transfer; the suspect then contacted the floor and removed pet hair,
resulting in secondary transfer. The examination and comparison of exemplars collected by
the investigator from the dog and samples subsequently recovered from the suspect’s cloth-
ing can objectively link the suspect to the crime scene through the victim’s pet.

IMPORTANCE OF INFORMATION GATHERING

Every case and every crime scene is unique, presenting a singular set of facts and circum-
stances. To ensure the most effective and thorough collection of physical evidence, the
investigator must be knowledgeable of the facts and events surrounding the commission
of the crime. This information is generally gathered in two ways: (1) from the statements
of individuals involved, including the victim, suspect, witnesses, and first responders (e.g.,
police, fire, and EMS personnel); and (2) from observations made by the investigator during
his preliminary survey of the crime scene. A skilled investigator can make determinations
from his observations of the crime scene and also formulate questions for those individu-
als involved by applying the linkage theory and Locard’s theory of exchange; doing so also
targets evidence collection efforts and ultimately strengthens the case.
In the case of a sexual assault, details regarding the sexual nature of the incident can
be useful information. If penetration was made in a specific manner, the investigator can
expand his search to include items such as lubrication devices and the presence of blood
and fecal material. Valuable evidence can also certainly be located outside of the imme-
diate perimeter where the assault occurred. Inquiring of the victim whether the suspect
utilized a condom and, if so, where the condom itself and the wrapper were disposed of
can be valuable information. Also very useful is attempting to account for the suspect’s
actions before, during, and after the incident. If the victim reports that the suspect had
never been inside of her home prior to the incident, then the mere presence of physical
evidence deposited by the suspect becomes important. Insightful questions for the victim
would address anything that the suspect may have touched, eaten, drunk from, or smoked,
so his presence can be objectively established within the scene. If multiple cigarette butts
are located within the residence, follow-up information should be sought from the victim
regarding the brand of cigarettes she smokes, in an attempt to isolate a stray brand possibly
originating from the suspect. If the victim reports that the suspect entered the residence’s
bathroom immediately following the incident, the suspect could have urinated in the toilet
(also possibly leaving behind traces of seminal material) or cleaned himself with any towel,
rag, or tissue present. If, upon viewing the interior of the bathroom, towels are scattered
about the floor, further clarifying questions to the victim may assist in isolating a particu-
lar one. Often, items that are very common and ordinary inside of a particular location can
be very important pieces of physical evidence. Recognition of the importance of such items
is dependent upon the investigator’s insight and ability in gathering relevant information.
Key to investigating violent crimes is the examination of the victim and any physical
injuries. Examination of a shooting victim could indicate that the firearm was in close
range to the victim at the time it was discharged. When the firearm is recovered, it can
be processed for physical evidence linking both the victim and suspect to it; for example,
88 ◾ Cory Rodivich

material deposited by the suspect might be found on the grips and any articles required
to operate the firearm, and biological evidence from the victim might be located around
the muzzle and tip of the gun barrel. In a very practical sense, an examination of a shoot-
ing victim and information gathered from medical personnel and treatment can alert the
investigator to the number of bullets still present inside the victim. When the number of
shots fired during the incident has been established, the bullets within the victim do not
have to be searched or accounted for at the scene.
The absence of such relevant case information is a regular occurrence. Scene investi-
gators must often operate within the realm of possibility, which, as it sounds, increases
their workload. What is paramount is that investigators always err on the side of caution.
Physical evidence that is not properly documented or collected is always worthless.

MAJOR TYPES OF PHYSICAL EVIDENCE

Although not all inclusive, the following sections cover the major and most common types
of physical evidence encountered by investigators. More detailed descriptions regarding
the nature of each is included in the following chapter, along with the potential results
obtained from the forensic analysis of physical evidence and the investigative information
generated from these results.

FINGERPRINTS
The fingers and palms of the hands, as well as the soles of the feet, of human beings have
friction ridge skin, composed of complex patterns of hills and valleys designed for gripping
purposes. Within a fingerprint pattern are a number of features known as ridge character-
istics or minutiae, which, based upon their identity, number, and relative location, serve as
a means of personal identification.

BIOLOGICAL/DNA EVIDENCE
The chemical blueprint of life itself, DNA is found in structures contained in cells, including
nuclei and mitochondria. Because bodily fluids, tissues, and organs are comprised of cells,
these body materials can be used for DNA typing as a means of personal identification.

TRACE EVIDENCE
Trace evidence simply refers to physical evidence that is small in size and includes materi-
als and substances such as hair, fibers, paint, glass, and soil.

FIREARMS EVIDENCE
Firearms evidence includes the firearms themselves and the ammunition components con-
tained within or expelled from the gun during the firing process.
 Evidence ◾ 89

TOOLMARK EVIDENCE
Toolmarks are patterns resulting from a harder marking device, or tool, being forced
against a softer object, usually in an attempt to force entry into, for example, a dwelling,
business, or storage unit.

IMPRESSION EVIDENCE
Impressions most often take the form of footwear and tire-tread marks deposited on a
variety of yielding or unyielding surfaces within a crime scene.

OTHER PHYSICAL EVIDENCE

Articles of physical evidence also commonly encountered by police or investigative per-
sonnel include drugs and drug paraphernalia, documents of a questionable nature, vari-
ous tools and blunt- and sharp-force weapons, clothing, bedding, and beverage cans and
bottles. In accordance with the linkage theory and Locard’s theory of exchange, physical
forms of physical evidence, such as those listed above, can be examined for additional
forensic evidence, such as fingerprints, DNA, and trace evidence, to identify people and
substances and thus establish linkages to aid in the investigation.

GENERALIST CONCEPT
Given the subjective nature of testimonial evidence and current trends in popular cul-
ture regarding the availability and popularity of forensic science and investigation among
potential jury members, a strong emphasis has been placed on physical evidence and its
analysis in the investigation and prosecution of crime. The investigation of crime scenes
and the identification, collection, and preservation of physical evidence can therefore be
considered as the foundations of criminal investigation. As previously discussed and is fur-
ther discussed in the following chapter, numerous classifications of physical evidence exist
to assist investigators in proving their cases. To ensure an efficient and effective investiga-
tion of the crime scene and all associated physical evidence, an investigator must possess
not only a detailed and thorough knowledge of the identification, collection, and preserva-
tion methods prescribed to each particular classification but also the probative value of
what the evidence may reveal.
Two positions within the field of forensic investigation are the specialist, an individual
who possesses educational and professional expertise in a particular discipline such as fin-
gerprint examination and DNA analysis, and the generalist, an individual who, although
less formally educated, possesses a well-rounded and experienced knowledge base and
skill set in a variety of forensic disciplines. Crime scene investigators may specialize in
disciplines more applicable to field investigation, such as photography, death investiga-
tion, and bloodstain pattern analysis, but ideally they are generalists who can perform a
variety of tasks with regard to physical evidence identification and collection and can draw
90 ◾ Cory Rodivich

conclusions about what an article of evidence may reveal upon examination. The ability
of the investigator to make frontline judgments as to the probative and evidentiary value
of an article of potential physical evidence can serve to direct, focus, and target the subse-
quent investigation of the case.

IDENTIFICATION, COLLECTION, AND

PRESERVATION OF PHYSICAL EVIDENCE
The recovery of physical evidence consists of three main phases—identification, collection,
and preservation—each of which presents unique challenges and responsibilities to the
investigator.

IDENTIFICATION
The identification of physical evidence commences with the gathering of relevant and spe-
cific case information through observation and inquiry. Before investigators can search
for evidence, they must be aware of what they are searching for. When the investigator
has gained an understanding of the available facts of the case and the events occurring
during commission of the crime, the next step in the process is application of Locard’s
theory of exchange. Directed to the types of physical evidence potentially left within the
scene and their locations, the investigator can now begin the practical process of searching.
Although different methodologies exist to adapt and increase the effectiveness of crime
scene searches to specific surroundings, it is paramount that the search be organized and
systematic to ensure that nothing is overlooked, missed, or lost, regardless if the area being
searched is as contained as the interior of a residence, as expansive as an open field, or as
specific as an article of furniture or the blade of a knife.
Directed to a specific surface or location, the investigator then employs a series of pre-
sumptive tests, proceeding from the least destructive means to the most destructive means.
The first presumptive test is the investigator’s eyes. Physical evidence can be very visible to
the eye, as in the case of firearms and the ammunition components expelled from such; it can
also be very invisible to the eye, as in the case of some bodily fluids and other DNA evidence.
The second presumptive test is essentially another set of eyes, directing light and light sources
to increase visibility. Side or oblique lighting—positioning a light source (usually a high-
powered flashlight) parallel to a surface—is particularly useful in locating physical objects
such as spent bullets or cartridge cases, as distinct shadows will be cast along the surround-
ing areas and surfaces, as well as in finding impressions such as fingerprints, toolmarks, or
footwear on flat surfaces. At this stage in the process, specific types of physical evidence can
require specific light sources to make them visible. The use of a forensic alternate light source
(ALS) is particularly useful in dealing with various types of DNA, trace, and fingerprint
evidence that respond to individual wavelengths or bandwidths of light in contrast with the
surfaces upon which they are located. These visual mediums of identification constitute the
least destructive presumptive tests, as they do not require the forensic evidence potentially
located on items being examined to be significantly handled, moved, or altered in any way.
 Evidence ◾ 91

Proceeding to more destructive means, the methodologies for identifying physical evi-
dence that may require further clarification or development are dependent on the specific
types of evidence being sought. Various chemical and physical methods can be employed
to locate fingerprints and footwear impressions not readily visible under existing or
directed light. Chemical presumptive tests can be performed on suspect stains visualized
with a forensic alternate light source to distinguish bodily fluids from non-evidentiary for-
eign material. In either case, the evidentiary material is now being significantly handled,
altered, and potentially contaminated.

COLLECTION
Methods of collection likewise vary with the specific type of evidence being recovered,
but, generally speaking, physical evidence is collected by collecting the whole article, sam-
pling or removing evidence from the article, and/or photographing the article in a manner
proceeding from most transient to least transient. Similar to the process of identifica-
tion, the sequence in which specific articles of physical evidence are collected is extremely
important. This sequence is determined by the investigator after careful observation of the
nature and condition of the crime scene. Physical evidence that is transient or conditional
is collected first. Transient evidence is physical evidence that is easily moved or lost due to
factors outside the control of the investigator, including weather or environmental condi-
tions. Imagine a hair strand embedded in the broken windshield of a vehicle involved in a
vehicular homicide case on a windy day or a footwear impression in the snow being filled
in by continued snowfall. Conditional evidence is physical evidence that is easily altered,
lost, or compromised in some way, due to subsequent actions taken by the investigator.
Areas and items that need to be contacted in order for the investigator to operate within
the scene should be considered and examined before action is taken. If the tiled kitchen
floor is in the investigator’s path toward the body of a murder victim, the floor should
first be examined for possible footwear impressions prior to walking on it. Trace evidence
possibly located on the bedroom floor surrounding the bed where a sexual assault was
reported to occur should be collected prior to the investigator approaching the bed to con-
duct his examination.
The idea of conditional evidence works in tandem with the generalist concept and the
investigator’s knowledge of forensic analysis. The possibility of recovering multiple types
of forensic evidence from single objects such as firearms, soda cans, and strands of duct
tape used to bind a victim is often high. Physical and chemical methods of identification
and collection prescribed for a certain type of forensic evidence may adversely affect the
evidentiary value of another type of evidence. DNA evidence, for example, can possibly be
contaminated by any number of materials contained within chemicals used in fingerprint
processing.
An introduction to the common methods for collecting major types of physical evidence
is provided below. Some pieces of physical evidence, mainly impression evidence such as
fingerprints, footwear, and tire treads, are capable of being examined and compared from
photographs. Although photographs of these items or the surfaces that contain them are
92 ◾ Cory Rodivich

routinely taken for documentary purposes, examination-quality photographs must be

taken very specifically. The camera must first be positioned in a manner 90° to the subject
matter. Exposure settings on the camera must then be adjusted to maximize the area of
acceptably sharp focus within the image, known as depth of field. This is especially critical
for three-dimensional impressions, such as those deposited in mud or other yielding mate-
rials. To meet these two standards, the use of a tripod or copy stand is essential. The subject
matter must then be composed within the frame of view so the frame is filled, with mini-
mal dead space. A rule or scale must then be inserted into the image to establish the exact
size and dimensions of the subject matter. The camera is positioned 90° to the subject mat-
ter to reduce distortion and ensure the accuracy of these measurements. In the current age
of digital photography, an additional step in the process is to adjust the resolution settings
on the camera to reduce file compression and ensure that the highest and sharpest level
of detail is presented to the examiner. The initial consideration in this process, however, is
the appropriate light source and lighting technique. As previously discussed, visualization
of certain types of evidence requires the use of a forensic alternate light source, whereas
others only require that light be directed from a certain position.

PRESERVATION
Preservation of physical evidence involves packaging and storing evidence following its
collection. The goal of evidence preservation is twofold: (1) preservation of the evidence
itself, ensuring that the item or material does not degrade or decompose, and (2) preserva-
tion of the evidentiary value of the item or material by inhibiting cross-contamination. The
preservation of evidence is accomplished by ensuring that the items are dry prior to pack-
aging, are packaged in the proper storage medium, and are stored in the proper environ-
ment following packaging. With the exception of accelerants and flammable liquids that
will evaporate if not packaged in airtight containers, the preferred storage medium for the
majority of physical evidence is paper. Paper is breathable, which allows residual moisture
to dry and inhibits the growth of molds and bacteria, which can have a detrimental effect,
particularly on biological evidence. The proper storage environment exhibits two consis-
tent characteristics, regardless of the type of evidence: the absence of direct sunlight and
consistent temperature and humidity levels. Most physical evidence can be stored appro-
priately under room-temperature conditions. Biological evidence and items bearing such
can be refrigerated; however, with the exception of whole fluid samples, this is not neces-
sary as long as the above standards are maintained.
The evidentiary value of physical evidence must be maintained by inhibiting cross-con-
tamination. Cross-contamination is directly associated with Locard’s theory of exchange
and is caused by the inappropriate handling and packaging of physical evidence, particu-
larly trace and biological evidence. By exposing one item to another, evidence from the first
is transferred to the second and vice versa. Biological evidence is especially susceptible to
this, as samples originating from different individuals can be present on the same object.
Items such as clothing and bedding articles, where different parts can be folded onto one
another and easily make contact, must be packaged accordingly to ensure the integrity of
 Evidence ◾ 93

each evidentiary sample. Remember that one of the primary goals in gathering and analyz-
ing physical evidence is to establish linkages among the victim, suspect, and crime scene.
Evidence originating from each of these factors must be packaged separately to maintain
the probative value of results generated from the comparisons of unknown samples and
known standards.
It should also be noted that cross-contamination can occur much earlier, in the collec-
tion process. Whether in the field or in a laboratory setting, evidence handled with com-
mon tools and implements and on common surfaces can certainly result in the transfer of
material between items. During the course of an investigation, it is possible that the scene
investigator could respond to multiple scenes, including the residences of both the victim
and the suspect, and encounter multiple persons, including the victim and suspect, in a
relatively short period of time. The investigator must take precautions to safeguard against
the transfer of material from one location, one item, one tool, or one person to another.
This is best accomplished by the use of disposable or single-use collection implements
when appropriate and the use of personal protective equipment, including gloves, masks,
eye protectors, shoe covers, head covers, and disposable coveralls.

FINGERPRINTS
Three types of fingerprints are encountered by investigators. Patent prints are caused by
deposits of contaminants, including blood, grease, or ink, that are visible to the naked eye.
Plastic prints are deposited in soft, pliable materials, such as clay, putty, and wax. Latent
prints, the type most commonly encountered by investigators, are created by the deposit of
bodily secretions, including water, oils, salts, and amino acids; they are not readily visible
to the eye and require some form of development.
Patent prints, depending on the contaminant material used in depositing the impression,
can potentially be further developed and enhanced. Patent prints deposited with blood are
the most common form of visible fingerprints encountered during scene investigations and
are especially valuable because, based on the linkage theory, what better piece of evidence
could be recovered than the suspect’s fingerprint made with the victim’s blood? Chemical
reagents used in processing patent prints deposited with blood are designed to react with
products present in blood (proteins and amino acids). The resulting reaction forms colors
along the friction ridges that allow for better visualization. Patent prints should be pho-
tographed at examination quality before and after chemical treatment, with the substrate
itself also being collected, if possible.
Plastic prints are three-dimensional impressions deposited in soft receiving surfaces.
Plastic prints should be photographed at examination quality; light directed from a cer-
tain position, as will be discussed with footwear and tire-tread impressions, can possibly
enhance the level of detail displayed. In these instances, photographs will most often rep-
resent the best evidence, with the substrate itself, again, being collected, if possible.
Latent prints are developed by a variety of physical and chemical means. The appro-
priate processing method for developing latent prints is dependent on two major fac-
tors: surface and time. Use of powder and brush remains the primary physical method
94 ◾ Cory Rodivich

for developing fingerprints on smooth, nonporous surfaces and on items found at crime
scenes, such as glass, plastics, and vehicle frames. Fingerprint powders exist in a variety of
forms, all designed to provide contrast with the background surface and increase visibility.
The developed impressions are collected using a variety of lifting mediums, including tape,
gelatin lifters, and silicon-based casting materials. Numerous chemical methods exist to
process both nonporous and more textured, porous items, such as paper, tape, cardboard,
and untreated wood, for latent fingerprints when both time and surface characteristics
present adverse conditions.
Chemicals that react with residual body materials are particularly useful when water,
the primary component within the bodily secretions forming the print, has either evapo-
rated over time on a smooth, nonporous surface or been absorbed into a more textured,
porous surface such as paper. Some chemical processes are useful when the suspected sur-
face displays a great deal of noise, such as overlapping colors, brand names, and logos,
which could easily obscure prints even after their development. Certain chemical solu-
tions, when viewed with filtration under a forensic alternate light source, will fluoresce,
thereby highlighting the impression itself and greatly reducing the background noise. Due
to several practicalities, including the need for specialized pieces of equipment, shelf life
of chemical mixtures, and safety of those persons involved, chemical processes are almost
exclusively conducted in a laboratory setting. Fingerprints developed via strictly chemical
means are incapable of being lifted and are collected and preserved through examination-
quality photography.

BIOLOGICAL/DNA EVIDENCE
For the crime scene investigator, anything of biological origin (originating from an indi-
vidual) is a potential source of DNA evidence. According to Locard’s theory of exchange,
anything that has come into contact with an individual is a potential source of DNA evi-
dence. Clothing and jewelry, for example, are easily identifiable and simple to collect as
evidence. The identification and collection of body materials, both visible and invisible
(e.g., fluids and skin cells), are much more intensive and technical.
Bodily fluids are the most common form of DNA evidence encountered by scene investi-
gators and analyzed by examiners. Some bodily fluids, depending on their individual nature
and the contrast of the background surface upon which the stain lies, can be readily visible
to the eye, such as blood; others, such as seminal fluid, vaginal secretions, urine, saliva,
and sweat, often require the use of forensic alternate light sources to make them apparent.
Generally speaking, forensic alternate light sources direct individual wavelengths or band-
widths of light toward a surface that are then either reflected or absorbed by that surface.
Seminal fluid stains located on a couch cushion are an entirely different type of matter than
the fibers composing the cushion; therefore, the fluid stains will reflect the wavelengths or
bandwidths of light differently than the cushion’s background, thereby distinguishing the
stain from the cushion. Because the human eye can only visualize every wavelength within
the visible spectrum of light, barrier filters placed over the eyes of the investigator and the
lens of the camera greatly assist in visualizing the resulting fluorescence.
 Evidence ◾ 95

While not every substance detected on various surfaces is a bodily fluid, chemical pre-
sumptive tests designed to react with specific enzymes, such as acid phosphatase in semi-
nal fluid and amylase in saliva, can then be employed to further indicate the presence of
bodily fluids and distinguish them from other foreign materials. Blood does not fluoresce
under a forensic alternate light source, but blood on dark-colored surfaces can be detected
at certain wavelengths due to its absorption rate contrasting with that of the background.
Most often, blood is visible at crime scenes and upon the items contained within. Various
chemical solutions are available to detect latent bloodstains, possibly resulting from a sus-
pected clean-up attempt, and to test presumptively for blood to safeguard against false
positive reactions or to distinguish blood from similar-looking substances.
There are four primary methods for collecting DNA evidence from crime scenes and
objects contained within. Easily portable articles, including clothing, jewelry, cigarette
butts, and discarded pieces of chewing gum, can simply be collected. Some DNA samples,
such as seminal fluid stains on carpet and whole urine in a toilet, can also be physically
removed or cut from the substrate. DNA samples of bodily fluids and epithelial skin cells
sloughed from hands in contact with rough or abrasive surfaces can also be sampled or
absorbed using sterile cotton or polyester swabs. Bodily fluids in dry form can also be
scraped into packaging mediums such as glassine envelopes or druggist folds using sterile,
sharp implements.
As is discussed in the following chapter, the end result of a DNA analysis is a statistic that
defines the probability of the chance duplication of a particular DNA profile within ethnic
groups—in other words, the chance of the generated DNA profile belonging to a person
other than the one represented in the submitted exemplar. The discriminatory nature and,
hence, the evidentiary value of this statistic is determined by two major factors: size and
purity. With regard to collection, the investigator should strive to recover and concentrate
as much of the sample as possible, with as little dilution or contamination of the sample as
possible. This is particularly important when articles of physical evidence can be processed
for both fingerprints and DNA, such as firearms, soda cans, latex gloves, and patent prints
deposited with blood, or when known DNA sources are being processed for unknown or
evidentiary DNA sources, including cases involving bitemarks and fingernail scrapings,
where improper or imprecise collection techniques can make the known person being pro-
cessed the major contributor in a mixture of DNA profiles.

TRACE EVIDENCE
Trace evidence includes materials and substances, such as hairs, fibers, paint, glass, and
soil, which are small in size and easily transferred from one person or object to another. The
stray head or pubic hair shed by an unknown suspect can be a valuable piece of evidence, as
hair is also a potential source of DNA. Oblique lighting and the use of a forensic alternate
light source are useful techniques for observing and locating hairs at the crime scene or
upon suspects’ or victims’ bodies and clothing. When hair strands have been located, they
can be collected using tweezers, forceps, or even sticky notes and placed into primary con-
tainers, such as druggist folds or glassine envelopes. The use of tape lifts when systematically
96 ◾ Cory Rodivich

processing distinctive areas at the crime scene, including carpeting, furniture, and vehicle
interiors, is also effective in isolating freshly deposited hair evidence. The identification and
collection of fiber evidence are accomplished in similar ways, with the assistance of a foren-
sic alternate light source and the use of the picking or tape-lifting methods.
Paint evidence is commonly associated with vehicle crashes or collisions and pry tools
utilized in forcing entry into structures and storage mediums. Intact paint chips are ide-
ally suited for examination, as they reveal layering characteristics; they can be collected
with the use of tweezers, forceps, or tape lifts and then packaged in storage mediums such
as druggist folds and glassine envelopes. Paint smears or scrapings are often the result
of objects forcibly contacting each other. If feasible, the article bearing the paint smear
should be collected as evidence. If necessary, the sample can be scraped into the packaging
medium with a sharp instrument, taking care to recover the entire sample or as much of
it as possible.
Glass fragments resulting from broken windows in burglary incidents or broken
windshields and headlamps in vehicular assaults are often transferred to the victim or
suspect and their clothing. The previously described collection methods of picking, scrap-
ing, and tape lifting are also effective with glass evidence. Due to the sharp and brittle
nature of glass, such packaging mediums as evidence tins should be selected to ensure
both safety and preservation. Large fragments of glass should be preserved intact to facili-
tate additional forensic examinations, such as fracture comparisons and direction of force
determinations.
Soil evidence is often recovered from shoes, tires, and vehicle wheel wells and under-
carriages and is associated with like forms of impression evidence. Soil samples can be
taken at certain distance intervals from the impressions or areas of contact to ensure that
representative samples from the areas involved are obtained. The previously described col-
lection methods of picking, scraping, and tape lifting are also effective for soil evidence. In
cases involving the compaction of soil on surfaces such as vehicle wheel wells and under-
carriages, efforts should be made to recover intact samples to preserve the layering and
stratification of the soil content which may be representative of particular locations.

FIREARMS EVIDENCE
Firearms and the ammunition components present within and expelled from them are vis-
ible objects; however, fired projectiles and cartridge cases ejected from specific firearms can
be difficult to locate, considering the myriad factors involved in a shooting incident that
can affect their behavior. Establishing the trajectories of fired projectiles using tools such as
trajectory rods and lasers can assist investigators in locating both projectile fragments and
spent cartridge cases by isolating the paths taken by the fired projectiles and the physical
locations of shooters within scenes. Once directed to specific locations, investigators can
then utilize techniques such as oblique lighting or tools such as metal detectors to assist
in the search. The condition and functioning properties of a firearm, such as the status of
the safety mechanism and the presence of any chambered rounds, should be noted prior
to its unloading and collection. Revolvers hold ammunition inside of individual chambers
 Evidence ◾ 97

within a rotating cylinder, and the chamber aligned with the barrel should be noted before
the cylinder is released. Firearms should never be collected by inserting a tool inside the
barrel, so as to not destroy any possible DNA or trace evidence or alter the rifling of the
barrel. Likewise, fired projectiles and spent cartridge cases should never be collected using
sharp or metal instruments, so as to not obliterate, obscure, or alter any identifiable mark-
ings used for comparison.

TOOLMARK EVIDENCE
Toolmarks commonly encountered by the investigator are made by prying, clawing, or
cutting instruments being impressed into or slid across a surface. Portable items bear-
ing toolmarks, such as metal strike plates on doorjambs and cut padlock bolts, should be
collected intact. Samples from cut wiring, such as telephone wires cut to disable security
alarms and bound copper wiring cut or stolen from electrical boxes to sell, can be cut from
the remaining wiring, being sure to include the end severed by the suspect’s tool. Prior to
packaging, the end of the wire sample cut by the investigator should be designated to alert
the examiner of which end requires his attention. Toolmarks on immovable or nonport-
able items can be recovered using silicone-based casting materials that are extruded or
smeared onto the surface bearing the markings. Once dry, the cast can then be removed
and packaged accordingly. Intact samples as described above and toolmark casts should
be packaged in such a manner to avoid abrasive contact with the markings. Similarly, care
must be taken to protect the blades, edges, or marking surfaces of recovered tools for sub-
sequent comparison.

IMPRESSION EVIDENCE
Footwear and tire-tread impressions can be deposited onto two-dimensional, unyielding
surfaces, such as glass, tile, linoleum, or wood flooring, and onto three-dimensional, soft,
yielding surfaces, such as wet soil and snow. Similar to fingerprints, footwear and tire-
tread impressions can be examined and compared using photographs. Impressions must
first be photographed at examination quality, with light directed from a specific position.
Two-dimensional impressions are best visualized with oblique lighting directed from a
position parallel to the surface. The detail and tread patterns in three-dimensional impres-
sions are best visualized by directing light from an angle above the surface to cast shadows
from the raised areas in the impression into the valleys. An addition to photographs of
lengthy tire-tread impressions is a tape measure or some form of measuring device to track
the progress of capturing the entire circumference of the tire(s).
Similar to fingerprints, two-dimensional impressions can be patent or latent and,
depending on certain factors, can be further enhanced or developed. Patent impressions
made of dirt or soil are commonly encountered by investigators in cases such as burglaries
involving forcible entry via kicking. Patent impressions deposited with blood can be fur-
ther developed with similar blood reagents. Latent impressions encountered by investiga-
tors commonly take the form of residual moisture on the soles of shoes or disturbances in
98 ◾ Cory Rodivich

dusty surfaces. Latent impressions made with residual moisture can be further developed
with fingerprint powder. Disturbances in dust, on the other hand, will simply be eradi-
cated with the use of powder and a brush.
Two-dimensional impressions can be collected in a variety of ways. Patent blood impres-
sions cannot be lifted after they have been chemically treated, thus the surface upon which
the impression lies should be collected. Patent impressions deposited with dirt or soil,
latent impressions developed with fingerprint powder, and impressions deposited on dusty
surfaces can all be collected using various lifting mediums, including fingerprint tape and
gelatin lifters. Impressions deposited on or made with dust matter can also be collected
with electrostatic lifting devices. Three-dimensional impressions deposited in wet soil,
snow, and other pliable mediums are collected by casting. Dental stone, a powdery sub-
stance used in dental laboratories when making crowns and similar items, is often the best
suited material for casting three-dimensional impressions. The recovered lifts and casts
should then be packaged in such a manner as to avoid creasing, folding, and breaking.

QUESTIONS FOR DISCUSSION

1. Define the term evidence.
2. List and describe the three general categories of evidence.
3. Discuss the linkage theory and its application to the identification of physical
evidence.
4. Define Locard’s theory of exchange and discuss the importance of the concept of
transfer to forensic investigation.
5. Discuss the generalist concept and its importance to the complete and thorough
processing of crime scenes and physical evidence.
6. Discuss the process of identifying physical evidence and the use of presumptive
tests.
7. List and describe the collection methods for three types of physical evidence.
8. Define the terms transient evidence and conditional evidence.
9. Discuss the two major factors affecting the packaging and storing of physical
evidence.

BIBLIOGRAPHY
Fish, J.T., Miller, L.S., and Braswell, M.C. (2007). Crime Scene Investigation. Newark, NJ: LexisNexis–
Anderson Publishing.
Gaensslen, R.E., Harris, H.A., and Lee, H.C. (2008). Introduction to Forensic Science and Criminalistics.
New York: McGraw-Hill.
Gardner, R.M. (2005). Practical Crime Scene Processing and Investigation. Boca Raton, FL: CRC
Press.
Lee, H.C., Palmbach, T., and Miller, M.T. (2001). Henry Lee’s Crime Scene Handbook. San Diego, CA:
Elsevier Academic Press.
Saferstein, R. (2009). Forensic Science: From the Crime Scene to the Crime Lab. Upper Saddle River,
NJ: Prentice Hall.
 Chapter 7

Role of Forensic Science

Cory Rodivich
Wichita, Kansas, Police Department

CHAPTER OBJECTIVES
After reading this chapter, you should be able to do the following:

1. Define forensic science and its use in the criminal investigative process.
2. Identify the major responsibilities of the forensic scientist.
3. Discuss the potential information generated from the forensic analysis of
physical evidence.
4. Discuss the potential results generated from the forensic analysis of physical
evidence.
5. Describe the divisions of a typical, full-service crime laboratory.
6. List specialized forensic services available to investigators.

Chapter Outline
• Forensic Science and Criminal Investigation
• Responsibilities of the Forensic Scientist
• Forensic Analysis of Physical Evidence
• Results Generated from Forensic Analysis of Physical Evidence
• Modern, Full-Service Crime Laboratories
• Specialized Forensic Science Services

FORENSIC SCIENCE AND CRIMINAL INVESTIGATION

In its broadest sense, forensic science, or criminalistics, is the application of the natural
and physical sciences, such as biology, chemistry, physics, and geology, to the law. More
specifically, “Forensic science is the application of science to the criminal and civil laws
that are enforced by police agencies in a criminal justice system” (Saferstein, 2009, p. 5)
For the purposes of this text, forensic science is explored as it relates to its contribution to
99
100 ◾ Cory Rodivich

the process of investigating crime. Forensic science encompasses myriad disciplines and
professions, each containing a specific knowledge base and skill set utilized in the process-
ing and analysis of physical evidence to produce investigative leads. The two fundamental
questions to be answered in any criminal investigation are what happened and who did
it? Many specifics must certainly be deduced to ultimately answer these questions, with
forensic science providing answers such as the identification of unknown substances, the
linkage of persons and items to crime scenes, and the reconstruction of the sequence of
events involved in a crime. It is imperative that the investigating officer be aware of the
opportunities afforded by the application of forensic analysis and techniques.
Some forensic disciplines typically associated with the modern crime laboratory, such
as drug chemistry, toxicology, and DNA analysis, are traditionally scientific, with analysis
being performed in a laboratory setting utilizing processes such as microscopy, chroma-
tography, mass spectrometry, electrophoresis, and associated pieces of equipment. Other
forensic disciplines, found both inside and outside of the modern, budgeted crime lab-
oratory, such as fingerprint examination, document examination, forensic engineering,
bloodstain pattern analysis, and shooting incident reconstruction, while very technical,
are traditionally less scientific and performed outside of the traditional laboratory setting.
They utilize alternative pieces of equipment and rely on expert interpretation and specific,
experimented principles associated with the discipline, such as the reaction of certain inks
to ultraviolet and infrared energy, the structural failure rates of steel, the visual interpreta-
tion of bloodstain patterns and actions that could cause their deposit, and bullet perfora-
tion characteristics of specific materials and substances.
Regardless of the scientific or technical nature of the practicalities involved in the appli-
cation of a forensic discipline, scientists must always be aware of their primary responsi-
bilities and discharge them methodically, reliably, and consistently.

RESPONSIBILITIES OF THE FORENSIC SCIENTIST

The role of the forensic scientist is to generate investigative leads by applying the principles
and techniques of the physical and natural sciences in the analysis of physical evidence and
to provide expert testimony regarding the results and conclusions of the analysis.

ANALYSIS OF PHYSICAL EVIDENCE

The many types of physical evidence potentially recovered during criminal investigations
were discussed in the previous chapter. The common factor shared by these various types of
evidence is revealed in their analyses. The analysis of physical evidence must be grounded
in scientific inquiry: “Science derives its integrity from the adherence to strict guidelines
that ensure the careful and systematic collection, organization and analysis of informa-
tion, a process known as the scientific method” (Saferstein, 2009, p. 25).
The scientific method is initiated by the formulation of a question requiring investi-
gation, one as general as the identity of the perpetrator of a particular crime or one as
specific as the location of the shooter in a homicide investigation. Based upon careful and
 Role of Forensic Science ◾ 101

inquisitive observation of the crime scene, for example, forensic scientists then formulate a
hypothesis or plausible explanation proposed to answer the question. Developing ways to
test the hypothesis through experimentation is the heart of the scientific method. The test-
ing process must be controlled, thorough, and generally accepted as valid by the scientific
community. Finally, when the hypothesis is validated by data generated from extensive and
continuous experimentation, it becomes suitable as scientific evidence for use in criminal
investigations and criminal court proceedings.
The inherent principles of the scientific method, specifically applied to criminal inves-
tigation, provide a safeguard by which the conclusions generated from the analysis of
physical evidence cannot be tainted by bias or human emotion or compromised by the dis-
tortion or ignorance of contradictory evidence. In the context of criminal investigations,
the scientific method distinguishes evidence from coincidence, pursues generalities to the
level of specific details, disallows hypotheses more extraordinary than the facts themselves,
allows tests to either prove or disprove alternative explanations, qualifies possible alterna-
tive results, and quantifies their degree of certainty (James and Nordby, 2005).

EXPERT WITNESS TESTIMONY

Trial courts have broad discretion in accepting individuals with expertise in a particular
subject matter as expert witnesses. The competency of these experts may be established by
educational degrees, attendance and participation in specialized training courses, mem-
bership in professional organizations, the amount and substance of professional publica-
tions, and, most importantly, the number of years of occupational experience. Generally,
prosecutors and lawyers engage expert witnesses when the facts of a case remain unclear,
the analytical procedures in their specific field assisted in generating investigative leads
or in clarifying the facts of the case, or specialized training can further educate the trier
of fact, thereby helping the judge or jury make more informed decisions as to the guilt
or innocence of the accused (James and Nordby, 2005). In their role as expert witnesses,
forensic scientists provide testimony that establishes the validity of the science or investi-
gative technique itself, explains the methodology employed to conduct the analysis, and
reveals the results generated from the analysis and how those results impact the case pre-
sented before the court. In accordance with the scientific method, expert witnesses cannot
render any opinion or conclusion with absolute certainty. At best, they may only be able
to render an opinion based on a reasonable, generally accepted scientific certainty derived
from training, experience and experimentation (Saferstein, 2009). In an adversarial system
of justice, forensic scientists should not be advocates for either the prosecution or defense,
but only advocates of the truth.

FORENSIC ANALYSIS OF PHYSICAL EVIDENCE

As discussed in the previous chapter, the objective of any crime scene investigation is to
identify, collect, and preserve all physical evidence relevant to a particular case. The foren-
sic scientist analyzes articles of physical evidence in an attempt to provide the investigator
102 ◾ Cory Rodivich

with information that may assist in solving the case. Exploring the types of information
that can be generated from the analysis of physical evidence helps to clarify its value to
criminal investigations.

CORPUS DELICTI
Corpus delicti is a Latin term referring to the body or elements of a crime. These elements
are provisions articulated in local ordinances and state and federal statutes that the prose-
cutor is obligated to prove beyond a reasonable doubt to secure a conviction of the accused
based on the charges filed. In a case involving illegal drug possession, for example, the
green botanical substance recovered from the suspect’s pockets must be established as con-
taining Cannabis (marijuana). In a case involving the accused being suspected of driving
a vehicle under the influence of alcohol, the prosecutor must demonstrate that the defen-
dant’s blood-alcohol content was above the legally allowed limit. In the case of an alleged
sexual assault, the identification of seminal fluid on vaginal swabs obtained from the vic-
tim establishes the crucial element of penetration.

MODUS OPERANDI
Modus operandi is a Latin term for “method of operation.” As criminals reoffend, they
often repeat behaviors, which become known as their preferred method of operation. Some
burglars, for example, will use the same tools and techniques to gain entry into structures
each time. The examination of toolmark impressions recovered from entry doors pried
open or footwear impressions recovered from the ground below forced window units could
yield similarities that allow investigators to attribute several cases involved in a burglary
trend to the same suspect.

IDENTIFICATION OF UNKNOWN SUBSTANCES OR MATERIALS

In some cases, the scientific analysis of physical evidence can identify an unknown sub-
stance or material, such as chemical accelerants used in arson or bombing incidents,
bacteria (e.g., anthrax) used in terrorist or biological warfare incidents, or toxins in the
bloodstream of a suspected poisoning victim.

IDENTIFICATION OF PERSONS
The reliable and accurate identification of persons involved in criminal investigations is
absolutely critical to the operation of a criminal justice system. Fingerprints and biological
or DNA evidence are inherently valuable because they can be used to identify people, be
they suspect, victim, or witness. The ability to identify decomposed or skeletonized human
remains is invaluable in cases of individual death or mass disaster incidents.
 Role of Forensic Science ◾ 103

ESTABLISHMENT OF LINKAGES OR EXCLUSIONS

As described in the previous chapter, Locard’s theory of exchange and the linkage theory
are the founding principles of forensic investigations. Linking victims, suspects, objects,
and crime scenes is the quintessential, most versatile, and most important goal of the sci-
entific analysis of physical evidence. A bullet recovered from the body of a homicide victim
and cartridge cases recovered from the crime scene can be matched to a specific firearm on
which the suspect’s fingerprints and DNA were found. Similarly, exclusions can prove dis-
associations among victims, suspects, objects, and crime scenes. Also valuable, exclusions
can help guide an investigation by eliminating potential suspects or weapons and focusing
investigators on the proper course of action.

PROVIDE INVESTIGATIVE LEADS

Physical evidence can provide direct information to an investigator; however, not every
piece of physical evidence recovered during an investigation will be linked to a victim or
suspect. As we will discuss, not every category or article of physical evidence is capable of
being individualized, that is attributed to a single source; however, associations to a par-
ticular group of people (DNA evidence isolated to a particular blood type) or a particular
type of object (caliber of firearm) may still be established, thereby further targeting the
investigation. Recently, national databases have been developed that have made forensic
science more helpful during the investigative phase, particularly in cases with no reliable
witnesses or useful testimonial evidence. Databases developed for fingerprint, DNA, and
firearms evidence, for example, can assist investigators in linking evidence to a known
person or firearm or in connecting unsolved cases with similar physical evidence.

SUPPORT OR DISPROVE STATEMENTS

OF VICTIMS, SUSPECTS, OR WITNESSES
With credibility being a constant concern regarding the testimony of those involved in
criminal investigations, physical evidence and its analysis can play a vital role as an objec-
tive standard against which statements can be evaluated. The presence or absence of certain
pieces of physical evidence and the conclusions drawn from such, including bloodstain
patterns, gunshot residue, and bullet trajectories, can either support or rebut the state-
ments of victims, suspects, or witnesses.

RESULTS GENERATED FROM FORENSIC

ANALYSIS OF PHYSICAL EVIDENCE
The forensic analysis of physical evidence, regardless of the type or the discipline required,
involves the application of a common principle: the comparison of a known standard
(exemplar) against an unknown (forensic) sample collected from a crime scene, which as
discussed in the previous chapter is not limited to an actual physical location. Fingerprints
104 ◾ Cory Rodivich

recovered from the interior of a stolen vehicle can be compared to the known fingerprints
of a suspect obtained while the suspect was being booked for a previous crime. Seminal
fluid recovered from the victim of a sexual assault during the forensic nurse’s examination
can be compared to the known DNA standard of the suspect. The composition of a green
botanical substance discovered in the pocket of a suspect during an officer’s routine pat
down can be compared to the known chemical composition of marijuana.

CLASS/FAMILY CHARACTERISTICS
The first step in the analysis of physical evidence is classification. Whatever the item being
examined, it must first be classified within a family or group of similar items; that is, it must
be identified. Shoes, for example, are manufactured in a variety of styles, sizes, shapes, and
colors. We can recognize their differing appearances while still identifying and classifying
them as shoes. A group can be very broad (e.g., a white, cotton fiber), or a group can be
somewhat specific (e.g., a footwear impression revealing the brand, size, and tread pattern
of a shoe). An article of physical evidence that, upon examination, yields a level of detail
that allows the item to be classified within a group of similar items (or people) is said to
exhibit class or family characteristics.

INDIVIDUAL CHARACTERISTICS
The second step in the analysis of physical evidence is individualization, the attempt to
narrow the classification until only one item remains in the class. “In forensic science, indi-
vidualization can mean either of two things: (1) that in some way, by examining the vari-
ous characteristics of something, it can be recognized as unique—one of a kind—among
members of its class; or (2) that when a questioned or unknown object or item is compared
with a known or exemplar item, they are found to have a common origin” (Gaensslen et al.,
2008, p. 26). An article of physical evidence that, upon examination, yields a level of detail
that allows the item (or person) to be individualized from all other members of the class or
group of similar items (or people) is said to exhibit individual characteristics. It is impor-
tant to realize that only certain types of physical evidence, including pattern evidence such
as fingerprints, firearms/toolmarks, footwear impressions, tire-tread impressions, bite
marks, and fracture comparisons, because of the level of detail potentially exhibited, are
commonly able to be individualized.
Recent advances in DNA technology have ushered some biological evidence and DNA
profiling into this group as well. Chemical and materials evidence, such as paint, soil,
metallic residues, drugs, and fibers, cannot be strictly individualized. It is possible, how-
ever, that these types of items and other trace/transfer evidence can be associated to such
a small class that in some incidents where the number and types of items, weapons, par-
ticipants, and/or vehicles, for instance, can be limited in scope the classification itself can
provide strong investigative leads.
 Role of Forensic Science ◾ 105

INCLUSIONS
When the classification of an article of physical evidence can be narrowed, but not to the
point of individualization or exclusivity, the finding is known as an inclusion. In other words,
the questioned item could match the known. The questioned item cannot be excluded as
having come from the known. The questioned item is consistent with the known. A sample
of glass recovered from a burglary suspect’s clothing or a sample of paint collected from the
suspect’s vehicle in a hit-and-run can be compared to known samples collected from the
glass remaining within the window frame of the suspect’s point of entry and paint exem-
plars collected from the victim’s vehicle. The glass samples can be shown to share common
chemical compositions and optical properties, and the paint samples can be shown to share
color and layer structure. The question facing the forensic scientist is how to interpret these
findings. The glass and paint have been placed into small classes, with many different glass
and paint sources being excluded, but it remains unknown and impossible to evaluate how
many sources exist other than the glass panel at the burglary scene and the paint covering
the victim’s vehicle (Gaensslen et al., 2008). Often, an inclusion is the best possible result
generated from the analysis of certain types of physical evidence.

EXCLUSIONS
The opposite end of the spectrum regarding the comparison of unknown samples and
known exemplars is the exclusion. Contrary to inclusions, exclusions are absolute. If differ-
ences exist in the class or individual characteristics between unknown samples and known
exemplars, the known standard is excluded as a potential source of the questioned sample.
Similar to inclusions, however, exclusions still provide investigative leads by redirecting
or targeting an investigation through the elimination of potential suspects, weapons, etc.
As Sir Arthur Conan Doyle stated, through his immortal character and forensic pioneer,
Sherlock Holmes, in the novel The Sign of the Four, “When you have eliminated the impos-
sible, whatever remains, however improbable, must be the truth.”

MODERN, FULL-SERVICE CRIME LABORATORIES

Forensic laboratories can differ greatly in their capabilities, depending on funding, equip-
ment and staffing levels. The divisions, units, or areas of emphasis within the modern,
full-service crime laboratory are representative of the major types of physical evidence
recovered during criminal investigations.

FINGERPRINTS SECTION
The examination of fingerprints has been an integral part of policing and forensic science for
well over 100 years. The principal reason for this is that fingerprints constitute a unique and
permanent means of personal identification. Fingerprint analysts have formulated three basic
106 ◾ Cory Rodivich

principles that encompass these ideas of the uniqueness and stability of fingerprint identifi-
cation: “A fingerprint is an individual characteristic. No two fingers have yet been found to
possess identical ridge characteristics” (Saferstein, 2009, p. 168). The fingers and palms of the
hands of humans have friction ridge skin, composed of complex patterns of hills (ridges) and
valleys (furrows) designed for gripping. Similar friction ridge skin can also be found on the
soles of the feet. Within a fingerprint pattern are a number of features known as ridge char-
acteristics or minutiae. Fingerprint ridges form the minutiae in three primary ways: by end-
ing abruptly (forming a ridge ending), by splitting into two ridges (forming a bifurcation),
and by being short (forming a dot). The minutiae can then combine to form additional pat-
terns, such as two bifurcations facing each other, forming an island or enclosure (Gaensslen
et al., 2008). The individuality of a fingerprint is determined by a careful examination of the
identity, number, and relative location of these ridge characteristics, meaning that, if two
fingerprint impressions are to match, they must reveal characteristics that are identical and
have the same relative location to one another. The accuracy of fingerprint identification has
been verified by the millions of individuals who have had their fingerprints classified during
the last 110 years, including the nearly 50 million fingerprint records in the Federal Bureau of
Investigation (FBI) database. An identical impression shared by two different people, includ-
ing identical twins, who share an identical genetic makeup, has yet to be discovered.
A fingerprint does not change during an individual’s lifetime (Saferstein, 2009). The
skin is composed of layers of cells, with those nearest the surface making up the outer
layer of skin, known as the epidermis, and those making up the inner layer of skin, known
as the dermis. The shape of a boundary of cells, known as dermal papillae, separating the
epidermis and dermis, determines the pattern of the ridges on the surface of the skin. Once
these dermal papillae form during embryonic development, the ridge patterns and char-
acteristics remain unchanged throughout life, except to enlarge during growth phases.
Attempts to obliterate or obscure one’s fingerprints will prove futile, as it is impossible to
obliterate all of the ridge characteristics on the hand and the presence of permanent scars
only provides new characteristics for identification.
The general ridge patterns of fingerprints allow them to be systematically classified
(Saferstein, 2009). All fingerprints are divided into three classes on the basis of their gen-
eral pattern, which then form the basis for all ten-finger classification systems currently in
use: loops, whorls, and arches. Each pattern has its own general characteristics, which can
be further subdivided into distinct groups. The original classification system, developed
by Sir Edward Henry in the late 19th century, converted ridge patterns on all ten fingers
into a series of letters and numbers arranged in the form of fractions. In the United States,
due to the limited capacity of the original Henry system and the ever-increasing number
of fingerprints on file, the FBI expanded its classification capacity by modifying the Henry
system and adding additional extensions (Saferstein, 2009). This system is used by most
law enforcement agencies in the United States today. A fingerprint classification system in
and of itself cannot be used to identify an individual; it simply provides the examiner with
an organized system of class characteristics from which a list of candidates can be gener-
ated. The identification must always be made and verified by a final, visual comparison of
the questioned print’s and the file print’s minutiae.
 Role of Forensic Science ◾ 107

Ten-print card files, however, provide little assistance in cold searches for a single fin-
gerprint when the name of a suspect has not been generated in a specific case. The develop-
ment of computerized fingerprint search systems, or Automated Fingerprint Identification
Systems (AFISs), revolutionized the field by enabling timely and efficient cold searches,
considering that single prints or partials of single prints are generally recovered from crime
scenes or evidence. AFIS technology enables a computer to scan and digitally encode fin-
gerprint minutiae so they can be subject to high-speed processing and searches: “The com-
puter’s search algorithm determines the degree of correlation between the location and
relationship of the minutiae for both the search and file prints” (Saferstein, 2009, p. 175).
During the search for a match, in databases containing both the fingerprints of known
offenders and previously unmatched fingerprints recovered from crime scenes or evidence,
the computer uses a scoring system that produces a list of known prints that most closely
correlate to the minutiae identified on the questioned print input into the system by the
examiner. All of the prints selected by the AFIS system are then visually compared against
the questioned print by the examiner, who makes the final verification of the fingerprint’s
identity. AFIS searches can range in scope from local city, county, and state databases to,
since 1999, a nationwide database, the Integrated Automated Fingerprint Identification
System (IAFIS), which links state AFIS computers with the FBI database containing nearly
50 million fingerprint records.

BIOLOGY/DNA SECTION
Forensic science was again revolutionized throughout the 20th century with early advances
in the analysis of blood and physiological fluid evidence and the advent of modern DNA
(deoxyribonucleic acid) typing. Until the 1980s, when DNA typing was developed, foren-
sic biologists relied on what is now referred to as classical or conventional genetic mark-
ers to try to individualize blood and bodily fluid evidence. The first major category of
conventional genetic markers was blood groups. The first blood group, the ABO system,
was discovered in 1901 and used extensively during the 20th century, prior to modern
DNA typing. Other genetic markers, including isoenzymes, plasma proteins, and hemo-
globin variants, followed suit. The analysis of biological evidence, in its conventional form,
yielded typing matches between an evidence sample and a known person, representative
of inclusions, indicating that the person could be the source of the deposited evidentiary
sample. Modern DNA typing has made considerable strides toward the individualization
of biological evidence.
Genetics is the study and science of inheritance, how parents pass their traits and char-
acteristics to their offspring. By the 1940s, it was clear to scientists that DNA is the genetic
material, the chemical blueprint, of life itself. DNA in humans is found in all cells that con-
tain a nucleus, except red blood cells. As cells divide and differentiate to form the millions
of cells that make up different organs and tissues, DNA is replicated; thus, each cell contains
an identical copy of the person’s DNA, known as the genome. Because most body cells have
a copy of that person’s DNA, almost any fluid, tissue, or organ can be used for DNA typ-
ing. And, because people, whether victims or suspects, are involved in the commission of
108 ◾ Cory Rodivich

crime, DNA evidence can possibly be recovered on any type of case. The bodily fluids that
are most commonly encountered in forensic laboratories are blood, semen, vaginal secre-
tions, saliva, and urine (Gaensslen et al., 2008). DNA typing technology is now sufficiently
sensitive that the possibility of generating a profile from seemingly very small articles of
biological evidence has greatly improved: “Bits of fingernail, dandruff flakes, the skin cell
residues on cigarette butts or filter tips and shed cheek cells from the dried saliva sur-
rounding bite marks have all been successfully DNA profiled in recent years” (Gaensslen
et al., 2008, pp. 224–225).
The analysis of physical evidence bearing potential DNA material, the source of which
can be specified based on the unique facts of a case, consists of several steps, including
preliminary or presumptive screening to detect the possible presence of bodily fluids, con-
firmatory testing to prove that the material being tested for is actually present, species
determination to further specify the probative value of the material (particularly useful in
cases designed to enforce wildlife regulations and bloodshed incidents where the possibil-
ity of encountering animal blood is high), isolation of the actual DNA material from the
known and questioned samples, analysis of specific regions or loci on the DNA strand so a
DNA profile can be generated, and comparison of the profiles generated from both samples
to determine whether the known individual is not the source of the questioned sample or
can be included as a possible contributor to the questioned sample.
Each molecule of DNA consists of a long, spiral structure, the double helix, which has
been likened to a twisted ladder. The “handrails” of the ladder string together the ladder
“rungs.” Each rung consists of two (2) of four (4) varieties of nucleic acids, which are then
combined in pairs. The sequencing of these base pairs constitutes the genetic coding of
DNA. The human genome consists of approximately 3 billion base pairs, about 3 million
of which vary from person to person. Person-to-person differences within a particular seg-
ment of a DNA sequence are known as alleles. DNA typing focuses on identifying and iso-
lating specific fragments of these alleles. Identical fragments appearing on both the known
and questioned samples are considered to represent a match. To determine the likelihood
of this match being mere coincidence, the particular combination of alleles is compared
to the frequency with which it statistically appears in a given population (Lushbaugh and
Weston, 2009).
The study of population genetics examines how often alleles at specific genetic loci occur
in a population. Modern DNA technology and analysis have led forensic scientists to uti-
lize DNA typing kits that examine multiple genetic loci, which provide a very high level
of individualization. By examining multiple loci where variation occurs, a DNA profile
can be produced. When comparing questioned and known DNA profiles, a difference of a
single allele can exclude the known individual as the donor of the questioned sample. The
more loci that exhibit the same allele pattern, the stronger and more statistically significant
the evidence becomes that both samples originate from the same individual (Lushbaugh
and Weston, 2009). As Gaensslen et al. (2008, p. 256) noted, “The level of individuality
produced by DNA typing depends on the population genetics of the loci and the types that
are chosen for the overall DNA profiling.”
 Role of Forensic Science ◾ 109

Following inclusion of the known individual in the questioned or evidence profile, sta-
tistical calculations are performed to estimate the probability of the chance duplication of
the DNA profile in the population. For many complete DNA profiles, this probability is
extremely low; however, although the resulting figures can be astronomical, such as 1 in
100 billion, they still remain only probabilities. They do not mean that there cannot be
another person with the same profile. An additional factor to realize is that there are differ-
ent estimates of the probability of chance duplication according to racial or ethnic group:
“Because the frequencies of types within loci can and do vary in different populations, the
different estimates for each of them are commonly given by the analyst so as not to mislead
the courts” (Gaensslen et al., 2008, p. 258). Most DNA laboratories, based on the avail-
able data, can compute these probabilities for Caucasian, African American, and Hispanic
populations. It is important to understand that in a forensic case the race or ethnic group
of the depositor is not known with certainty; even in a DNA-match case with very low
probabilities of chance duplication, there is still a small chance that another person shares
the same profile (Gaensslen et al., 2008).
DNA analysis, as discussed thus far in the field of forensic science, commonly refers
to nuclear DNA analysis. Additional structures contained in the cell, at a rate of hun-
dreds to thousands, are mitochondria, which are responsible for making energy for the
cell to function. Mitochondria contain a small quantity of their own DNA, consisting of
about 16,000 base pairs, making it roughly 10,000 times smaller in size than nuclear DNA.
Another feature is that mitochondrial DNA is strictly inherited maternally. The stability of
the mitochondrial DNA sequence allows it to be traced through the maternal lineage for
many generations. This quality has implications for the use of mitochondrial DNA typing
in cases involving the identification of human remains. Mitochondrial DNA typing has
also proven useful in the analysis of old, degraded, decomposed, or potentially skeleton-
ized samples, where nuclear material is either present in only very small quantities or no
longer available (Gaensslen et al., 2008).
Similar to fingerprints, DNA evidence is represented by a system of classification. DNA
profiles are written as a series of numbers. Modern computer technology has allowed DNA
profiles to be stored in searchable files. CODIS (Combined DNA Index System) is a com-
puter software program developed by the FBI that maintains local, state, and national data-
bases of DNA profiles generated from the known standards of convicted offenders and,
depending on individual state legislation, arrestees (referred to as the offender database),
unsolved crime scene evidence (referred to as the forensic database), and the known stan-
dards of missing persons. Similar to AFIS, CODIS allows analysts to cold search ques-
tioned samples for no-suspect cases and compare both offender and forensic samples on
cases believed to be linked to the same suspect (Saferstein, 2009).

FIREARMS AND TOOLMARKS SECTION

Examinations of firearms evidence and toolmarks are explicably linked, as they require the
application of common principles, skills, and equipment.
110 ◾ Cory Rodivich

Toolmarks
A toolmark can be defined as a pattern resulting from a harder marking device, or tool, being
forced against a softer object (Gaensslen et al., 2008). Toolmarks commonly encountered by
forensic examiners are created by screwdrivers, pry bars, snips, wire and bolt cutters, claw-
ing instruments, and various other tools, most often used for forced entry into, for example,
a dwelling, business, storage unit, or storage medium. Toolmarks can be classified into two
main types: impressions and striations. Impressions occur when a tool is forced or pushed
into a surface. Striations result when a tool slides or is moved across a surface, depositing a
pattern of scratches (stria) caused by tiny defects along the face, blade, or edge of the tool.
Toolmarks can be recovered as a combination of the two, as in the case of a flat-head screw-
driver being used to pry open a residential entry door. Striations caused by the blade of the
screwdriver could be deposited on metal strike plates lining the doorjamb, while impressions
caused by the round shaft of the screwdriver could be deposited in the wood door itself.
Toolmarks can exhibit either class or individual characteristics, sometimes both.
Impressions most often exhibit class characteristics, as the basic size and shape of the tool
is depressed into a surface. Single-bladed tools, such as pry bars and flat-head screwdrivers,
can easily be distinguished from double-bladed tools, such as the claw end of a hammer or a
nail-puller on the end of some pry tools. Individual characteristics are usually exhibited by
large distributions of striations deposited on metal surfaces. Softer materials, such as wood,
can yield or splinter, reducing contact with the blade of the tool. Cutting instruments used
to cut through wire or a padlock hasp can deposit impressions that can be classified as sin-
gle-edged or double-edged and also leave visible striation patterns, depending on the nature
and size of the surface being cut (e.g., telephone wire vs. bound copper wiring). Impressions
can potentially exhibit granular-type individual detail, depending on the condition of the
tool itself and the elasticity of the surface or material being marked.
A major issue facing toolmark examination is the difficulty in accurately reproducing
the toolmark recovered from the crime scene. Because the toolmark is made by imperfec-
tions on the blade, edge, or marking surface of the tool, the marks left by the tool slid-
ing across or being impressed into a surface at a particular angle may differ from marks
produced when the tool is held at a different angle. The examiner must obtain a series of
exemplars, applying the suspect tool at various angles and pressures, to most accurately
reproduce the evidentiary sample. The primary concern, however, for investigating officers
is locating the suspect tool in a timely manner. The longer the interim between the tool-
mark’s deposit and the toolmark examination, the greater the chance that the defects and
imperfections on the tool’s marking surface have been altered by continued use.

Firearms
“A firearm is a device that, using the rapid combustion of an energetic chemical, is designed
to accelerate a projectile to a high velocity while directing it toward a target” (Gaensslen et
al., 2008, p. 182). In order to understand the principles and practices involved in the exami-
nation of firearms evidence, an introduction to the construction and function of firearms
and ammunition is warranted.
 Role of Forensic Science ◾ 111

A cartridge, or live round, consists of four basic components. The cartridge case is the
container of the unit, holding the other three components together; in handguns and rifles,
the cartridge case is a cylindrical piece of brass or nickel-plated brass. The cartridge case is
filled with a propellant (smokeless powder), which can take many shapes, including small
disks, tubes, or balls. The projectile, or bullet, usually constructed of lead or copper-coated
lead, is put into the cartridge case, which is then squeezed around the bullet in order to
make a tight seal. The final component is the primer, which takes the shape of a soft, metal
cup built into the cartridge case at the end opposite the bullet. The primer contains a small
hole, known as the flash hole, in contact with the propellant. A shotshell, or live round fired
through a shotgun, shares similar components, with the main difference being that shot-
shells usually contain multiple projectiles, or pellets, rather than a single bullet (Gaensslen
et al., 2008).
When a cartridge is loaded into the firing chamber and the trigger is pulled, the fir-
ing pin strikes the primer, causing shock-sensitive material within the primer to ignite.
A spark is then transferred through the flash hole to the propellant. The burning powder
exudes heat and creates gases that develop high pressure inside the cartridge case. Because
the bullet is sealed into the cartridge case, this pressure builds rapidly until finally the bul-
let is forced from the case and propelled down the firearm’s barrel at high velocity. This
process, regardless of the size of the ammunition and the firing action of the firearm itself,
remains consistent among firearms. Differences between firearms primarily occur before
and after the firing process—that is, how the cartridge enters the firing chamber and how
the cartridge case is disposed of.
The majority of handguns can be classified into two distinct groups: revolvers and
semiautomatic pistols. Revolvers have cylinders comprised of a number of individual
chambers, each holding a single cartridge. With each successive pull of the trigger, the
cylinder rotates so a new cartridge is placed into the firing chamber and aligned with the
barrel. The fired cartridge cases remain in the cylinder until manually removed. In semi-
automatic pistols, cartridges are contained in magazines that fit into the grip of the pistol.
With each successive trigger pull, the spent cartridge case is mechanically extracted and
ejected from the firing chamber; a new cartridge is then fed into the chamber from the
magazine.
Long guns, or firearms with long barrels designed to be fired from the shoulder, can be
classified into two major groups, rifles and shotguns. Many subclassifications exist within
these two groups, based on their firing actions. The majority of rifles contain magazines,
which feed new cartridges into the firing chamber. The fired cartridge cases can be mechan-
ically extracted and ejected, as in the case of semiautomatic rifles, or manually extracted
and ejected, as in the case of bolt-action and lever-action rifles, although the ejection of
cartridge cases from rifles is not strictly manual. Although the shooter must manually
retract and replace a bolt or lever during the entire process, mechanisms within the fire-
arm actually make contact with the cartridge case during the ejection process. Similarly,
shotguns can contain magazines, often tubular in shape and located below the barrel. The
fired shotshell cases are either mechanically extracted and ejected, as in the case of semi-
automatic shotguns, or manually extracted and ejected (similar to bolt-action and lever-
112 ◾ Cory Rodivich

action rifles), as in the case of pump-action shotguns. Similar to revolvers, shotshells can
be manually loaded and fired, and shotshell cases can be manually removed, as in the case
of single- or double-barrel break action shotguns.
As the process implies, cartridge cases and shotshell cases fired in mechanically extract-
ing and ejecting firearms have the potential to yield more detail of forensic value because,
like toolmark impressions, mechanisms within the firearm make more contact, like a pry
tool on a metal strike plate, with the cartridge or shotshell case, producing additional
marks of interest. The firing pin strikes the primer, producing toolmark #1. The expand-
ing gases within the firing chamber, which produce the force that propels the bullet down
the barrel, then force the cartridge or shotshell case backward in the firing chamber. The
cartridge or shotshell case then strikes the breechface, the surface at the rear of the firing
chamber, producing toolmark #2. Firing pins and breechfaces are machined parts, uni-
versal to firearms regardless of size or firing action. Quality firearms are manufactured by
machining and metal-working blocks of hard steel (Gaensslen et al., 2008). These processes
leave fine stria on the exposed surfaces of the firing pin and breechface, which can then be
transferred or impressed into the primer and base of the cartridge case. In mechanically
extracting and ejecting firearms, there exists the potential for two more points of compari-
son. Following the cartridge or shotshell case striking the breechface, the extractor mecha-
nism latches onto the rimmed edge of the cartridge case, producing toolmark #3, and the
ejector mechanism then strikes the rim of the cartridge case when discharging it from the
firing chamber, producing toolmark #4.
Similar to the machined parts responsible for propelling a bullet from a cartridge case,
the barrel of the firearm itself is tooled for a specific purpose. In handguns and rifles, the
barrel is composed of a series of spiraling grooves known as rifling. Rifling is imparted to
a barrel by devices containing a series of sharp raised areas (teeth) circling a central shaft.
The grooves are cut by pulling or pushing this shaft through the steel barrel and turning
it simultaneously. The raised areas in the barrel between the grooves are called lands. The
desired result is the bullet emerging from the barrel in a rapid spin, following the helical
path of the lands and grooves, in order to improve accuracy (Gaensslen et al., 2008). The
machining process, again, leaves fine stria on the interior surface of the barrel, which can
then be imparted to the bullet as it travels. Shotgun barrels, considering the plastic body
of shotshells and the presence of multiple projectiles or pellets, are typically smooth and
not rifled.
The examination of firearms and firearms evidence consists of three main phases. The
first step in the process is testing the firearm for functionality—in other words, determin-
ing whether the firearm is capable of being fired and whether its safety features are func-
tional. During this process, the firearm is also test fired to obtain exemplars of cartridge or
shotshell cases and bullets to compare against evidence samples. The second step in the pro-
cess is classification, comparing the class characteristics of the exemplars and the evidence
samples. Basic class characteristics include caliber (determined by the inside diameter of
the barrel), shape of the firing pin impression, number and width of the lands and grooves,
and the direction of spin (right or left) imparted on the bullet. The final step in the process
is individualization. If the exemplar and evidence sample share class characteristics, the
 Role of Forensic Science ◾ 113

examiner will then attempt to individualize the evidence sample to the exemplar (and
hence the firearm) by comparing the striation patterns present on the cartridge or shotshell
case and the bullet. Of considerable benefit to forensic examination, toolmarks imparted
on firearms evidence by the internal mechanisms involved in a firearm’s firing and func-
tion are highly reproducible. Unlike the defects and imperfections located on the blades of
pry tools and cutting instruments, firearms and the surface characteristics discussed above
will not typically change drastically over time with continued use.
Similar to fingerprint and DNA evidence, firearms examinations are now aided by the
use of computerized databases that allow for cold searching, particularly in cases where the
suspect firearm has not been recovered. The FBI maintains a central, computerized General
Rifling Characteristic (GRC) file, consisting of the class description of thousands of fire-
arms, based on the rifling characteristics imparted to fired bullets. Most of the forensic
laboratories in the United States and many abroad contribute data to this file as examiners
encounter firearms not already listed. Firearms examiners can enter the caliber, number
of lands and grooves, width of the lands and groves, and direction of rotation noted on
an evidence bullet and perform a rapid computer search for known firearms that share
similar class characteristics. Maintained by the Bureau of Alcohol, Tobacco, Firearms,
and Explosives, the National Integrated Ballistics Information Network (NIBIN) contains
images of bullets and cartridge cases recovered from crime scenes and those test fired from
recovered firearms submitted for examination. NIBIN allows these images of bullets and
cartridge cases to be searched and possibly associated with the same firearm, even if the
firearm has yet to be recovered, thereby establishing linkages between cases, potentially
across jurisdictional lines.

Fracture Comparisons
Because similar principles, skills, and equipment are required, firearms and toolmark
examiners can also be called upon to conduct fracture comparisons or physical matches.
Fracture comparisons are performed in an attempt to match randomly fractured or broken
pieces of a solid material or object to show that the broken pieces were originally part of the
same object (Gaensslen et al., 2008). Materials commonly encountered in such compari-
sons include glass, plastic, and metal. Vehicular assault or hit-and-run scenes, for instance,
may contain broken pieces of head lamp lenses or license plate frames. A broken fragment
of a knife blade may be present inside the scene of a stabbing incident or still inside the vic-
tim’s wound. If the suspect vehicle or remaining knife blade can be located prior to repair
or disposal, the edges of both objects, much like a jigsaw puzzle, can be fitted together and
realigned, thus linking the objects to the victim, suspect, and crime scene.

Serial Number Restoration

Another important duty assigned to the firearms examiner is serial number restoration.
Firearms manufactured by legitimate sources are serialized for identification purposes.
A unique serial number is mechanically imparted into the metal frame of a firearm to
identify that particular firearm. Suspects who obtain a firearm illegally or use a regis-
tered firearm in the commission of a crime can attempt to obscure or eradicate the serial
114 ◾ Cory Rodivich

number through a variety of methods to preclude tracking the firearm from manufacturer
to seller to owner. The pressure applied as the number is imparted into the firearm is such
that it deforms the crystal structure of the metal to a depth below the actual indentations
forming the number. When the crystal structure of the metal is strained or deformed, the
metal is more susceptible to attack by chemicals (Gaensslen et al., 2008). The examiner
first smoothes out the area where the number was originally stamped, removes any dirt or
oil, and polishes the surface to a mirror-like finish. The examiner then carefully applies a
strongly acidic or basic (depending on the material being processed) etching solution. The
etching solution dissolves the deformed or strained metal at a faster rate than the unaltered
metal, revealing the pattern of the original numbers. If the suspect doing the defacing did
not go deep enough to eliminate the entire area of strain, then this process often can be
repeated until the entire original serial number is restored.

IMPRESSION EVIDENCE SECTION

The examination of other forms of impression evidence, including footwear and tire-tread
impressions, can also be conducted in this area, depending on the size of the laboratory
and amount of these particular types of evidence being submitted, as such examinations
involve similar processes of pattern recognition and matching. The skill of an experienced
examiner in these areas, however, cannot be underestimated, as footwear and tire-tread
examination requires a specific terminology and knowledge base.
Footwear and tire-tread impressions can be divided into two main types: two-dimen-
sional and three-dimensional. Two-dimensional impressions are deposited on unyield-
ing surfaces, such as tile, linoleum, concrete, or wood flooring, and can also be made on
paper, plastics, carpet, or clothing. Three-dimensional impressions are those that remain
after a surface has been deformed. This type of impression is predominantly deposited on
exterior surfaces, such as soil, sand, or snow, but can also include impressions made in
other soft, yielding materials. Although all impressions are potentially identifiable, three-
dimensional impressions generally retain more specific details and characteristics (James
and Nordby, 2005).
The same process of classification and individualization remains in effect. Footwear
impressions, made from any shoe, sandal, or slipper, can be classified according to physical
size and shape, tread pattern design, and position and degree of wear. Tire-tread impres-
sions can be classified according to tread dimension (referring to the specific physical tire
tread size), tread pattern design, wear features resulting from the erosion of rubber from
frictional forces, and noise treatment (referring to the variance of the pitch, or size, of the
tread design elements as they are arranged around the entire circumference of the tire).
Classification of these impressions could result in determining the brand, size, make, or
model of the shoe or tire depositing the impression. Individualization of these impressions
results from identifying and matching such characteristics as cuts, scratches, gouges, tears,
and other physical damage randomly added to or removed from the surface of the shoe
sole or tire during use (James and Nordby, 2005).
 Role of Forensic Science ◾ 115

TRACE EVIDENCE SECTION

Trace evidence is simply physical evidence that is small in size. From a legal perspective,
including the term trace evidence on a search warrant expands the scope of the search to
anywhere and anything. In a forensic laboratory setting, trace evidence examinations usu-
ally involve the use of microscopes or other instrumentation or chemical means to classify
the origin of, for example, hair, fibers, paint, glass, soil, and ignitable liquid residues.

Hair
An examination of the morphology or structural characteristics of hair, including color,
length, diameter, scale structure, and medullary index, can potentially determine whether
the hair is human or animal in origin, the body area from which the hair originated, the
racial origin of the depositor (especially true for Caucasian or African American head
hair), and whether the hair was forcibly removed from the body of the depositor (Saferstein,
2009). Trace analysis of hair, similar to other materials, cannot, in and of itself, yield indi-
vidual characteristics. Because hair is of biological origin, DNA analysis and determina-
tions must be relied upon for any attempt at individualization.

Fibers
Fibers can be classified into two broad groups, natural and manufactured. Natural fibers
are derived from animal sources, including sheep, goats, or alpacas, or plant sources, such
as cotton. Manufactured fibers are fibers derived from either natural or synthetic poly-
mers, which are substances composed of large numbers of chain-linked molecules. Fibers
manufactured from raw materials, such as cotton or wood pulp, that require the extrac-
tion and chemical treatment of cellulose are classified as regenerated fibers (e.g., acetate,
rayon). Most fibers currently manufactured, however, are produced solely from synthetic
chemicals and are therefore classified as synthetic fibers (e.g., acrylic, nylon, polyester).
Manufactured fibers are marketed under hundreds of trade names. To avoid confusion,
the U.S. Federal Trade Commission has approved generic or family names for the various
groups of all manufactured fibers used to produce goods such as clothing, home furnish-
ings, and vehicle mats and seatbelts. Many of these generic classes (e.g., acrylic, nylon,
polyester, spandex) are produced by numerous manufacturers and sold under a variety of
trade names (Saferstein, 2009).
An examination of the morphological features of fibers, such as color, dye composition,
diameter, cross-sectional shape, chemical composition, and absorption rate of infrared
light, can potentially classify fibers into broad groups and then further classify manu-
factured fibers into generic classes. Many types of nylon, for example, are available for
purchase in consumer markets. Although all types of nylon share common properties,
each may differ in appearance and dye-absorption ability due to modifications in the basic
chemical structure made during the manufacturing process (Saferstein, 2009). As in all
areas of forensic examination, the narrower the classification, the stronger the linkage
among victims, suspects, and crime scenes.
116 ◾ Cory Rodivich

Paint
Most paints have four basic components: (1) binder, a polymeric substance used to bind
paint to the surface; (2) pigments, or coloring agents; (3) fillers and additives; and (4) a
carrier solvent, which allows the paint to be applied easily. The number of combinations
of these basic components is substantial and makes different paints distinguishable upon
analysis (Gaensslen et al., 2008). The examination of paint with regard to color, surface
texture, color layer sequence, and chemical composition of binders and pigments can yield
class matches between known and evidentiary samples, such as samples collected from a
door utilized as the point of entry in a burglary case and samples recovered from a pry tool
suspected of being used to force the door open. In traffic-related cases, an analysis of paint
recovered from the crash or crime scene can often assist in identifying the color, make, and
model of an unknown vehicle based on the various manufacturers’ specifications.

Glass
“Glass is a hard, brittle, amorphous substance composed of sand (silicon oxides) mixed with
various metal oxides. When sand is mixed with other metal oxides, melted at high tem-
peratures and then cooled to a rigid condition without crystallization, the product is glass”
(Saferstein, 2009, p. 423). Glass, based on its chemical composition and manufacturing pro-
cess, can be categorized into many types, such as borosilicates, which are used in vehicle
headlights; soda-lime glass, which is used in most windows and bottles; tempered glass,
which is used in the side and rear windows of vehicles; and laminated glass, which is used
in the front windshields of vehicles. The physical properties of density and refractive index
are used for class matching glass fragments. Density, the measurement of mass per unit of
volume, is a property of matter that remains the same, regardless of the size of an object. A
simple procedure for determining the density of a solid is to first weigh it and then measure
its volume by noting the volume of water it displaces when submerged (Saferstein, 2009).
Refractive index, another physical property of matter that is not dependent on the size of
an object, is defined as the ratio of the speed of light in a vacuum to the speed of light in a
given medium. Refraction refers to the bending of a light wave due to a change in velocity.
The refractive index of a substance varies with its temperature and the wavelength of light
passing through it. This determination is best accomplished by the immersion method, in
which evidentiary and known fragments of glass are immersed in a liquid medium whose
refractive index is adjusted by changing temperature until it equals the refractive indices of
the glass fragments. If both samples of glass exhibit minimum contrast with the immersion
liquid, they can be said to have comparable refractive indices (Saferstein, 2009).

Soil
“For forensic purposes, soil may be thought of as any disintegrated surface material, natural
or artificial, that lies on or near the Earth’s surface” (Saferstein, 2009, p. 435). Generally, these
materials are naturally occurring vegetation, rocks, minerals, and animal matter, but they
can also be such manufactured trace elements as glass, paint, asphalt, and brick fragments,
the presence of which gives soil particular characteristics applicable to a specific location.
 Role of Forensic Science ◾ 117

Soil evidence found adhering to a victim’s or suspect’s clothing or shoes or to the tires
and undercarriage of a vehicle can be compared to known exemplars collected from the
crime scene. The forensic value of soil increases in relation to variations in its composition at
the crime scene; if, for example, soil content and composition are indistinguishable for miles
surrounding the crime scene, the soil evidence would have little to no value in associating
soil found on the suspect with that found at the crime scene. Microscopic examination of
soil is conducted for the comparative value of class characteristics, such as color, texture,
presence of plant and animal material and artificial debris, and the color, geometric shape,
density, and refractive index of rocks and minerals present. Considering the potential variety
in soil colors, rocks, minerals, and artificial debris possibly present, trace analysts schooled
in geology can be presented with many points of comparison among specimens.

Ignitable Liquid Residues

Analysis of debris and other arson- or explosion-related evidence to detect the presence
of accelerants or ignitable liquid residues is a significant part of the work of most forensic
laboratories. Burned debris, soggy carpeting, and a variety of other items recovered from
the scene of such an incident may contain accelerant. If an ignitable liquid is present, it is
usually in trace amounts and mixed with the debris and charred material. Various meth-
ods are used by analysts to process such material to concentrate or separate any ignitable
liquids from the debris. Instrumental analysis of the resulting liquid isolates individual
chemical compounds, which then reveal their own characteristic pattern. When a particu-
lar chemical compound has been identified, the analyst can then determine if it is flam-
mable and whether it is known to be a component of any commonly encountered ignitable
liquids, including gasoline or petroleum distillates such as kerosene, cigarette lighter flu-
ids, charcoal starter fluids, and paint thinners (Gaensslen et al., 2008).

DRUG IDENTIFICATION SECTION

The analysis of controlled substances is another major task of most forensic laboratories.
Samples of green botanical substances or white powdery or rock-like substances are first
subjected to preliminary screening tests. Color tests, for example, produce characteristic
colors for certain drugs and indicate the possible presence of one or more illicit substances.
When positive reactions are produced, analysts then conduct more complex, confirma-
tory tests employing microscopic and instrumental analysis techniques to identify specific
chemical structures and specific drug substances. When a drug or controlled substance
has been positively identified, criminal investigation and prosecution can proceed.

TOXICOLOGY SECTION
Toxicologists detect and identify drugs and poisons (toxins) in bodily fluids, tissues, and
organs. Samples may include a vial of drawn blood from a suspect in a DUI case, whole
blood and urine samples from the victim of a sexual assault who reports being given a
drug, or fluid and hair samples obtained from deceased victims in suspected overdose or
118 ◾ Cory Rodivich

homicidal poisoning cases. Similar to drug identification testing, analysts employ a series
of screening and confirmatory tests to identify the chemical structure, or signature, of
substances. As the human body is an active chemistry laboratory, few substances enter and
completely leave the body in the same chemical state; therefore, a thorough understand-
ing of how the body alters and metabolizes the chemical structure of a drug is essential to
detecting its presence in appropriately collected samples (Saferstein, 2009).

QUESTIONED DOCUMENTS SECTION

A questioned document can be defined as any object with handwriting or print whose
source or authenticity is in doubt. Microscopic analysis of documents, most commonly
in paper form, can be utilized to compare handwriting samples based on the premise that
no two individuals unconsciously write exactly alike because of variations in the physi-
cal, mechanical, and mental functions that contribute to the overall character of a per-
son’s writing. Microscopic analysis of machine-created writing, such as that produced
by computer printers, photocopiers, fax machines, and typewriters, can also yield points
of comparison. Continued use of printing devices results in random, irregular wear and
damage to moving parts of the machine. Defect marks resulting from random debris on
the glass platen, inner cover, or mechanical portions of a photocopier can produce irregu-
larly shaped images. The transmitting terminal identifier (TTI), a header at the top of each
page of a faxed document, assists in determining authenticity. Variations in the alignment
of characters, along with defects in a typeface, can assist in proving the identity of a type-
writer (Saferstein, 2009).
Specialized discovery techniques, mainly involving the manipulation of light and light
sources, are also applied by the examiner on documents suspected of being fraudulently
changed. Alterations (when writing on a document is somehow altered or added to) and
obliterations (when writing is blotted out, smeared over, or obscured in some way) can be
detected because inks of varying chemical composition also vary in the way in which they
absorb and re-radiate infrared light. Erasures (when the writing is removed from a docu-
ment by either chemical means or an abrasive instrument) can be detected under ultravio-
let or infrared lighting to reveal discoloration from the chemical agent or under oblique,
visible lighting to highlight the remaining, patterned disturbance to the upper fibers of
the paper. Other specialized lighting techniques can be utilized to reveal indented writ-
ing in paper below the sheet actually being written on and writing or typing on charred
documents.
Microscopic and instrumental analysis of ink and paper can also generate investigative
leads from document evidence. The chemical composition and dye patterns of inks can be
isolated not only to distinguish between known and questioned samples but also to refer-
ence the age of a document based on the date when a particular ink dye was produced.
An analysis of the paper on which a document is written or printed can include general
appearance, color, weight, presence of a watermark, fiber identification, and characteriza-
tion of additives, fillers, and pigments (Saferstein, 2009).
 Role of Forensic Science ◾ 119

PHOTOGRAPHY SECTION
The functions of a complete photographic laboratory are both numerous and vital, as
documentation is a key aspect of any forensic investigation, whether in the field or in a
laboratory setting. This section can be responsible simply for processing and storing film
negatives and digital images obtained by examiners during their analyses, but technicians
can also be tasked with processing photographic prints and enlargements and preparing
photographic exhibits for courtroom presentations. To effectively assist examiners, foren-
sic photographers must also be skilled in manipulating cameras and various light sources
and spectra to best capture articles of physical evidence, such as impressions, whose exam-
ination can be conducted using photographs. Forensic photographers can also use their
expertise and the technology made available to them to generate evidence that cannot be
seen by the human eye; for example, ultraviolet and infrared photography can be used to
detect document forgeries, as well as bloodstains or gunshot residue particles on dark-
colored surfaces. This section can also be responsible for the analysis and enhancement
of video evidence, most often involving security or surveillance videos that have captured
persons, actions, or vehicles relevant to investigations.

SPECIALIZED FORENSIC SCIENCE SERVICES

Specialized forensic science services outside of the traditional crime laboratory setting are
routinely available for use by law enforcement agencies and personnel.

FORENSIC MEDICINE
Forensic medicine can be divided into two distinct fields, forensic pathology and forensic
nursing. Forensic pathologists are doctors of medicine with advanced forensic training
who are expert in determining the cause and manner of death. The cause of death is a
medical determination, a medical explanation for why a person died (e.g., gunshot injuries,
sharp force trauma, blunt force trauma, asphyxiation). The manner of death (homicide,
suicide, accidental, or natural) is a medicolegal determination that considers all available
information, including that gathered from crime scenes, police investigations, and foren-
sic laboratory examinations. The pathologist, or medical examiner in most jurisdictions,
makes this determination after conducting an autopsy, or postmortem examination, of the
decedent. Postmortem examinations generally entail, but are not limited to, the removal of
the internal organs of the chest, abdomen, and head, which are then dissected to determine
disease or injury, as well as the collection of fluid, tissue, and organ samples for subsequent
toxicological analyses. Similar to any crime scene, the decedent is a valuable source of
physical evidence, including DNA, trace evidence, and possibly impressions, which can be
used to identify suspects and establish linkages. As the medical examiner holds jurisdic-
tion over the decedent, the pathologist is also tasked with the search and collection of such
evidence. In most major jurisdictions, the medical examiner’s office is directly associated,
both in location and administration, with the forensic laboratory.
120 ◾ Cory Rodivich

Forensic nurses are registered nurses employed by hospitals, clinics, or other medical
facilities. They have received advanced forensic training in the identification, collection,
and preservation of physical evidence derived from living patients. Forensic nurses are
most often involved in this process during the investigation of sexual assault incidents.
Many jurisdictions, in conjunction with local police agencies and medical facilities, have
assembled a Sexual Assault Nurse Examiner/Sexual Assault Response Team (SANE/SART),
which is staffed with forensic nurses who conduct medical examinations of sexual assault
victims. The SANE/SART examination consists of two parts: (1) physical examination of
the victim to locate, document, and treat associated wounds or injuries; and (2) collection
of the standardized sexual assault evidence collection kit. The sexual assault evidence col-
lection kit serves the dual purpose of collecting known standards of biological material
from the victim and collecting evidence samples of possible biological material transferred
from the suspect. Components of a sexual assault evidence collection kit include vaginal
and rectal swabs, pubic hair combings, and fingernail scrapings. In cases involving the
suspected use of narcotics, whole blood and urine samples are also collected for toxicologi-
cal analysis.

FORENSIC ANTHROPOLOGY
Forensic anthropologists are physical anthropologists specialized in examining human
skeletal remains. Depending on the condition and amount of skeletal remains recovered,
forensic anthropologists can provide class estimates of the age, sex, stature, and group or
ethnic affiliation of the individual, in addition to analyzing any skeletal abnormalities or
trauma present. Forensic anthropologists can often assist field investigators in the recov-
ery of remains, whether scattered about the surface or buried in the ground, as they are
highly skilled in the basic principles and methodology of archaeology. Forensic anthro-
pologists can also lend their knowledge and skill to the science of forensic taphonomy,
which deals with the history of a body after death. Forensic taphonomy can be an impor-
tant part of a criminal death investigation, as postmortem changes in human remains
can affect estimates of time since death, identification of the individual, and the ability
to determine the cause and manner of death (James and Nordby, 2005). Although not
directly included in the forensic anthropologist’s responsibilities, an associated discipline
known as forensic sculpture or forensic facial imaging involves specialists attempting to
reconstruct what an individual’s face may have looked like based on observable features
of a recovered skull.

FORENSIC ODONTOLOGY
Forensic odontologists are forensic dentists who conduct two major types of analyses involv-
ing human teeth. The first is the identification of human remains that are so altered by
decomposition, fire, or explosion that they cannot be identified by visual means. Typically,
the odontologist will compare postmortem dental x-rays with dental x-rays taken when the
person suspected of being the decedent was alive. Like forensic anthropologists, forensic
 Role of Forensic Science ◾ 121

odontologists are very useful in this manner on the scenes of mass disaster situations. The
second major examination conducted by forensic odontologists is comparing known and
evidentiary bite-mark impressions (Gaensslen et al., 2008).

FORENSIC ENTOMOLOGY
Entomology is the study of insect species. Forensic entomologists can analyze the life cycles
of insect species (from egg to larva to pupa to adult) recovered from corpses and combine
their results with environmental factors from the scene, such as temperature and length of
daylight hours, to calculate an estimate of the individual’s time of death when the issue is
in question.

FORENSIC PSYCHOLOGY
Forensic psychologists evaluate criminal offenders to determine competence to stand trial
and may also be involved in offender treatment programs. Specialists in this area may also
profile criminal cases, primarily those involving serial murder or serial rape. Profilers can
sometimes provide useful investigative leads about the characteristics of unidentified sus-
pects based on their modus operandi, behavior patterns, and crime scene patterns.

FORENSIC ENGINEERING
Forensic engineers are professionals expertly trained in a particular engineering specialty
(e.g., mechanical, electrical, civil). Forensic engineers can assist law enforcement in the
investigation of transportation system disasters, materials failure cases, and building or
structure collapses.

FORENSIC COMPUTER SCIENCE

Forensic computer scientists are most often tasked with three main responsibilities. The
first is identifying, collecting, preserving, and examining information derived from com-
puter hard drives, data storage media, and other electronic devices such as pagers, answer-
ing machines, and cellular telephones to generate investigative leads and assist in solving
cases. The second is to find hidden or deleted information on electronic media. The third
responsibility, and perhaps the most difficult and technically intensive, is tracing suspects
committing computer crimes, such as circulating child pornography or gaining unauthor-
ized access to confidential information on computer networks (Gaensslen et al., 2008).

FORENSIC RECONSTRUCTION
Reconstruction can be defined as “the use of physical evidence and its analysis to try to
understand the events that produced that evidence” (Gaensslen et al., 2008, p. 27). The recon-
struction of the sequence of events that occurred prior to, during, and subsequent to the
122 ◾ Cory Rodivich

commission of a crime is heavily based on observations made at crime scenes, findings from
postmortem examinations of victims, and forensic analysis of recovered physical evidence.
Statements of living individuals involved in the incident are also evaluated during the for-
mulation of a reconstruction hypothesis, but, like hypotheses in general, testing conducted
both in the field and in the laboratory can either support or disprove those statements. The
reconstruction of a crime is very much a collaborative effort between law enforcement per-
sonnel and forensic investigators. Forensic or crime scene reconstruction can be interpretive
or very scientific and mathematical. What is paramount, however, is that strict adherence
to the scientific method is maintained, which, above all, includes the qualities of objectivity
and falsifiability, the ability of a theory to be disproved when presented with other plausible
alternatives. Reconstructionists can be well trained and highly skilled field investigators or
laboratory analysts who have immediate access to the scenes of incidents, or they can be pri-
vate consultants, perhaps retired after years of professional forensic experience and training,
who are enlisted to provide their expertise. In either circumstance, thorough and detailed
scene documentation is crucial. As previously discussed, reconstruction of the sequence of
events occurring during the commission of a crime can be both interpretive and very sci-
entific or mathematical. The three major disciplines or areas of study specifically applied to
scene reconstruction are vehicle or traffic crash reconstruction, bloodstain pattern analysis,
and shooting incident reconstruction, also known as external ballistics.

Traffic Crash Reconstruction

Crash reconstruction is grounded in the principles espoused in Newton’s laws of motion
and the mathematical calculations of algebra, geometry, trigonometry, and physics. Crash
reconstructionists can interpret general findings based on such observations as the final
resting places of vehicles or persons involved; the damage sustained by vehicles, including
points of impact and paint transfer; skid marks; acceleration marks; deceleration marks;
scrapes, gouges, or any other change in the roadway; and deformation of headlamp fila-
ments indicating whether the lamps were on or off at the time of impact. After detailed and
accurate measurements of the crash scene and evidence contained within are obtained,
reconstructionists can then make mathematical calculations to determine the approach
angle of the vehicles prior to the collision, speed at the time of impact, departure angle of the
vehicles following the collision, and rates of acceleration and deceleration. Mathematical
formulas can also be used to calculate the motion characteristics of vehicles airborne or in
flight during traffic collisions.

Bloodstain Pattern Analysis

Identifying and interpreting bloodstains and bloodstain patterns are among the most valu-
able skills possessed by forensic field investigators. Grounded in fluid dynamics and physical
laws, such as the effect of air resistance and gravity, viscosity, and surface tension, bloodstain
pattern analysis is a very technical discipline based on science and the use of the scientific
method. Bloodstain patterns deposited on victims, suspects, floors, walls, ceilings, clothing,
and other relevant items can provide valuable insight into the events and sequence of events
that occurred during the commission of a violent crime. The analysis of bloodstain patterns
 Role of Forensic Science ◾ 123

involves the consideration of such factors as number, dispersion, shape, size, volume, orien-
tation, location, and surface textures. Information potentially generated from the interpre-
tation and in some cases mathematical calculation of bloodstain patterns includes the basic
nature of the action causing the pattern, the direction from which the blood originated, the
angle at which a blood droplet struck a surface, the approximate location or position of a
victim at the time a blood-drawing wound was inflicted, the approximate location of the
suspect inflicting the blood-drawing wound, the minimum number of blows that struck a
bleeding victim, and the movement characteristics of a bleeding individual at a crime scene
(Saferstein, 2009). As blood is a fluid affected by the laws of physics, bloodstain patterns
resulting from a particular action are capable of being reproduced by the analyst.

Shooting Incident Reconstruction

As previously discussed, firearms and ammunition are constructed very specifically in
order for projectiles to travel aerodynamically in the direction in which they are fired,
thereby increasing accuracy over distance. Similar to bloodstain patterns, the path of a
fired projectile is seriously affected by the laws of physics; therefore, bullet impacts result-
ing from a particular firearm firing specific ammunition in a specific context and into a
specific substrate can be reproduced by the analyst. The skilled reconstructionist’s exami-
nation of the shooting scene, including all bullet impacts, defects imparted to the impacted
substrates, and all available testimonial and physical evidence, can generate the following
key information regarding a shooting incident: the number of participants involved; the
number and type of firearms involved; the manner in which a firearm was fired; the dis-
tance from which a firearm was fired; the location, position, and orientation of a firearm at
the moment of discharge; the direction and trajectory of projectile paths; the sequence of
shooting events and bullet impacts; the presence and type of any intervening objects struck
during the flight of fired projectiles; and the location, position, and orientation of partici-
pants at the moment of any firearm discharge (Chisum and Turvey, 2007).

QUESTIONS FOR DISCUSSION

1. What is forensic science and how is it utilized in the criminal investigative
process?
2. Describe the major responsibilities of the forensic scientist.
3. What is the scientific method?
4. Discuss the potential information generated from the forensic analysis of physical
evidence.
5. Define and differentiate between class or family characteristics and individual
characteristics.
6. List the types of physical evidence that commonly exhibit individual
characteristics.
7. List and describe the divisions of a typical, full-service crime laboratory.
8. Describe three forensic specialties, outside of the typical crime laboratory, that are
also available to investigating law enforcement personnel.
124 ◾ Cory Rodivich

BIBLIOGRAPHY
Chisum, W.J. and Turvey, B.E., Eds. (2007). Crime Reconstruction. Burlington, MA: Elsevier.
Gaensslen, R.E., Harris, H.A., and Lee, H.C. (2008). Introduction to Forensic Science and Criminalistics.
New York: McGraw-Hill.
Girard, J.E. (2008). Criminalistics: Forensic Science and Crime. Sudbury, MA: Jones & Bartlett.
Houde, J. (1999). Crime Lab: A Guide for Nonscientists. Ventura, CA: Calico Press.
James, S.H. and Nordby, J.J., Eds. (2005). Forensic Science: An Introduction to Scientific and Investigative
Techniques, 2nd ed. Boca Raton, FL: CRC Press.
Lushbaugh, C.A. and Weston, P.B. (2009). Criminal Investigation: Basic Perspectives, 11th ed. Upper
Saddle River, NJ: Prentice Hall.
Saferstein, R. (2009). Forensic Science: From the Crime Scene to the Crime Lab. Upper Saddle River,
NJ: Prentice Hall.
Saferstein, R. (2011). Criminalistics: An Introduction to Forensic Science, 10th ed. Upper Saddle River,
NJ: Prentice Hall.
 3
Property Crimes and Financial Investigations

Chapter 8 ■ Vandalism

Chapter 9 ■ Larceny and Burglary

Chapter 10 ■ Auto Theft

Chapter 11 ■ Arson Investigation

Chapter 12 ■ Financial Investigation

125
 Chapter 8

Vandalism
Matthew O’Deane
San Diego California District Attorney’s Office

CHAPTER OBJECTIVES
After reading this chapter, you should be able to do the following:

1. Identify the impact of vandalism and what purpose it serves to those engag-
ing in it.
2. Describe how the police respond to the vandalism problem.
3. Identify ways in which communities can prevent vandalism.
4. Discuss how vandalism cases are prosecuted and addressed in the court
system.

Chapter Outline
• Introduction
• Vandalism Impact
• Taggers vs. Gangs
• Vandalism Reveals Monikers
• Graffiti Is All about Respect, or Disrespect
• Folks and People Alliances
• Police Response
• Gang Injunctions
• Graffiti Search Warrants
• Control Techniques
• Educating Parents and the Community
• Vandalism and the Media
• Vandalism Prosecution

127
128 ◾ Matthew O’Deane

INTRODUCTION
The most visible and most problematic form of vandalism in the United States is the unlaw-
ful application of graffiti. The existing research on graffiti does not make it easy to deter-
mine where graffiti got its start in America. If writing on cave walls counts, then the first
taggers were prehistoric. More recently, during World War II, the phrase “Kilroy was here”
was written on tanks and military equipment throughout Europe and was later seen in the
subway systems in New York. In the 1950s, street gangs began using graffiti to mark their
territory, promote their gangs, and intimidate the community. The word “graffiti” comes
from the Italian word for scratch, graffio. Graffiti is any unauthorized inscription, word,
figure, mark, or design that is written, marked, etched, scratched, drawn, or painted on real
or personal property, with the intent of having it be seen by the passing public. The negative
impact of graffiti on a community is significant, as it can instill feelings of fear and insecu-
rity, it causes significant problems for local jurisdictions that have to keep the community
clean, residents and businesses often flee the area, and property values plummet. The pres-
ence of graffiti vandalism is an affront to all who live, work, and visit a community. Such
unauthorized inscriptions and graffiti are a major problem around the world, not just in
the United States. Graffiti is often referred to as the “newspaper of the streets” in the gang
and tagger subculture. If that is true, we as law enforcement officers need to make sure we
get the subscription so we can tell what is going on around us. We need to understand all
of the basic elements of graffiti—why it is used and what it means. Gangs use graffiti to gain
recognition or express the identity of the gang, and gang members are motivated to put
up graffiti to reflect their loyalty to their gang. In some cases, members may be ordered by
their gang to put up graffiti to demonstrate their worthiness to join and to prove that they
are committed to the gang. A gang’s desire to mark their territory and let others know who
they are can be exploited by investigators.
It is a critical skill to understand the graffiti in your area and to be able to read it,
explain it, and document it so the graffiti can be used against the gangs and crews and
their individual members. Graffiti offers many practical investigative tips; for example, it
can help in identifying the size and strength of the local gang, their monikers, pending or
past crimes, ongoing rivalries, and their boundaries. Gangs use graffiti to claim their turf
by marking their neighborhoods with graffiti on fences, schools, sidewalks, walls, homes,
and street signs. Graffiti is a very important element in the investigation of street gangs. In
many ways, gang graffiti is a code, and, like most codes, it is susceptible to analysis if you
take the time and effort to do so.

VANDALISM IMPACT
The dollar amount spent on graffiti cleanup is enormous. In 2000, the national cost for
graffiti cleanup exceeded $4 billion dollars, which is widely seen as a very conservative
estimate, as only a fraction of vandalism incidents are ever reported. The police try to work
closely with other city departments, such as public works or parks and recreation, as well as
private property owners, to address this problem. The average cost of removing or painting
 Vandalism ◾ 129

over graffiti is $552 per incident in Los Angeles County, and the county spends over $30
million per year in graffiti cleanup costs. This is not unique to Los Angeles; every major city
in this country has similar issues, and graffiti vandalism has significant economic reper-
cussions everywhere it appears. The money used to clean up the damage could be directed
instead toward many more productive programs or to putting more police officers on the
street or addressing a wide range of social ills. Also, business owners who have to clean up
their businesses after taggers hit typically offset their costs by charging higher prices for
their products. Aside from the cost, graffiti makes our cities look rundown and trashed.
One of the more costly forms of vandalism occurs when people etch or scribe their names
into glass, such as commercial business or bus windows. The replacement cost of glass in
windows is typically between $20 and $30 dollars per square foot, depending on the grade
of the glass, thickness, cut, and whether the glass is tempered or tinted. When vandals use
glass as their canvas, repairing the damage can cost up to 50 times more than for conven-
tional graffiti painted on a concrete wall. This type of vandalism is difficult to prevent, as
a number of hard objects can be used to etch glass, luan, Lucite®, or other surfaces such as
anodized or polished aluminum or stainless steel. In many cases, governmental agencies
are tasked with cleaning up graffiti. With budgets having to be cut everywhere, govern-
ments can ill afford the millions of dollars required to deal with graffiti. On a positive note,
technology has allowed crime prevention concepts to be designed into many products to
make the financial impact of vandalism less costly. These techniques are discussed later in
the chapter.
The only people that I have met who enjoy looking around vandalized communities
are the gang members and taggers that put the graffiti there. Graffiti is believed to have a
direct link to other crimes in a neighborhood; when it is not quickly removed and is left
unchallenged, it often attracts more serious criminal activity. Graffiti leads to a loss of
neighborhood pride, and people begin to feel intimidated in their own neighborhoods.
Graffiti lowers property values and negatively impacts local business, as people tend to
avoid businesses that have been vandalized in this way. In areas where gangs are allowed to
destroy property at will, the physical environment supports the gang subculture and gives
the local gang more power and more control over the target area. According to the “broken
window” theory proposed by Kelling and Wilson (1982), if a window in a building is bro-
ken and left unrepaired, the rest of the windows will soon be broken, as this is taken as an
indicator that the community does not have any interest in how the neighborhood looks.
The authors suggested that untended physical disorder, antisocial behavior, and nuisance
activity all lead to the breakdown of social control and increases crime.
When residents perceive that crime is rising, they often react by avoiding public spaces
such as parks, and their involvement in neighborhood events is significantly reduced.
That is why gang enforcement in many neighborhoods focuses on the central community
parks where gangs tend to congregate so the parks can be reclaimed for legitimate public
activities. The common neighborhood response of not using public spaces for recreation
and leisure because of the gang’s presence disrupts social balance and community attach-
ment to the park and subsequently decreases the community’s ability to regulate criminal
behavior.
130 ◾ Matthew O’Deane

As crime in a community increases, so does fear of the local gang. Those with the means
to do so tend to move out of the area, leaving behind those who are either unable or unwill-
ing to counter the presence of the local gang (Shaw and McKay, 1942). The remaining
residents become even less likely to report crimes committed by the gang and less likely to
provide information to the police. The community purposefully or inadvertently helps the
gangs evade justice for crimes committed against the community. In areas where gangs are
allowed to destroy property at will, the physical environment supports the gang subculture
and gives the local gang more power and more control over the target area (BJA, 1998;
Dubin, 1959; Goldstein, 1990).
In 1992, a group of police, prosecutors, and neighborhood residents in Los Angeles
gathered and determined that the need for other remedies such as trash collection, graffiti
cleanup, and building and code enforcement to improve the quality of life in neighborhoods
should go hand in hand with each injunction (Skogan, 1988). Thus, civil gang abatement
is often viewed as most effective when used as part of a coordinated effort involving law
enforcement, community mobilization, and the restoration of municipal services essential
to quality of life (Hanh, 1992). Graffiti may be considered a low priority compared to other
crimes, but to the small business owner it is very costly, both in clean-up and in the nega-
tive perception of being in unsafe areas. One thing everyone seems to agree on is that local
businesses smeared with paint and markers are suffering heavy financial and emotional
costs, and it scares away potential customers, which results in businesses increasing prices
to offset their losses.

TAGGERS VS. GANGS

The first thing one should do when trying to determine if graffiti is tagger or gang related
is to look at the letters and the overall design or symbols used. If it has “bubble letters,”
for example, and contains more than one color of paint or ink or shows even a hint of
skill, then it almost certainly is not gang related. If it has sharp, angular stick letters done
in one color of paint it probably is gang related. Graffiti was once solely associated with
gangs; however, tagger graffiti now far exceeds gang graffiti in terms of property damage.
Vandalism is a significant property crime, but the crime of vandalism often escalates into a
crime against a person, as violence often follows acts of vandalism. Taki 183 was probably
one of the most well-known taggers; his nickname was Taki, and he lived on 183rd Street
in Manhattan. Taki worked as a messenger, and wherever he made deliveries throughout
Brooklyn he would also write his name. The first article about a tagger appeared in The
New York Times in 1971, when they published an interview with Taki.
Tagger graffiti is typically more colorful and more elaborate when compared to gang
graffiti. Tagger crews are loose affiliations, typically comprised of young people whose
principal activity is graffiti. Some of these tagger crews will try to pass themselves off as
party crews—groups of young people that evolve around social functions such as raves
and house parties—to avoid the police scrutiny that their gang member friends typically
receive.
 Vandalism ◾ 131

Taggers come from every race and socioeconomic background; most taggers are males.
Taggers can be identified in many cases by the graffiti written on their clothing, such as
their shoes or inside their baseball caps; schoolbooks; notebooks; backpacks; compact
disc covers; and bedroom furniture or walls. They frequently wear baggy pants and carry
backpacks when headed out to vandalize, carrying with them cans of spray paint, various
colors and types of magic markers, etching tools, piece books, slap tags, and cameras to
photograph their creations. Many times taggers carry the tools used for etching glass or
mirror surfaces such as spark plug porcelain, drill bits, screwdrivers with a sharpened tip,
small rocks, or any other type of sharp instrument. They may also carry stickers that have
drawings or a tagging moniker written on them. These stickers are used to “slap tag”—that
is, they are slapped on a surface and are difficult to remove and generally leave a residue.
Many times taggers can be identified by paint or marker residue on their fingertips, and
they may carry notebooks that contain tagging drawings. They tend to visit tagging web-
sites, subscribe to tagging magazines, or have photographs of tagging in their possession.
Taggers generally tag in or near their own neighborhoods and, like traditional gang mem-
bers, associate with other people who exhibit these same traits.
Tagging has long been considered a steppingstone to gang membership. The term “tag”
is believed to be derived from an early group of graffiti artists who called themselves the
“Tuff Artist Group.” Taggers in many cases are not the same as gang members, although
many taggers and their crews have turned into gangs over the years. A tagger is a person
who adopts a nickname (i.e., tag) as opposed to a gang member’s moniker. They write their
tag in as many places as possible so it can be seen by as many people as possible. Taggers
enjoy greater popularity and reknown among their peers when their tags can be seen in
many locations, especially those difficult to access. Taggers have their own subculture,
language, and dress that set them apart from street gangs. Their clothing tends to be very
baggy to conceal their spray paint and brighter than the clothing worn by gangs. Many
wear clothing designed specifically for taggers and emulate popular hip-hop culture. Some
crews are all one ethnicity, but taggers as a whole care less about the race of the person
and more about how often they can get the crew name up on walls, freeway signs, subway
trains, buses, and other public places.
Taggers tend to be younger kids, typically 12 to 18 years old. The older kids are often
referred to as “kings,” the younger kids as “toys.” Tagger crews can range in size from 4 to
as many as 200 members. When rivalries occur between crews, they sometimes solve the
dispute with a “battle,” a competition where the rival crews have a designated time frame
in which to mark a particular area. Their work is then judged by a predetermined third
party. The winner keeps their name; the loser has to change their name.
Tagger crew names are typically three letters, although they can range from two to five
letters; the letters represent the full name of the crew (e.g., RCA for Ruthless City Artists,
RTS for Running the Show, SEK for South East Kings). Numbers in a crew name can derive
from a phone pad number (e.g., 787 for RTS) or can be a code that represents letters (e.g.,
1 = A, 2 = B). They can also be telephone area codes, penal codes, or a combination of any
of these elements to add to the confusion; for example, 1972 on a wall could represent the
Sycho Pathic Crew (i.e., the 19 equals S from the number/letter code, and 7 equals P and
132 ◾ Matthew O’Deane

2 equals C from the phone pad). A lot can be learned about gang members based on their
monikers, and the same is true when looking at the name of a tagging crew. Many tag-
gers consider themselves just a group of writers, not vandals; they feel that they have the
talent of professional writers and as such often incorporate the term “writer” into their
name. Examples include Able to Rite (ATR), Kalling All Riters (KAR), Writers Making
Masterpieces (WMM), or The Write to Survive (TWTS). Some crews honor their favorite
method for applying graffiti, such as Spray Kan Artists (SKA), Living on Aerosol (LOA),
or Krylon Criminals (KC). Other crews honor the destructive nature of their activity, such
as Trash Shit Up (TSU), City under Siege (CUS), or Leaving Serious Damage (LSD). Some
names tell you what targets the gang prefers, such as All Over Buses (AOB), Rapid Transit
District Killers (RTDK), or Interstate Freeway Taggers (IFT). Others tell you the ethnicity
of the gang, such as Mexicans Taking Kontrol (MTK), The Mexican Kings (TMK), or Krazy
Ass Mexicans (KAM). Some names give away the gender of the group, such as Bitches with
Attitude (BWA), Queens Causing Trouble (QCT), or Crazy Fantasy Girls (CFG). Still other
names suggest how the crews view themselves, such as Criminals Out Shooting (COS) or
We’re No Angels (WNA).
Taggers as we know them today have made a significant transition from the early days.
Crews have become more violent, and many have been classified as “tag bangers” by police.
Once a tagger crew starts to claim a turf, jump members into the group, actively attack
rivals for entering their turf, and align with other gangs for protection, they are no longer
a tagger crew. It is important to clarify that a tag banger is a gang member. From a law
enforcement perspective, it is important to investigate taggers in the same manner as we
do street gangs. The first thing many officers need to do is eliminate the mindset that it is
“just tagging.” Vandalism and property crimes take a back seat to violent crimes for many
officers, but not dealing with the graffiti problem in an aggressive manner allows the gang
problem to get worse. It is also important to note that many street gang members have tag-
ger friends and may even adopt a tag so they can claim to be “just” a tagger when stopped
by police.
Increasingly, they are wannabe gangsters who use the mobility and guise of a tagger
crew to take their crimes beyond the boundaries of their turf. They generally work under
the cover of darkness, particularly when doing extensive murals and marking freeway
signs and other public places where risk of exposure is high. They will, however, deface
property whenever they have the opportunity to do so. Taggers typically plan graffiti mis-
sions in advance and conduct prior surveillance of locations to check for security, cameras,
and potential escape routes.
Gang graffiti serves one of the following purposes:

• Establish the presence of a gang or gangs.

• Establish turf or territory.
• Warn of impending danger or threats.
• Put down rival gangs or issue a challenge.
• Target a community at large (e.g., racist gang graffiti).
 Vandalism ◾ 133

Gang members have placed a major emphasis on identifying themselves and their gang
affiliation, and they use a variety of methods to communicate with each other and carry
out their gang-related business, one of the most visible being graffiti. Graffiti illustrates the
individual gang member’s commitment to the gang and their claim to the neighborhood; it
tells the world who they are and what they represent. Graffiti is also great evidence against
gang members and has tremendous investigative significance for anyone who investigates
gang members and gang crimes.
For Hispanic gangs from Southern California, the number 13 (often written on the
streets as XIII or X3) represents the fact that these gangs are Surenos (Southerners). The
number 13 represents the letter M, which is the 13th letter of the alphabet, and the letter M
stands for “Eme,” or the Mexican Mafia. Gangs from Northern California, called Nortenos,
may use the number 14 (XIV or X4), which represents N, the 14th letter of the alphabet,
and the letter N stands for Nuestra Familia. The Fresno Chankla Bulldogs, for example,
use 14 to indicate that they are aligned with the north, and the Old Town National City
(OTNC) gang uses 13 to indicate that they are aligned with the south. Many gang names,
particularly those from Southern California, include the numbers or names of the streets
on which the gang was originally founded (e.g., 18th Street and 38th Street in Los Angeles,
7th Street in San Bernardino, or 30th Street in San Diego). Many Los Angeles area gangs
use telephone area codes in their graffiti. Sometimes the side of town may also be indicated
by number, such as 519, which represents the East Side (i.e., 5 for E, 19 for S).
Gang graffiti helps the police investigate gangs and understand many aspects of gangs,
including the different ways in which a gang can express its name. Graffiti typically helps
the police identify a street gang’s territory and provides other useful information, such as
the monikers of individual street gang members, indications of pending gang violence,
current rivalries, and overall size of the gang based on gang rosters. When detectives start
from what is believed to be the center of a gang’s territory and follow the graffiti out in
every direction, they can define the borders of that gang. Having recent examples of graffiti
around the perimeter of an area is one of the best and most accurate methods to show the
gang’s recent presence in the area and help prove their claim on the area to a court of law.

VANDALISM REVEALS MONIKERS

Graffiti is used to promote or enhance the names and reputations of a gang and its mem-
bers. In some cases, gang members use graffiti to brag about crimes they have committed,
and it is not uncommon to find graffiti at the scene of a gang crime to send the message
that the gang is in control. It is common for monikers to show up on graffiti “roll calls,” or
placas; they are symbols of acceptance by the gang and are critical in gang and vandalism investi-
gations. Just about every gang member has a nickname or moniker that they substitute for
their real name. Many times a moniker is the only name by which a witness, rival gang
member, or even fellow gang members will know someone, making the identification of a
moniker a very critical element in many gang investigations. Monikers do not have to make
sense, they do not have to be spelled correctly, and they are often helpful in identifying an
134 ◾ Matthew O’Deane

18 St. XVIII = 18th St.

SPLS Shadow Park Locos.

Primary clique in the area,
also showing associated
cliques TLS (Tiny Locos)
and HGS (Highland
Gangsters)

Monikers of the individual

members responsible for
the graffiti or the close
group of friends within
the gangs

FIGURE 8.1 Gang graffiti.

unknown offender. The moniker may reflect a distinctive aspect of a gang member’s personality,
physical characteristics, reputation, or other trait. These names may be quite simple and typi-
cally refer to the appearance or personality of the gang member, such as “Lonely,” “Silent,”
“Playboy,” “Droopy,” “Boxer,” “Popeye,” “Shy Boy,” “Pony,” “Pirate,” “Sneaky,” “Speedy,”
“Gordo,” or “Flaco.” A moniker can also shed some light on the person’s status or a particu-
lar talent; for example, someone known as “Trigger” or “Shooter” likely has a propensity to
use or possess firearms.
Identifying the monikers of gang members is very important for documentation and
conducting gang-related investigations. Gang members now use monikers so dependably
that they can provide a critical source of investigative information. Self-admissions, graffiti,
informant interviews, and monitoring or recording inmate visits or conversations among
gang members are some ways to identify gang members’ monikers during an investigation.
Typically, graffiti will include the name of the gang, nicknames of the members, and slo-
gans, messages, or symbols exclusive to the gang (see Figure 8.1). Gang names are usually
abbreviated to two or three letters but the affiliation of the gang may be written out (e.g.,
Crips, Bloods, Surenos, Nortenos, Folks, People), as well as their slogans.

GRAFFITI IS ALL ABOUT RESPECT, OR DISRESPECT

The respect shown or not shown to every gang and every gang member is a critical concern
to all gangs and all tagger crews. Respect is so important that, in some cases, if a gang
member or tagger fails to disrespect a rival through hand signs, graffiti, or a simple mad-
dog stare, they could be disciplined by their own gang or crew. Respect in this case really
means fear. Those who join a gang or crew will constantly have to commit crimes to keep
other members afraid of them. Outside the gang and tagger world, respect is something
you can earn by getting an education and accomplishing your goals in life; in their world,
respect is earned by being violent or by being prolific, such as in the case of a tagger. They
 Vandalism ◾ 135

gain the recognition they desire by applying their tag name in as many places as pos-
sible, despite the impact on the community. Because members of different gangs often live
in close proximity to one another, graffiti can and usually does provoke confrontations.
Gangs may misspell or alter a rival gang’s name or symbol as a sign of disrespect, or they
may add “Killer” to a rival gang’s name; for example, a Blood member might paint “Crip
Killer” or abbreviate it as “CK.” A West Coast Crip gang member will use “FUCC” for the
word “FUCK,” because he does not want to use the letters “CK,” which could be mistaken
as standing for Crip Killer, which he most definitely is not. Often graffiti threatens or chal-
lenges rival gangs. A gang typically will cross out the graffiti of a rival gang or gang mem-
ber or write “187” (for homicide) or some other derogatory term next to it.

FOLKS AND PEOPLE ALLIANCES

The Folks and the People alliances were established in the penitentiary system of the
Illinois Department of Corrections in the mid-1970s by incarcerated gang members seek-
ing protection through “coalition building.” These groups adopted common identifiers to
show other gangs the alignment of gang members. These gangs use many of the same
identifiers; however, they point these identifiers to the left side or right side of their body
as appropriate. The seven largest gangs in the middle portion of the United States are the
Gangster Disciple Nation, comprised of the Gangster Disciples and Black Disciples (Folks);
Black Gangsters or New Breeds (Folks or Independent); Latin Kings (People); Black P Stone
Nation (People); Vice Lords (People); Four Corner Hustlers (People); and the Maniac Latin
Disciples (Folks). These gangs account for 80% of all gang members in the metropolitan
Chicago area.

POLICE RESPONSE
Many law enforcement operations targeting gangs are designed to protect the physi-
cal environment and limit social disorganization in the neighborhoods (Akiyama, 2003;
Livingston, 1997; Wilson, 1988). When gang members are in possession of marker pens,
spray paint cans, or other sharp objects capable of defacing private or public property, they
are ready to damage property where they feel it is appropriate. As such, it is important for
law enforcement to address such minor violations to limit the potential damage to public
and private property and hinder gang members’ ability to advertise themselves to the com-
munity. When the police apprehend gang members spray painting, marking with marker
pens, scratching glass windows of shops or public transit, applying stickers, or otherwise
applying graffiti on any public or private property, including but not limited to streets,
alleys, residences, block walls, vehicles, or any other real or personal property, they are
helping protect the environment of the neighborhood, in theory, and holding gang mem-
bers responsible for even minor violations. A police agency may want to organize a trap for
a tagger operation, which may include selecting an area that is heavily targeted by vandals,
finding a wall to paint clean as a tempting target, and conducting surveillance. The key is
to know the area well; taggers typically tend to run upon contact, so it is essential to have
136 ◾ Matthew O’Deane

a sufficient number of officers to cut off potential escape routes. Video surveillance makes
these cases easy to prove, and because the witnesses are police officers citizen informants
are not necessary.

GANG INJUNCTIONS
Provisions of gang injunctions include restricting the possession of marker pens, spray
paint cans, or other sharp objects capable of defacing private or public property, as well
as spray painting, marking with marker pens, scratching, applying stickers or otherwise
applying graffiti on any public or private property, including but not limited to streets,
alleys, residences, block walls, vehicles, or any other real or personal property. Some injunc-
tions contain wording that restricts damaging or vandalizing the property of another, both
public and private property, including but limited to any vehicle, light fixture, door, fence,
wall, gate, window, building, street sign, utility box, telephone box, trees, or power poles
(Crowe, 2000). In 1982, the Los Angeles city attorney and the Los Angeles police took a new
approach to addressing the problem of gang graffiti. A civil gang injunction was obtained
against three gangs; Dogtown, Primera Flats, and the 62nd East Coast Crips. Seventy-two
members of the three gangs were targeted with a civil gang injunction that had restrictions
only aimed at reducing graffiti, including prohibiting graffiti on private property, on public
property, and trespassing on private property with the intent to place graffiti. The injunc-
tion also contained an order for the gang to clean up the graffiti that displayed the name
of their gangs. The graffiti attributed to these gangs covered storefronts, billboards, houses,
and fences and allowed the gangs to control their territory. The injunction required the 72
named defendants to do 5 hours of community service to clean up their graffiti. The drive
for this graffiti cleanup was based in part on the theories of Thrasher (1927), who suggested
that gang graffiti promoted solidarity, group awareness, and attachment to a local territory.

GRAFFITI SEARCH WARRANTS

When writing search warrants in your vandalism investigations, consider seeking judicial
approval to obtain the following:

1. Evidence of involvement in or creation of graffiti, tagging, or illegal “street art,”

including cans of spray paint, nozzles from other kinds of aerosol sprays, etching
tools or other sharp or pointed objects used to etch or scratch glass and other hard
surfaces, and permanent marking pens, such as Magic Markers, Sharpies, etc.
2. Evidence of membership or affiliation with any tagging crew, such as any reference
to a tagger’s name, and any drawings, writings, objects, or graffiti depicting taggers’
names, initials, logos, monikers, slogans, or mention of tagging crew membership
or affiliation, activity, or identity, whether memorialized electronically, digitally
(including the central processing unit/hard drive, floppy disk, CD-ROM, or other
electronic storage medium), or on paper in books, sketch pads, tablets, notebooks,
and the like
 Vandalism ◾ 137

3. Any paintings, drawings, photographs, photograph albums, photographic nega-

tives, image disks, memory sticks, undeveloped film, or homemade videotapes
depicting persons, vehicles, weapons, or locations that appear upon observation to
be relevant to tagging crew membership or association, or depicting items believed
to be evidence in the case being investigated with this warrant, or which depict
evidence of any criminal activity
4. Any newspaper clippings relating details of or referring to any graffiti crime
5. Any address books, lists of, or single references to addresses or telephone numbers
of persons who are determined to belong to or to be affiliated with any tagging
crews
6. Deadly weapons, such as knives and accessories such as sheaths
7. Firearms, including ammunition, casings, holsters, targets, and cleaning
equipment
8. Papers, documents, and effects tending to show dominion and control over said
premises, including keys, fingerprints, clothing, photographs, image disks, mem-
ory sticks, photographic negatives, undeveloped film, homemade videotapes, and
any other non-commercially manufactured video or audio recordings
9. Handwriting, documents, and effects bearing a form of identification such as a
person’s name, photograph, Social Security number, or driver’s license number
10. Permission to answer incoming phone calls, either landline or cellular, during exe-
cution of the warrant; to view any videotapes seized pursuant to the warrant; and
to open or download and forensically examine all computer memory, software,
and programs seized pursuant to the warrant

CONTROL TECHNIQUES
Vandalism control can be accomplished in several ways: by dealing with at-risk youth who
may become vandals (prevention), dealing with those that have already joined gangs or tag-
ger crews (intervention), and holding vandals accountable for their actions (suppression).

PREVENTION
True vandalism prevention seeks to work in innovative and creative ways to enable young
people to feel empowered to make safe and informed choices. One approach is to work with
young people to raise their awareness of the risks of gang and tagger crew involvement, the
consequences of engaging in criminal acts of vandalism, and developing exit strategies for
those who are already involved in doing acts of vandalism. Vandalism prevention includes
the strategies, actions, and efforts used to dissuade youth from getting involved in gangs
and tagger crews, violence, and antisocial behavior. The goal is to find those youth who are
most likely to join a gang in the future and offer them alternatives and support to make bet-
ter choices. Examples include information campaigns, after-school and summer programs,
truancy and dropout prevention, and prenatal and infancy support. Stopping youth from
joining in the first place will obviously reduce gang membership and gang crime. Also
138 ◾ Matthew O’Deane

proving effective is Crime Prevention Through Environmental Design (CPTED), which is

defined as the proper design and effective use of the built environment to reduce crime,
disorder, and the fear associated with crime.

INTERVENTION
Intervention includes the strategies, actions, and efforts used to dissuade youth from
continuing their involvement in a gang and to discourage violence and antisocial behav-
ior. Intervention targets active gang members and their close associates, and it requires
aggressive outreach, ongoing recruitment, and careful planning and coordination. A mul-
tidisciplinary intervention team can provide assessment, intervention planning, and case
management, relying upon the proverbial carrot and stick, where the carrot represents
opportunities and the stick accountability.
The Los Angeles County Sheriff’s Department and the cities of Downey, La Mirada,
Norwalk, Santa Fe Springs, and Whittier launched Aware Teens against Graffiti (ATAG),
an innovative delinquency prevention program that targets first-time tagging and vandal-
ism offenders between the ages of 9 to 15 and their parents. The weekend-long program
focuses on the parents receiving an intensive two-day skill-building training, and the
youth offenders participating in community service projects and group discussions while
being supervised by law enforcement. The goal is to get the first-time offender through the
system and encourage them not to reoffend.
What motivates graffiti vandals? Some of them just want to damage property, but most
get a thrill out of seeing their art or tags in places where lots of other people can see them,
too. If you can deny graffiti vandals this thrill, they will go elsewhere next time or may
reduce their involvement in vandalism activity altogether. Over the past several years,
graffiti vandalism has exploded nationwide; particularly hard hit is San Diego, CA, where
graffiti costs the city millions of dollars annually. Many individual citizens and commu-
nity-based groups are working to stop the vandals and repair the damage they are causing.
Also, modern advances are reducing the costs associated with repairing vandalism; for
example, San Diego transit buses now have a thin layer of plastic on both sides of the glass
that can be more easily replaced when vandals scratch their names in the glass, keeping
transit cleaner for less money.
Law enforcement personnel report that many graffiti vandals claim to have stolen or
“racked” the paint, markers, or etching tools used in their crimes. Vandals also claim that
they have no problem buying spray paint from retail stores. The city’s Responsible Retailer
Program is a direct and practical response to this problem, where retailers voluntarily step
up employee education and internal security to deprive graffiti vandals of the legitimate
products they misuse to commit property crimes. The program involves in-store activi-
ties designed to reduce retail theft of potential graffiti tools and to stop the illegal sale of
spray paint to customers under the age of 18. It includes training store employees, stra-
tegically placing signs at display and check-out points, and displaying potential graffiti
tools in a prudent manner. Through awareness and strengthened self-policing, San Diego
 Vandalism ◾ 139

retailers are constricting the flow of products into the hands of those who use them in
graffiti crimes. Further, by joining the program, participating retailers can curtail costly
theft from their stores while demonstrating an active concern for the problems of the com-
munity in which they do business.
There are also laws that compel compliance similar to that promoted by the Responsible
Retailer Program; for example, the Los Angeles Municipal Code (§47.11) states: “Every
person who owns, conducts, operates, or manages a retail commercial establishment sell-
ing aerosol containers or marker pens with tips exceeding four millimeters in width, con-
taining anything other than a solution which can be removed with water after it dries,
shall store or cause such aerosol containers or marker pens to be stored in an area view-
able by, but not accessible to, the public in the regular course of business without employee
assistance, pending legal sale or disposition of such market pens or paint containers.” The
Los Angeles Municipal Code (§47.16) also states that, “Every person who owns, conducts,
operates, or manages a retail commercial establishment selling glass-etching cream or
any commercially available glass-etching products, whether sold separately or in a kit
in an area viewable by, but not accessible to, the public in the regular course of business
without employee assistance, pending legal sale or disposition of such glass etching cream
or glass etching product is in violation of this section. No person who has not yet attained
the age of 18 years can purchase such items. Therefore this ordinance requires anyone
who displays for sale glass etching cream, or any commercially available glass etching
product, whether sold separately or in a kit, to display it under lock and key and allow its
sale only to persons 18 years of age or older.”
The California Penal Code (§594.1) addresses the sale, purchase, or possession of aerosol
paint container and mandates posting of notice by retailers: “(a) It shall be unlawful for any
person, firm, or corporation, except a parent or legal guardian, to sell or give or in any way
furnish to another person, who is in fact under the age of 18 years, any aerosol container
of paint that is capable of defacing property without first obtaining bona fide evidence of
majority and identity. (b) It shall be unlawful for any person under the age of 18 years to
purchase an aerosol container of paint that is capable of defacing property. (c) Every retailer
selling or offering for sale in this state aerosol containers of paint capable of defacing prop-
erty shall post in a conspicuous place a sign in letters at least three-eighths of an inch high
stating: Any person who maliciously defaces real or personal property with paint is guilty
of vandalism which is punishable by a fine, imprisonment, or both.” The California Penal
Code (§594.2) also addresses the possession of specified instruments with intent to com-
mit vandalism or graffiti: “Every person who possesses a masonry or glass drill bit, a car-
bide drill bit, a glass cutter, a grinding stone, an awl, a chisel, a carbide scribe, an aerosol
paint container, a felt tip marker, or any other marking substance with the intent to commit
vandalism or graffiti, is guilty of a misdemeanor. For the purposes of this section, ‘felt tip
marker’ means any broad-tipped marker pen with a tip exceeding three-eighths of one inch
in width, or any similar implement containing an ink that is not water soluble. Marking
substance means any substance or implement, other than aerosol paint containers and felt
tip markers, which could be used to draw, spray, paint, etch, or mark.”
140 ◾ Matthew O’Deane

A common application of nuisance abatement laws is forcing owners to act against gang
use of their buildings or face a governmental takeover; for example, landlords have been
court-ordered to clean up graffiti, erect security gates, install lighting, remove abandoned
cars, and evict known drug dealers. Such orders are commonly coordinated with com-
munity policing tactics to reinforce the owner’s ability to act against gangs. Local building
and housing codes can also be used against gang locations, compelling property owners to
comply with fire, health and sanitation, and zoning requirements.
Eliminating potential targets of gang crime can be accomplished in a number of ways.
Many times, physical changes to a location can make it less desirable to a gang as a tar-
get because it requires significantly more effort or increases the risk of apprehension.
Sometimes, simply adding a light or a lock on a gate may be enough to make the gang
member move on to an easier target. These strategies are part of a broader concept, men-
tioned earlier, known as Crime Prevention Through Environmental Design (CPTED).
Further targets are areas where gangs tend to congregate. Many times they plan crimes at
these locations, and they serve as safe havens for gang members after they have committed
a crime. Having detailed information about these locations is critical to gang investigators
and increases the chances of capturing suspects and solving crimes. Understanding the
physical layout of these gang hangouts can aid in cutting off potential escape routes, and
crime prevention techniques can be applied to make these locations less desirable.
Crime Prevention Through Environmental Design is based on the idea that situational
factors such as the environment (e.g., poor lighting) can make crime more likely to occur
at a particular time and place. CPTED measures can include installing additional lighting,
cleaning up the area, removing graffiti, and addressing housing issues. Some locations that
are well-known crime hot spots are poorly supervised, poorly managed, and inadequately lit.
Changing some of those situational factors can help reduce levels of crime in these places.
Traditional local law enforcement typically operates on a reactive basis; that is, police
wait for a call for service and react by arriving at the scene and, when appropriate, mak-
ing an arrest. The emphasis in law enforcement circles today is to become more proactive
to prevent crimes from occurring in the first place. Community policing is a proactive
form of policing that still encompasses reactive law enforcement. The community polic-
ing philosophy emphasizes identification and resolution of gang problems and conditions
that cause gang crime rather than focusing exclusively on individual gang incidents. The
approach requires close cooperation between citizens and police officers, and many view
community-oriented policing as an attractive option for addressing fears that often are
prevalent among minority communities. Police agencies must sell their anti-gang pro-
gram to community members so they will not consider it a form of repression against their
neighborhoods and will see it for what it is: a response the community deserves to protect
it and remove violent offenders from the area.
Following are some suggestions related to CPTED and reducing the threat of gangs:

• Erect fences between your business and public property to better define your
boundaries and make it more difficult for graffiti vandals to get close enough to
your walls.
 Vandalism ◾ 141

• Remove large trees or bushes that block people’s view of vandals. The best landscap-
ing in graffiti-prone areas is short bushes planted along the walls to keep potential
vandals from getting too close. Make sure to keep the bushes well trimmed.
• Use pebbles around the building to create noise when people are walking, although
this will only make a difference if someone is around to hear the noise, see what is
happening, and do something about it.
• Move dumpsters to the end of an alley to reduce graffiti. Call dumpster companies
and ask them to keep graffiti off of dumpsters.
• If payphones or benches close to your business encourage people to hang out, see
about getting them removed.
• Use motion-detector lights. Keeping the lights on all night makes it easier for peo-
ple to see graffiti vandals, but it also lets the vandals see what they are doing and
lets others see the graffiti when they are done. Also, if an area is usually dark, it will
be more noticeable if it is suddenly lit up.
• Install video cameras, especially systems that activate by sensor and start recording
when someone is on the property. These systems reduce the time needed to review
recordings and more importantly can alert owners via text when the system has
been activated. These systems are also beneficial when used in connection with
sting operations; once a system has been triggered, officers can move into the area
covertly and make an arrest.
• Conduct weekly inspections on your property and in your community to help
prevent graffiti.
• Clean up graffiti right away, but only after it has been documented. Gang members
and taggers take the messages they read in graffiti seriously, and the longer graffiti
is left up in a neighborhood the greater the risk that the threats will be acted upon.
The swift removal of the graffiti will let gangs know that people in the community
will not tolerate their vandalism and that they care about their community.

One important factor to consider when instructing citizens to clean graffiti is their per-
sonal safety. Many citizens have been the victim of violent crimes because they were clean-
ing graffiti off of their property. In some gang neighborhoods, graffiti is cleaned by the
police so the gangs see that the police are responsible for the graffiti being cleaned up, not
local citizens. We do not want to turn cleaning graffiti into a death sentence for members
of the community. When graffiti is not cleaned up immediately, it can often multiply as
different gangs cross out their rivals’ messages and add their own. The faster you remove
the graffiti, the less of a thrill the vandal gets. This is an important point. Removing graffiti
promptly is the best way to prevent it from occurring again. Some cleanup jobs take just a
few minutes, but others can take all day.
The police encourage property owners to use graffiti-resistant surface coatings. There are
products on the market, such as graffiti-proof paint, that make it easier to clean off the paint;
these products can prevent spray paint, permanent marker, and ink from penetrating the
surface, thus making graffiti removal simpler and allowing the use of water-based or other
standard cleaning products. Applying a clear-coat finish can protect painted and unpainted
142 ◾ Matthew O’Deane

surfaces. Repainting the entire wall leaves no trace of graffiti ever having been there and does
not draw the attention of vandals. This approach is much more effective than painting over
just the graffiti. When repainting over graffiti, it is advisable to use the same color paint as
the wall or a neutral color such as gray, white, or beige. The closer the color match, the more
effective it will be in preventing further vandalism. The key is to be persistent. It may be nec-
essary to clean up the graffiti three times before the vandals realize it is not worth their effort.
The vandals’ objective is to have others see their tag name, so they are drawn to walls that are
not routinely cleaned immediately because they know their tag will be up longer and seen
by more people. Before attempting to clean up graffiti, it is important to identify the method
used by the vandals to apply the graffiti and the type of surface to which it has been applied.
Smooth, hard surfaces are the easiest to clean; rough, porous surfaces the most difficult. The
materials used to apply the graffiti (e.g., spray paint, grease pencils, felt tip pens, water-based
paint, stickers, shoe polish, crayons) affect the difficulty of cleaning up the graffiti.
Many times the most obvious removal methods work, such as soap, water, and a soft
brush. Try this method first to do the least amount of damage to the surface being cleaned.
If using soap and water does not work, then the use of a more powerful removal product
appropriate for the application method and surface is recommended. In many cases, graf-
fiti can be cleaned using a removal product rather than painting over it. Removing graffiti
is preferred since it is easier than painting and eliminates the difficulty of matching paint.

SUPPRESSION
The involvement of law enforcement when criminal activity occurs is an appropriate
response. Gang leaders and hardcore members should be targeted for aggressive suppres-
sion backed by the full force of the law. Law enforcement, parole and probation officers,
and prosecutors must work together to remove dangerous and influential gang members
from the community through effective use of gang intelligence (e.g., wiretaps, informants,
enhancements), targeting, and vertical prosecution.

EDUCATING PARENTS AND THE COMMUNITY

Awareness is the key; for example, can people in the community recognize taggers, can
they deal with them, and do they know what to do when they are the victim of graffiti van-
dalism? In many cases, parents are unaware of their child’s involvement in tagger crews.
Many parents assume a “not my child” attitude, which can be addressed by educating par-
ents on the signs and symptoms of vandalism.

GRAFFITI REWARD PROGRAMS

Some cities offer a reward for information leading to the arrest and prosecution of sus-
pects involved in tagging or graffiti. The Santa Clarita graffiti rewards program is available
to individuals or entities that report or identify any persons responsible for acts of graf-
fiti vandalism within the city limits of Santa Clarita. The amount of the reward is based
 Vandalism ◾ 143

on the information provided and the action taken. A graffiti reward program application
and approval from the Los Angeles County Sheriff’s Department are required before any
reward funds are distributed. No rewards are awarded until each case has cleared the judi-
cial system and sentencing has been established.

LEGAL LOCATIONS FOR GRAFFITI

Writers Block, 5010 Market Street in San Diego, is a good example of where it is legal to do
graffiti; it offers an opportunity to legally practice graffiti art in a place designed for just
that purpose. I have visited this location several times, and I am always surprised by the
sophisticated artwork being created. Consisting of row upon row of sheets of plywood and
covering a couple of acres, Writers Block allows anyone to bring their own paints and cre-
ate a design. It is a place for youths to gather after school and on weekends to create street
art using cans of spray paint in a controlled, supervised, and, most importantly, completely
legal setting in which no private or public property is damaged.

GRAFFITI HOTLINES
Graffiti abatement hotlines allow citizens to call in and report vandalism and have it
removed. San Diego’s hotline, for example, receives over 4000 calls per year. In addition to
reporting the graffiti, callers can learn more about prevention. A frequent complaint about
these hotlines is the response time, as there is often a significant delay between a property
owner calling about the graffiti and the actual removal of it. Eliminating such delays should
be a consideration for any jurisdiction planning on operating a hotline. Local jurisdictions
must convince the callers that their complaint of vandalism will be a priority and that it
will be cleaned up right away. If the jurisdiction does not have the resources to respond to
complaints in a timely manner, the value of the hotline diminishes. Crews must be able to
respond to individual service calls made to the graffiti hotline as well as focus on cleanup
near schools, parks, and major intersections and transit routes to have the biggest impact.

VANDALISM AND THE MEDIA

A tagger’s motivation is exposure, exposure, exposure. That is why media reports avoid
showing examples of vandalism on a large scale, and they do not disclose the exact loca-
tions of recently cleaned areas, as this is often a challenge to taggers to immediately van-
dalize it again to send the community a message. It is counterproductive to identify clean
canvases for vandals.

VANDALISM PROSECUTION
Like all other gang and tagger cases, a gang expert is necessary when prosecuting vandal-
ism cases. In 1993, I had the opportunity to be part of a 2-month undercover operation
that targeted tagger crews. Officers posed as members of an Australian movie production
144 ◾ Matthew O’Deane

company called Star Productions that was doing a documentary on taggers. Officers dis-
tributed posters and flyers throughout the tagger community, seeking participants for the
documentary. Taggers who came into the studio thought they were going to be in the
film; they were asked to fill out an information sheet, submit to an interview, and show
the film crew examples of their work in the studio and in the field. Thirty-seven people
were arrested during this 6-month sting operation. Letting their egos rule, these taggers
unwittingly took officers who they thought were producers on a graffiti tour of the county,
proudly pointing out their artwork on walls and freeways. Their admissions were captured
on videotape. Hundreds of acts of vandalisms in the San Diego area were solved. The key
to this operation was aggregation of the individual incidents of vandalism which caused
the total dollar amount in damage to rise above the level that constitutes a felony. Expert
testimony can be extremely useful in graffiti vandalism prosecutions, as it can be used to
explain how graffiti vandals operate, their motivation, their terminology, and psychology.
Further, this type of testimony can be used to prove damages when a damage amount is
required by your offense or for the purpose of restitution.

AGGREGATION OF DAMAGES: GRAFFITI TRACKER DATABASES

The theory behind aggregation of damages is that offenders caught putting up graffiti can
be charged not just with one count of vandalism but for all of the other damage for which
they are responsible. This has two main benefits. One, it sends a signal to the offenders that
their vandalism is being tracked. Two, a city can seek restitution from offenders for all of
the damage that they have committed, not merely a single incident. The system gives law
enforcement personnel real-time, street-level intelligence that allows them not only to focus
on the worst graffiti offenders and their damage but also to monitor potential gang violence
associated with the graffiti. Some cities have found a way to exploit graffiti by establishing
a tracking program that empowers law enforcement and prosecutors to use this form of
street-level intelligence in court. The law allows for aggregation of damages for felony filings
with a series of graffiti vandalism against different victims when there is one intention, one
general impulse, and one plan. To make this a reality, many police departments have created
databases to track incidents of graffiti. Often, city workers or contractors hired to clean up
graffiti or even homeowners who have to clean their fences, for example, will take photos
of the graffiti before removing it. They calculate the cost to repair the damage and provide
their photographs to the police for investigation. These photographs are uploaded into the
tracker system, where they can be compared to similar incidents of vandalism to try to solve
a series of separate vandalism offenses. Many times agencies will use GPS in their cameras
to show exactly where a photograph was taken but even more important in most cases is
who took the photograph, as every photograph must be authenticated. Typically, people who
have taken such photographs must testify that they did, in fact, take the photographs; they
must provide information about where and when they took the photographs, what graffiti
they cleaned up, how many supplies they needed, and the total cost of the graffiti removal.
The key to using these databases is having a standardized procedures set up in public works
or graffiti abatement operations to make sure these photographs can be used.
 Vandalism ◾ 145

Another advantage of graffiti tracker systems is geographic information systems (GIS)

mapping software. Mapping a suspect’s graffiti can demonstrate a connection between
the locations of the graffiti and the location of the offender’s residence. This approach has
been used successfully to secure search warrants of gang members’ residences. During the
course of such searches, it is common to find not only instruments of the crime but also
additional graffiti at the offender’s residence. This graffiti can then be matched in style to
the graffiti stored in tracker databases. Graffiti databases allow vandalism incidents to be
fully documented against an offender for criminal prosecution and give law enforcement
the ability to conduct rapid searches on offenders in a simple, effective, and comprehen-
sive way. Known offenders, known associates, crews, and gang affiliations can be readily
identified and additional arrests made. These systems can also track the costs of damages,
which can help cities allocate anti-graffiti budgets and allow city attorneys and prosecutors
to readily gain restitution from offenders by keeping track of the damage estimates. These
systems also centralize data collection methods through one system, including informa-
tion from graffiti hotlines and code enforcement officers. Digital cameras allow stakehold-
ers to easily document vandalism for the database, and it is possible to map locations where
graffiti is most prevalent. Graffiti databases can benefit a city through coordination of graf-
fiti crime investigations across operational or political boundaries; they can help uncover
graffiti patterns, track gang migrations, and develop anti-graffiti strategies; and they can
build, enhance, and centralize evidence for more substantial arrests and prosecution of
suspects. The automatic linking of similar incidents to develop actionable intelligence can
aid in identifying suspects, witnesses, and contacts.

CALIFORNIA EVIDENCE CODE SECTION 1410.5: HANDWRITING

Unfortunately, the fact that the tagger’s name is on the wall does not prove that the person
who uses the name actually did anything; for example, a freeway sign may contain several
names placed there by one tagger, and some taggers plagiarize or bite other taggers’ moni-
kers, especially the names of more notorious taggers. This has resulted in some police agen-
cies employing innovative investigation techniques, among them handwriting analysis to
link tags with individual taggers. This requires an expert to convince a jury that a particu-
lar act of vandalism was committed by a defendant. This effort can be aided by viewing
piece books and sketches done by the defendant and comparing them with known graffiti
samples. If the graffiti photographs do not definitely prove that the same person did each
act of vandalism, it may be necessary to rely on admissions, other evidence, or witnesses to
tie the defendant to the moniker or tag you are investigating. Sometimes the defendant can
be circumstantially linked to the vandalism if the graffiti in question is close to defendant’s
home or the defendant passes by the vandalized locations on a regular basis.
In some cases, graffiti can be linked to specific taggers by examining their handwriting.
A writing for the purpose of the evidence code includes any graffiti consisting of writ-
ten words, insignia, symbols, or any other markings that convey a particular meaning
(§1410.5(a)). A photograph of graffiti may be admitted into evidence for the purpose of prov-
ing that the writing was made by the defendant (§1410.5(b)). When we have a graffiti writing
146 ◾ Matthew O’Deane

sample that we know has been written by our suspect, that writing is called an exemplar,
the sample we will compare to the other unknown incidents of vandalism. Photographs of
graffiti may be admitted into evidence for the purpose of proving that the writing was made
by the defendant (§1410.5(b)), and they should be evaluated by an expert.
We all have different writing styles, and so do taggers and gang members when they
apply their graffiti. Samples of their writing can be obtained when an officer sees a sus-
pect actually do the writing or they can come from graffiti seized from a suspect’s per-
sonal property. The police can compare known graffiti samples in several ways. The key to
studying a tag or a moniker is to study each letter in the word to identify beginning and
ending strokes, as well as the connecting strokes, heights of letters, and slant and spacing
of letters. Look for similar curves. Do they follow the same general direction? Look at the
crowns or caps on letters, the horizontal strokes or curved strokes at the top of the staff of
capital letters. Look for a similar pattern in how each sample is written, the alignment of
the different samples (baseline, headline, and top line in each sample), the proportion of
each letter in the word, the spacing between certain letters in each sample, and how each
letter, if at all, is connected in each sample. Do the slant of the letters in each sample, the
spelling, trademarks such as punctuation and diacritics, and level of skill and ability of
each sample match?

CALIFORNIA EVIDENCE CODE SECTION 720: EXPERT QUALIFICATIONS

A person who is qualified to testify as an expert is one who has special knowledge, skill,
experience, training, or education pertaining to the subject to which his testimony relates.
This knowledge may be shown by any admissible testimony, including the witness’s own
testimony. Qualified law enforcement experts possess great information regarding the
methodology, motivation, psychology, and identification of graffiti vandals. Many officers
have conducted numerous interviews with graffiti vandals and can testify as experts with
regard to the inner workings of tagging crews, gangs, and their actions. This can be espe-
cially useful when prosecuting a graffiti vandal under an aggregation or conspiracy theory.
Further, these experts can be used to explain the significance of evidence seized, such as
graffiti photo books, sketchbooks (notebooks in which graffiti vandals practice their tag-
ging), graffiti tools, items such as clothing containing lettering or initials of crews, or even
pictures of the vandalism.

DAMAGE OR COST EXPERTS AND PROOF OF AMOUNT OF DAMAGES

Many jurisdictions hire private contractors or citizen groups to assist the city with paint-
ing over graffiti, thus putting the city in the shoes of the victim (literally and figuratively as
the city is now absorbing the entire cost of the clean up). Experts can be used to verify the
amount of damages incurred and the cost of repair. Certain penal code sections require
that specific monetary damages be proven as part of the case in chief; hence, these experts
could be vital to successful prosecution. Many public agencies have individuals who can
testify to the costs of repairing or cleaning such items as signs, walls, or vehicles. Often,
 Vandalism ◾ 147

these costs can be greater than one might think; for example, when an overhead freeway
sign is vandalized, the costs to clean it up include costs associated with closing travel lanes,
bringing in the necessary trucks and equipment, and the salaries of the workers assigned
to clean up the graffiti. Many cities or community groups have specific groups charged
with cleaning up graffiti who can testify to the cost of the damage.

ESTABLISHING A LACK OF PERMISSION

Graffiti cases require some evidence that the defendants do not own the property vandal-
ized; a lack of permission is helpful but not critical to such cases. These issues can some-
times be solved easily during a defendant’s interview: “Do you own any of the properties
in the photos I have shown you? Did you have permission from any of these property
owners to tag in any of the locations in these photos? If so, which ones?” Otherwise, it is
necessary to disprove ownership by calling each owner to testify as to their ownership of
the property; in the case of public property, someone has to testify that it is, in fact, public
property. Another alternative is to obtain certified copies of property deeds showing that
the defendant was not the owner of the property at the time of the vandalism.
Vandalism trials can be time intensive; however, juries should come to have a dim view
of taggers when they see how much damage they are causing in their community. One
can argue that, with respect to those specific offenses relating to public property (mainly
§§640.5 and 640.7), the permissive inference language of §594 should control. That lan-
guage currently reads that, “with respect to real property, vehicles, signs, fixtures, or fur-
nishings belonging to any public entity, as defined by §811.2 of the Government Code, and
the Federal Government, it shall be a permissive inference that the person neither owned
the property nor had the permission of the owner to deface, damage, or destroy the prop-
erty.” Lack of permission has been held not to be an element of the offense of vandalism,
the argument being made here that it is the defendant’s burden to prove that he or she had
permission to vandalize property not his or her own.
It must be made clear that permission was not granted; for example, New York State
Penal Law §145.60 states that “no person shall make graffiti of any type on any building,
public or private, or any other property real or personal owned by any person, firm or
corporation or any public agency or instrumentality, without the express permission of the
owner or operator of said property.” Section 30-15-1.1 of the New Mexico Code indicates
that “graffiti consists of intentionally and maliciously defacing any real or personal prop-
erty of another with graffiti or other inscribed material inscribed with ink, paint, spray
paint, crayon, charcoal or the use of any object without the consent or reasonable ground
to believe there is consent of the owner of the property.”

PENALTY FOR VANDALISM

In California, if the amount of defacement, damage, or destruction is $400 or more, van-
dalism is punishable by imprisonment in the state prison or in a county jail not exceeding
one year or by a fine of not more than $10,000; if the amount of defacement, damage, or
148 ◾ Matthew O’Deane

destruction is $10,000 or more, it is punishable by a fine of not more than $50,000 or by

both that fine and imprisonment. If the amount of defacement, damage, or destruction is
less than $400, the vandalism is punishable by imprisonment in a county jail not exceed-
ing one year or by a fine of not more than $1000, or by both that fine and imprisonment.
If the amount of defacement, damage, or destruction is less than $400 and the defendant
has been previously convicted of vandalism or affixing graffiti or other inscribed material
under Sections 594, 594.3, 594.4, 640.6, or 640.7, the vandalism is punishable by imprison-
ment in a county jail for not more than one year or by a fine of not more than $5000, or by
both that fine and imprisonment.
Upon conviction of any person for acts of vandalism consisting of defacing property
with graffiti or other inscribed materials, the court may, in addition to any punishment
imposed under subdivision (b), order the defendant to clean up, repair, or replace the
damaged property himself or herself, or order the defendant, and his or her parents or
guardians, if the defendant is a minor, to keep the damaged property or another specified
property in the community free of graffiti for up to one year. Participation of a parent or
guardian is not required under this subdivision if the court deems this participation to be
detrimental to the defendant, or if the parent or guardian is a single parent who must care
for young children.

RESTITUTION
Restitution is often an issue when a case has been successfully prosecuted. Experts can be
called to testify at a restitution hearing or can be consulted with regard to the amount of
restitution to request. If a minor is personally unable to pay a fine levied for acts prohibited
by this section, the parent of that minor shall be liable for payment of the fine. A court may
waive payment of the fine, or any part thereof, by the parent upon a finding of good cause.
Section 4.24.330 of the Revised Code of Washington states that an adult or emancipated
minor who commits criminal street gang tagging and graffiti under §306 of this act by
causing physical damage to the property of another is liable in addition to actual dam-
ages, for a penalty to the owner in the amount of the value of the damaged property not to
exceed $1000, plus an additional penalty of not less than $100 nor more than $200, plus all
reasonable attorneys’ fees and court costs expended by the owner.

VANDALISM TO DISSUADE WITNESSES

If vandalism is committed to dissuade a witness, violation of California Penal Code §140
may be a viable charge, in addition to the vandalism charge. Such a violation is commit-
ted by every person who willfully takes, damages, or destroys any property of any witness,
victim, or any other person because the witness, victim, or informant had provided any
assistance or information to a law enforcement officer, or to a public prosecutor in a crimi-
nal proceeding or juvenile court proceeding. A violation of Penal Code §140 is punishable
by imprisonment in the county jail not to exceed one year or imprisonment in the state
prison for two, three, or four years.
 Vandalism ◾ 149

CALIFORNIA PENAL CODE SECTION 182:

CONSPIRACY AND AIDING AND ABETTING
A conspiracy is committed when two or more persons conspire to commit any crime (§182(a)
(1)). The prohibition to commit any crime includes municipal ordinances. Many graffiti
offenses are classified as misdemeanors, so the problem of securing adequate sentences com-
mensurate with the damages incurred by graffiti vandals is an ongoing one. If there is suffi-
cient evidence, however, prosecuting graffiti vandals under a conspiracy theory is an option
that can secure a more appropriate sentence. A conviction for conspiracy does not require
completion of the underlying charge. The elements of conspiracy are (1) an agreement to
commit crime, and (2) an overt act done by member of the conspiracy in furtherance of the
agreement. The overt acts must be expressly alleged in the charging document. Further, at
least one of the overt acts alleged must be proven beyond a reasonable doubt to obtain a con-
viction. When conspiracy charges are applied to graffiti vandalism cases, the punishment
would be imprisonment in the state prison or in the county jail, not to exceed one year and/
or a fine. One advantage to charging conspiracy in graffiti cases is that it allows prosecutors
to obtain a felony conviction where otherwise we would have only a misdemeanor. Felony
conspiracy should not be considered when the object of the conspiracy is the commission of
a misdemeanor offense; however, such charges can and should be considered where misde-
meanor charges of graffiti vandalism cannot adequately address the conduct involved.

GANG AND TAGGER PROBATION

When we have done the job of arresting and convicting a tagger or gang member engaged
in vandalism, they can be placed on probation and monitored more closely than other
offenders. As such, conditions of probation can be mandated to help reduce the chance the
offender will commit future vandalism offenses. Following are conditions of probation set
forth by California:

1. ASSOCIATIONS
1a. You shall not associate with any persons known to you to be a member of a
tagging crew. (Especially the tagging crew).
1b. You shall not associate with anyone known to you that tags or does graffiti.
1c. You shall not associate with .
1d. You shall not act in furtherance of, in association with, or for the benefit of any
tagging crew.
1e. You shall not possess any graffiti materials, including, but not limited to, spray
paint cans, tips for spray cans, marker pens, liquid shoe polish, slap tags, or
etching tools, etching cream, acrylic paint, paint sticks, latex/cloth or rubber
gloves.
2. REGISTRATION. You shall register as a gang member. As required by Penal Code
§186.30 et seq., you shall report to the police/sheriff station which has jurisdiction
in the area in which you reside and register within 10 days of the date of this order
150 ◾ Matthew O’Deane

or 10 days from your release from custody and every time you change residence
within the next 5 years. Failure to comply with these registration requirements
during the next 5 years is a crime (California Penal Code §186.33).
3. CURFEW. You shall abide by curfew limits as set by the court or the probation
department. You shall not be outside your residence between the hours of
p.m. and a.m. at any time except as set by the court or probation depart-
ment to accommodate going to and from employment or emergencies or activities
preapproved by the court or probation department.
4. SEARCH AND SEIZURE. You shall submit your person, property, place of resi-
dence, vehicle, and personal effects to search at anytime, with or without a warrant
or reasonable cause, by any probation officer or peace officer per United States v.
Knights, 534 U.S. 112 (2001).
5. TRUE NAME AND ADDRESS. You shall use only your true name and date of
birth when questioned by any peace officer or probation officer at any time. Your
current true address is: .
6. WEAPONS
6a. You shall not own, carry or possess any weapons, including, but not limited to,
knives, firearms, explosives, or ammunition.
6b. You shall surrender all firearms under your control at the date of this order.
6c. Except in the presence of a peace officer, you shall not remain in any building,
vehicle, or in the presence of any person where dangerous or deadly weapons,
firearms, ammunition, or explosives are known by you to exist.
7. SCHOOL. You shall not be on the grounds of any school unless enrolled in that
school or with prior administrative approval.
8. VICTIMS AND WITNESSES. You shall not contact nor come within 100 yards of
any victims or witnesses connected with this case. (Protective orders are attached
to court files and provided to defendants.)
9. LOCATIONS. You shall not come within 100 yards of the following locations:
.
10. CLEAN-UP CONDITIONS
10a. You shall clean up, repair, or replace the damaged property located at
.
10b. You shall keep the property located at free
of graffiti for up to one year at your expense.
11. SUSPENSION of driver’s license pursuant to Vehicle Code §13202.6.
12. WARNING. Penal Code §594.7 mandates incarceration in jail or prison for third
violation of Penal Code §594, regardless of the amount of damage caused, if there
was any previous incarceration for those priors.
13. OTHER. .
14. You shall comply with all terms, conditions of probation, and orders imposed by
the court. You shall obey all laws.
 Vandalism ◾ 151

I HAVE RECEIVED, READ, AND UNDERSTOOD THE ABOVE TERMS AND

CONDITIONS OF PROBATION AND AGREE TO ABIDE BY SAME.

(Signed) (Dated)

CONDITIONS OF PROBATION FOR JUVENILE VANDALS

• Obey all laws. Obey all orders of the Probation Officer and of any court.
• Obey all instructions and orders of Parents/Guardians, Teacher(s), School
Officials.
• Report to the Probation Officer as directed.
• Notify the Probation Officer before changing address, school, school schedule, or
place of employment.
• Seek and maintain training or employment as directed by the Probation Officer.
• Perform hours of work under the supervision of the Probation Officer.
• Attend a school program approved by the Probation Officer. Maintain satisfactory
grades, attendance, and citizenship. Promptly notify Probation Officer of every
absence.
• Do not be within one block of any school ground unless enrolled, attending classes,
on approved school business, or with school official, parent, or guardian.
• Do not leave your residence outside of the specified hours, except with parental
consent.
• Do not stay away from your residence for more than 24 hours, nor leave Los
Angeles County except at times and places specifically permitted in advance by
the Probation Officer.
• Do not associate with co-minors or anyone disapproved of by your parents or the
Probation Officer.
• Do not participate in any type of gang activity.
• Do not have any dangerous or deadly weapon in your possession nor remain in the
presence of any unlawfully armed person.
• Do not contact, or cause any contact with, or associate with the victims or wit-
nesses of any offense alleged against you.
• Do not associate with children except in the presence of a responsible adult.
• Do not drink any alcoholic beverages.
• Cooperate in a plan to control abuse of alcohol, controlled substances, or poisons.
• Do not use or possess narcotics, controlled substances, poisons, or related para-
phernalia; stay away from places where users congregate.
• Do not own, use, or possess an electronic paging device.
• Do not associate with persons known to be users or sellers of narcotics or controlled
substances, except with the prior written permission of the Probation Officer.
• Submit to urinalysis and skin checks as directed by the Probation Officer to detect
the use of narcotics or controlled substances.
152 ◾ Matthew O’Deane

• Submit to testing of blood, breath, or urine to detect the use of alcohol, narcotics,
controlled substances, or poisons whenever requested by any peace officer.
• Submit person, residence, or property under your control to search and seizure at
any time of the day or night by any law enforcement officer with or without a war-
rant (WIC §790.4).
• Cooperate in a plan for psychiatric/psychological testing or treatment.
• Pay fines to the general fund of the county through the Probation Officer in such a
manner as the Probation Officer shall order, in addition to any penalty assessment
and surcharge (Penal Code §1464, Government Code §76000).
• Make reparation on all related losses as determined by the Probation Officer,
including a service charge, as authorized by Welfare and Institutions Code §276.
• Make restitution to the restitution fund.
• Do not drive any motor vehicle.
• Surrender operator’s license to the court clerk, who shall comply with §13352 of
the Vehicle Code.
• If a minor, your parents are ordered, pursuant to WIC §727, to complete ten class
sessions of a parent education program and to file proof of completion with the
Probation Officer.
• Participate in after-school and weekend tutorial, vocational, and recreational
activities as directed by the Probation Officer.
• Participate in the High School Graduate/GED/WIN program and make continu-
ing progress toward completion of high school.
• Do not possess any lighters, matches, or other incendiary devices. Do not possess
any spray cans, markers, or other marking devices.

QUESTIONS FOR DISCUSSION

1. What is the primary reason why a tagger would write on a wall?
2. What does the term “tagger” mean and where did it come from?
3. Define graffiti.
4. What laws do you have in your area designed to hold taggers responsible for their
actions?
5. What is the benefit of cleaning graffiti from a community as quickly as possible?
6. What should be done before graffiti is removed?
7. Why should we remove graffiti?
8. What do you think is the primary reason why a gang member writes graffiti?

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Crime and Justice: A Review of Research (pp. 39–78). Chicago, IL: The University of Chicago
Press.
Thrasher, F. M. (1927/1963). The Gang: A Study of 1,313 Gangs in Chicago. Chicago, IL: University
of Chicago Press.
Wilson, C.R. (1997). What’s in a Name? Gang Monikers. FBI Law Enforcement Bulletin, 66(5):14–17.
Wilson, P. (1988). Preventing Vandalism and Graffiti. Journal of Security Administration,
11(2):28–29.
 Chapter 9

Larceny and Burglary

Walter J. Wywadis
Topeka, Kansas, Police Department

CHAPTER OBJECTIVES
After reading this chapter, you should be able to do the following:

1. Describe the investigative processes for larceny and burglary crimes.

2. Explain crime prevention techniques used to deter property crimes.
3. Identify the importance of physical evidence in criminal investigations.
4. Describe the importance of community policing in law enforcement.
5. Define the importance of quality-of-life issues within communities.

Chapter Outline
• Introduction
• Larceny
• Burglary
• By the Numbers
• Preliminary Investigative Techniques
• Follow-Up Investigation
• Offender Characteristics
• Shoplifting
• Prevention Techniques

INTRODUCTION
The crimes of larceny and burglary are offenses considered by most large law enforce-
ment agencies to be low-profile investigations. Depending on the size of the community
and law enforcement agency, many times the cost of investigations and prosecutions
outweighs what prosecutors believe to be the severity of the crime. Agencies aim con-
siderable resources toward investigating major crimes such as robbery, assaults, rapes,
155
156 ◾ Walter J. Wywadis

and homicides. In medium and smaller agencies that do not experience numerous major
crimes, these investigations are more of a priority because burglary and larceny crimes
are the most likely to touch members of the community. These crimes normally do not
rate front-page headlines in today’s media, and some investigators consider investigating
these crimes as less than glorious assignments. Larceny and burglary crimes are catego-
rized together under the umbrella term of property crimes for statistical purposes. Law
enforcement agencies organize investigative units or squads in this same fashion to inves-
tigate property crimes. This allows for improved communication among squad members
through sharing of information gathered and assisting one another in case investigations.
Investigating larceny and burglary can be satisfying with the proper training, knowledge,
and mindset. This domain of investigations can offer a wonderful opportunity for investi-
gators to learn the techniques and develop the skills necessary to solve major crimes.

LARCENY
The crime of larceny is the same as theft. Many jurisdictions list one or the other as offenses.
Each state has different levels of classification based on specific dollar amounts to distin-
guish between a felony and a misdemeanor offense. By definition, the act of larceny or theft
is the unlawful taking of property from another or exerting control over the property by
possessing it without the authority to do so. Examples of these offenses include shoplift-
ing and pocket picking, and acts of larceny or theft are generally associated with the act
of burglary. Variations of laws enacted by different state, counties, or municipalities may
specifically address the theft of gas, theft of services, and theft by deception. Motor vehicle
theft has its own classification and is separate from general larceny/theft in most agencies.

BURGLARY
The crime of burglary consists of unlawfully entering or attempting to enter the property
of another with the intent to commit a felony or larceny with or without force. The property
can be a fixed structure, vehicle, or boat. For charging purposes, no distinction is made
among these structure types, although in many jurisdictions this information is usually
designated on the original offense reports filed by officers. Burglaries represent one of the
most common crimes to which officers respond. Both residential and business burglaries
require the same investigative techniques.

RESIDENTIAL BURGLARY
Usually residential burglary occurs while the residents are away, often during daylight
hours. The perpetrator will most often look for an open or easy entrance that would involve
the least amount of effort or noise. Targets are usually small items such as jewelry, cash, or
anything of value that can be easily carried away. Occasionally, a burglar enters a residence
when the owner is home, usually by mistake. State law normally classifies this type of bur-
glary as aggravated burglary.
 Larceny and Burglary ◾ 157

10,400,000

10,300,000

Estimated number of offenses

10,200,000

10,100,000

10,000,000

9,900,000

9,800,000

9,700,000
2004 2005 2006 2007 2008

FIGURE 9.1 Property crime offenses, 5-year trend from 2004 to 2008. (From FBI, 2008
Crime in the United States: Property Crime, Federal Bureau of Investigation, Washington,
D.C., 2009.)

NON-RESIDENTIAL BURGLARY
Burglaries to businesses generally occur at night when the businesses are closed. Most
often, cash registers or safes small enough to be removed are the targets, along with what-
ever items a business might offer that are of interest to the suspect. Entry is normally a
“smash and grab,” accomplished in a very short time frame, unless the suspect knows the
business is not protected by alarms or cameras. The more professional or organized burglar
may enter the business through the roof by cutting a hole and dropping in, by using heater
or air conditioning vents, or by punching a hole through an exterior wall.

BY THE NUMBERS
According to the 2008 FBI Uniform Crime Reporting (UCR) program, property crime
includes the offenses of burglary, larceny/theft, motor vehicle theft, and arson. There were
an estimated 9,767,915 property crime offenses in the United States in 2008 (Figure 9.1).
The estimated rate of property crimes was 3212.5 offenses per 100,000 inhabitants. An esti-
mated $17.2 billion in losses resulted from property crimes in 2008 (FBI, 2009a). In 2008,
an estimated 2,222,196 burglaries were committed, and burglary accounted for 22.7% of
the estimated number of property crimes that year. Burglaries of residential properties
accounted for 70.3% of all burglaries. Victims of burglary offenses suffered an estimated
$4.6 billion in lost property, and overall the average dollar loss per burglary offense was
$2079 (FBI, 2009b). The FBI also reported that an estimated 6.6 million acts of larceny or
theft occurred nationwide in 2008; they accounted for an estimated 67.5% of all property
crimes that year. The average value of property taken during an act of larceny or theft was
$925 per offense. Applying the average value to the estimated number of larcenies and
thefts, the loss to victims nationally was nearly $6.1 billion (FBI, 2009c).
158 ◾ Walter J. Wywadis

Pocket-picking 0.4%

From coin-operated machines 0.4%

Purse-snatching 0.5%

Bicycles 3.4%

Motor vehicle accessories 9.8%

All others
31.9%
From buildings
11.4%

Shoplifting
16.2%
From motor vehicles
(except accessories)
26.0%

FIGURE 9.2 Larceny–theft, percent distribution in 2008. (From FBI, 2008 Crime in the
United States: Larceny–Theft, Federal Bureau of Investigation, Washington, D.C., 2009.)

Although property crimes showed a decease from 2004 through 2008, due to aggres-
sive prosecutions, proactive enforcement, and prevention programs, the estimated num-
bers reported to the FBI for larceny or theft and burglary still represent big business. The
criminal element of American society will continue committing these crimes unless law
enforcement, the community, and courts intervene and arrest, convict, or rehabilitate
repeat offenders. These crimes and the criminals who perpetrate them lower the quality of
life for all citizens within the communities they live. Citizens should not have to be afraid
to go to work or school or participate in recreational activities for fear of returning home
violated. Distributions of the direct costs associated with these crimes reflect themselves
through higher costs of insurance, uncollected taxes, and higher prices at retail businesses.
These crimes are far more startling when the data are analyzed at the national rather than
at a local level (see Figure 9.2). Keep in mind that these figures represent just two types of
crimes being committed nationwide.
By now, you are likely wondering what law enforcement, courts, and probation and parole
officers are doing about this widespread epidemic of crime. Nationwide arrests reported by
the FBI during 2008 totaled 1,687,345, or 565.2 per 100,000 inhabitants. Arrests for prop-
erty crimes increased 5.6% in 2008 as compared to 2007 (FBI, 2009d). The FBI has pub-
lished a report on 10-year arrest trends in which it compares 1999 to 2008 (FBI, 2009e,f):
 Larceny and Burglary ◾ 159

• 2008 nationwide burglary arrest data

• Adult males accounted for 157,341 burglary arrests.
• Juvenile (under 18 years old) males accounted for 43,702 arrests.
• Adult females were arrested 29,055 times.
• Juvenile females were arrested 6713 times.
• 2008 arrests for burglary by race
• 157,252 Caucasians were arrested (66.8%).
• 73,960 Blacks were arrested (31.4%).
• 2077 American Indian or Alaskan natives were arrested (0.9%).
• 2118 Asian or Pacific Islanders were arrested (0.9%).
• 2008 nationwide larceny/theft arrest data
• Adult males accounted for 431,212 larceny/theft arrests.
• Juvenile (under 18 years old) males accounted for 105,099 arrests.
• Adult females were arrested 308,011 times.
• Juvenile (under 18 years old) females were arrested 80,799 times.
• 2008 arrests for larceny/theft by race
• 666,360 Caucasians were arrested (68.1%).
• 286,844 Blacks were arrested (29.3%).
• 12,684 American Indian or Alaskan natives were arrested (1.3%).
• 13,257 Asian or Pacific Islanders were arrested (1.4%).

As if these statistics are not alarming enough, to get a better grasp of the totality of these
crimes keep in mind that not all law enforcement agencies throughout the United States
report to the FBI Uniform Crime Reporting system. Many smaller jurisdictions choose not
to be reporting agencies; therefore, an unknown additional number of crimes and arrests
are not reported to the FBI.

PRELIMINARY INVESTIGATIVE TECHNIQUES

How a preliminary investigation proceeds in response to an incident depends on a number
of factors. The size of the law enforcement agency, its budget, and community expecta-
tions govern most of the decisions, dictating how many and what kind of resources are
expended. Budgetary constraints have forced agencies to examine internal policies defining
how they will respond to criminal incidents. Many agencies have had to reduce positions,
cut budgets, and redistrict patrol territories to maintain equal coverage of municipalities
and cities. Even if an agency has implemented changes and adjusted its responses, many
times political pressure or interference causes new procedures to be overridden to address
pressure applied by the public. Many law enforcement agencies gauge their responses by
the amount of loss reported. Whatever the size of the agency and political environment of
the community, some basic techniques determine the success or failures of investigations.
Generally, the first responding officer is the most important part of any investigation.
The actions taken when the officer arrives on the scene are of utmost importance, whether
they are from a smaller department where officers process their own crime scenes or are
160 ◾ Walter J. Wywadis

from a larger department that has specialists to respond to particular types of crime scenes.
An important thing to remember is that the first responding officers have overall respon-
sibility and are in charge of making decisions regarding the crime scene and investigation
until a senior officer or a ranking supervisor relieves them.
Officers should approach the scene in an organized fashion and treat every scene as if
the crime has just occurred and the suspect may still be there until it is determined that it is
a past crime and the scene is cleared. If the residents or owners have been within the crime
scene, the officer should take an organized approach when meeting with them.
Here is a great example of the need to treat every call as if the suspect was still there.
I used to be a K-9 officer working the night shift. On this particular night in the early
morning hours, dispatch sent me to a call of aggravated burglary. The suspect entered the
residence by way of a back entry door to a garage, and the victim confronted him. The sus-
pect then ran from the residence. The first responding officer arrived at the scene, walked
around the outside, and did not observe the suspect; he advised me to disregard the call,
stating, “The suspect is gone.” Because I was only a couple of blocks away, I responded to
the scene anyway. Upon arrival, I walked up to the officer and asked where the suspect
had been. The officer took me to the open door that the suspect kicked in to gain entry. I
decided to use my K-9 partner for the heck of it. Upon giving him the command to “smell
find,” my K-9 left the doorway and immediately began pulling me across the back of the
house and around the corner, ultimately going under a low-lying evergreen bush 20 feet
from the doorway. Thinking my K-9 was tracking a cat or a rabbit, I restarted my partner
at the doorway again. The K-9 trailed to the same bush. I then pulled him back and he
immediately went back under the bush. This time when I pulled him back, he had a shoe in
his mouth! Checking closer, I found the suspect lying under the bush right up next to the
house he had just broken into. As stated previously, treat all burglary calls as if they had
just occurred and the suspect is still there until determined otherwise.
Upon making contact, a good immediate approach is to advise victims not to touch or
move anything, and take reasonable precautions in protecting the integrity of the scene and
any evidence. Remove the victims from the scene, which removes them from the tempta-
tion to clean up. If possible, interview the victims at another location outside of the crime
scene. Countless times in the author’s experience, the residents or owners cannot resist
moving items or picking items up that were moved, eradicating possible evidence while in
the presence of the interviewing officers. This is human nature. The victims are violated,
and they want normalcy to return as soon as possible in their lives. Officers should be
firm but gentle in dealing with the emotions of the victims and go well beyond normal
expectations in explaining the process of gathering evidence to accomplish a successful
investigation. In my experience, this area is one of the biggest challenges for first respond-
ing officers.
Officers should keep in mind that victims have had their minds clouded by the media
through unrealistic television shows that portray one tiny hair or drop of blood evidence
being able to clear cases by the end of a hour-long show. The victim is the most impor-
tant aspect of any investigation. Taking time to explain processes and providing a realistic
timeline can go a very long way in helping the victim process this traumatic experience.
 Larceny and Burglary ◾ 161

THE CRIME SCENE

The officer should make a determination concerning securing the crime scene area out-
side around the building or residence to search for possible evidence. Several things must
occur if the decision is made to secure the area outside. Officers need to make sure the area
secured is large enough to cover the entire area believed to be the crime scene, which can
be determined by interviewing the victims and witnesses at the scene. It is far better to
secure too much rather than not enough area, and later it can be difficult to get evidence
found outside the crime scene area entered in court as evidence. This can be an uphill bat-
tle, and many times evidence, no matter how important it is to the case, may be excluded
by the courts because it was recovered from an unprotected area. Officers should keep in
mind that often a case hinges on physical evidence and its integrity during the collection
processes, as often it is the only link to a suspect. This is especially important any time you
are operating with a search warrant to give you legal access.
The rule of thumb that I have always gone by is to take the biggest possible area and later,
when the search is completed, reduce it down; resources such as additional officers can be
relieved and allowed to return to normal duties. When possible, station as many additional
officers as it takes outside and around the perimeter of the crime scene and cordon off the
area with crime scene tape.
The officer in charge outside at this time should start a crime scene log and note infor-
mation on all persons who enter, being sure to log who enters, at what time and for what
reason, and when they leave. The outside area of the business or residence is the first area
processed for evidence, as it poses the greatest risk for lost evidence or possible contamina-
tion of evidence. An important rule to remember in all crime scenes is that everyone who
enters or leaves a crime scene will either deposit something or take something with them.
This emphasizes the importance of limiting the amount of foot traffic and the number of
people who enter a crime scene.
A big problem at just about every law enforcement agency is the number of officers that
will show up at a major crime scene and want to enter it. Usually, initiating a crime scene log
will cut down on the number of these people entering. Rather than entering, they instead
will hang around the outside to avoid having their names appear on the crime scene log
and later explaining in court why they entered. In addition to having officers at the scene,
natural causes, such as weather, can also contribute to a loss of critical evidence.
All points of entry and any possible points of entry may contain evidence to process. It is
important to remember that many times a suspect will attempt several points of entry in an
effort to find the best entry point that requires the least amount of effort. Suspects will try all
doors and windows before deciding to break a window or enter a door by kicking or prying,
potentially drawing attention to their activities. In most burglaries, physical evidence found
at the point of entry is best. This is where the suspect will spend most of his or her time.
When the outside scene and the point of entry have been processed, the officer should
take the time to walk through the crime scene with the victim to obtain knowledge of all
items moved or handled. Many times, suspects bring items into a crime scene that they
inadvertently leave, such as tools, gloves, hats, or even their wallets.
162 ◾ Walter J. Wywadis

DEVELOPING EVIDENCE

In any crime scene, everything should be considered evidence until it is determined other-
wise! Too often, items that have been disregarded at the scene as evidence have later been
determined during interviews to be important evidence. When dealing with a crime scene
and documenting evidence, there is one point I cannot stress enough: pictures, pictures,
and more pictures! You can never take too many photographs. Photographs are inexpen-
sive and can be discarded from the case file when it is determined that they are not needed.
With today’s digital media cameras, it is easy and extremely worthwhile to fill as many
disks with photographs as necessary. Later, while reviewing these images with prosecu-
tors, pictures can be eliminated as candidates for courtroom presentation. Take pictures
of evidence collected, footprints, fingerprints, items moved, overall rooms, points of entry,
and outside scenes around the building. The old saying that “a picture is worth a thousand
words” has applied many times in court proceedings I have been involved in. Pictures
often save time on the stand in testimony and give a very accurate depiction of the scene to
jurors. Here are some reminders to remember when processing crime scenes:

• Fingerprints are the standard evidence being sought; they are obtained by dusting
areas such as the point of entry and all items that have been moved or touched.
• Also important are photographs and cast impressions of footprints outside, around
the building, on doors kicked open, and within the business or residence on floor
surfaces.
• The suspect may have tracked in mud or dirt after entering. Many times these tracks
inside can help determine the point of entry and potential avenues of escape.
• Blood may be found at crime scenes from suspects who have cut themselves enter-
ing or exiting. Possible comparisons through DNA and blood typing later can
positively identify or exonerate a suspect.
• When a broken window is the point of entry, fibers from clothing, blood, and skin
often are present and can be collected for comparisons. If no blood is found at the
point of entry and within the business or residence, do not overlook the possibility
that fibers are present. The suspect’s clothing may have gotten snagged. Check the
point of entry carefully for this type of physical evidence and collect it for future
comparisons.
• Develop toolmark impressions from the point of entry if a door or window has
been pried open. These impressions can later be compared to a tool or implement
found at the scene, at another location, or on the suspect.
• Suspects apprehended soon after an incident may still be wearing the same
clothes.

Again, think glass, dirt, blood, shoes, and fibers.

Never underestimate the value of the suspect’s person for obtaining physical evidence.
When I was interviewing a suspect at police headquarters I saw a glitter under the room
lights in his hair. After obtaining a flashlight and looking much closer, the glitter in his hair
 Larceny and Burglary ◾ 163

was actual glass fragments! These glass fragments were also on his pants and in the cuffs of
his pants, and they matched the type of glass from the broken window at the crime scene
point of entry.
A neighborhood canvass should be performed before any crime scene investigation is
complete to gain additional witness information. Many times, these canvasses reap enor-
mous additional evidence. Maybe a vehicle was observed parked in an unusual place, or
someone was observed in the area. From this new information, additional areas might
possibly be pinpointed and searched for evidence, or a description of the possible suspect
or their vehicle can be developed. The canvass is sometimes referred to as a door-to-door
“knock and talk.” Officers identify everyone contacted and document their observations.
Finally, before any crime scene is released a final walk-through should be done to ensure
that nothing has been missed or forgotten. This is the final chance for investigators to
review the scene before releasing it to the victim.
Any officer who was involved, no matter how minor the involvement, should assemble a
complete and accurate report. Many times during court proceedings, attorneys will attempt
to discredit the investigation because an officer did not document one small particular
aspect of the case investigation. If the first responding officer, crime scene technician, or
investigator approaches the preliminary investigation in an organized fashion to obtain as
much information as possible from the victim and thoroughly processes the crime scene
for as much physical evidence as possible, the case is well on the way to answering the who,
what, where, when, why, and how of the crime.

FOLLOW-UP INVESTIGATION
After the initial reports are completed, the case is typically sent to the Criminal Investigative
Division (CID) for preliminary review. During the supervisor review process, the reports
and the evidence are considered in combination with solvability factors. If the case meets
these factors, an investigator is assigned the case. If the case does not meet these solvability
criteria, it is logged for informational purposes; if additional information develops with
regard to the case, it will be assigned. Some law enforcement agencies assign these cases as
“in-house” assignments.
An investigator has the specific duty to review the case, make contact with the vic-
tim, and gather any additional information that they may have regarding the case. If no
new information develops to raise the solvability factors, the case will remain logged and
filed. This concept also fulfills the community expectation of follow-up on all cases. Each
law enforcement agency applies its own procedures and criteria during the review process
based on the size of the agency, budgetary guidelines, and community expectations.
During the follow-up investigation, it is imperative for the officer or investigator to
review all reports and evidence gathered and documented, as well as the preliminary
statements of the victims and witnesses. After review, the follow-up investigation usually
begins by contacting the victim. This contact may clarify facts originally reported or help
determine if any information not originally reported during the initial interview can move
the investigation forward. Often, victims talk with neighbors, who will tell them things
164 ◾ Walter J. Wywadis

that they would not tell officers during the neighborhood canvass for fear of involvement or
reprisal. When this happens, it gives the case investigator a reason to contact the neighbors
again. In some cases, examination of the victim’s background may be necessary to confirm
or deny the victim as a possible suspect; for example, if victims have a history of making
large insurance claims, insurance company investigators will communicate their suspi-
cions to law enforcement agencies when such losses are reported. Insurance investigators
then work in conjunction with law enforcement to help resolve the claim. In any event, the
investigator should always look at the background of the victim during the follow-up phase
of the investigation to rule out that he or she is a professional victim reaping the proceeds
of insurance fraud.
If there are no known potential suspects, the follow-up investigation will entail devel-
oping potential suspects by examining intelligence networks within the agency and other
area agencies with similar types of burglaries. Considered are the specific types of items
taken, similar points of entry, the use of similar tools for prying, the presence of similar
size and pattern of footprints, similar days of week or time of day, and locations of the
incidents. This type of crime comparison is termed a crime analysis; it examines all the
characteristics of the crime and compares them to those of crimes that have occurred prior
to this case. Often, these similarities uncover a pattern or crime hot spot within the com-
munity that law enforcement can use in predicting future occurrences. Sharing this kind
of information with other officers provides the opportunity to implement strategies such
as a stake out in an attempt to catch the suspect in the act.
The Topeka Police Department is one of many law enforcement agencies utilizing
CompStat (comparative statistics) meetings, which involve command staff of the agency
discussing statistics and developing crime strategies to deal with reported crime. They meet
once a week to examine two questions: (1) Where is crime happening? and (2) What are we
doing about it? A vital part of this program is the crime analysis unit, whose responsibilities
are to review all crimes reported and provide weekly updates on crime statistics, including
individual crime categories, crime patterns, and developing trends. This process is referred
to as intelligence-led policing, and it allows agencies to target high-crime areas, concentrat-
ing resources to reap the most benefit in crime reduction and apprehension. It also allows
agencies to be proactive in target hardening neighborhoods and businesses by contacting
them when discovered trends surface. The analysis area of law enforcement has made sig-
nificant advances; analysts can predict crime patterns based on the statistics available and
can estimate rates of reduction or escalation in crime rates. Gone are the days of agencies
just sending police units out and randomly patrolling areas of a city and occasionally dis-
covering or deterring crime.
Investigators can develop suspect pools because they normally have a stable of infor-
mants who can provide information about current thieves that might be active. This is
sometimes risky, as many times informants will tell investigators what they want to hear
just so they can get paid, or they may want to make a deal. Often the informants themselves
may be the suspects, or they may give information on others to cut down on their competi-
tion. Information gained through informants must be confirmed before taking action.
 Larceny and Burglary ◾ 165

Another approach to solving theft cases is to try to track the items taken. Every town
has pawn shops or flea markets that buy items from the street and resell them. Countless
times, I have gone into shops such as these and identified an item previously reported sto-
len. Reputable businesses will have information on file about the people from whom they
have bought items. Once identification of an item is made, a hold can be placed on it until
the victim has been notified. Usually the victim has the option of buying back the personal
belonging for the price paid at the business. The author has investigated many cases where,
although it was not possible to identify the suspects for prosecution, at least it was possible
to make the victims happy by locating their stolen items. Also, getting information about
stolen items out to these businesses and informants makes them aware of the items that
were stolen, and they can report back to investigators about who is attempting to sell simi-
lar items. Case investigators then follow up on this information.
Most agencies have an affiliation with a Crime Stoppers type of program, which accepts
anonymous tips on crimes, or an investigator can use the local media to get information of
the crime out to the public, requesting that anyone with information contact the agency.
This type of information sharing has solved cases and led to search warrants and the recov-
ery of stolen property.
No one should know the case better than the suspect and the assigned case investigator.
Investigators need to use this information to their advantage at all times. When investi-
gators meet with and interview potential suspects, it is not unusual for comments made
during these interviews to indicate that those being interviewed might know more about
a case than they are letting on. At this point, investigators must decide whether the case
can be solved without a confession. If the investigator has no physical evidence, it is time to
regroup and work toward possible recovery of the stolen items. Countless times, when the
author has asked potential suspects for written consent to search their property without
a search warrant, they have given their consent in an attempt to continue to claim their
innocence, even though they know the property is at their residence. They tempt fate by
thinking it will not be found by investigators. Finding stolen items gives investigators more
leverage to use during further interviews.
Earlier in the chapter, the importance of thoroughly processing the crime scene was
explained. If the crime scene was thoroughly processed and hair, blood, fingerprints, or
fibers were found and collected as evidence, the investigator can apply for a search warrant
for the person of the suspect for blood, spit, hair, and fingerprints to compare to what was
collected at the scene. If the investigator is lucky, the suspect already may have fingerprints
on file somewhere from a previous arrest. It is always a good tactic to give suspects the
opportunity to comply with a consensual waiver to confirm whether they are willing to
cooperate and allow this personal physical evidence to be gathered without a search war-
rant. This allows investigators to keep the lines of communication open and helps gain the
trust of suspects. If they refuse, use a search warrant as a last resort. I have always found
it a best practice to give the suspect the opportunity to comply with a request for all of the
items. The investigator is now on his or her way to positively identifying or eliminating a
suspect to the crime. All of the items should be sent to a crime lab for comparisons.
166 ◾ Walter J. Wywadis

If there are any possible eyewitnesses who may have seen the suspect, a photo line-up
should be prepared and shown to the witnesses for possible identification. Photo line-ups
are currently under scrutiny because of the number of reported incorrect identifications.
Each agency will have guidelines regarding photo line-ups. If they are used, they should
consist of six similar photos that include one of the possible suspect. Most recent sugges-
tions are to have an investigator not directly involved in the case show the line-up. No sug-
gestions should be given to the witnesses that a suspect has been placed under arrest, and
witnesses should be strongly advised not to make a positive identification if they are not
100% positive. In a best-case scenario, a positive identification will be made and physical
evidence recovered at the scene that positively matches to the potential suspect. Along with
the stolen items recovered from the suspect’s residence or vehicle, you now have a prosecut-
able case! This is why it is so important for the first officer responding to the scene to pay
attention to proper crime scene processing, for reports to be complete and accurate, and
for interviews to be conducted.

OFFENDER CHARACTERISTICS
The reasons why burglars and thieves do what they do are as varied as their methods of
operation (MOs), or how they commit the crimes. Much published literature has suggested
that these crimes are fueled by drug addiction, because addicts need a constant supply
of funds to purchase drugs. I believe that this theory does have some validity but does
not totally explain the burglary and theft problem. Generally, economic conditions of any
community are a significant factor. A high rate of unemployment can have a strong bear-
ing on the amount of crime within and around a community. Security precautions within
a community can also influence the ability of criminals to locate easy targets. Sometimes
people just take things because of an overwhelming desire to have them at no cost.
We have all seen the television version of professional burglars. Usually dressed in dark
clothing, masked, gloved, and sneaking in the dark, they carry a bag of goodies used to
pick locks; they are able to overcome the best alarm systems and likely have a dark getaway
vehicle parked down the block. Some burglars do, indeed, match this description, and they
go to great extremes to remain undetected. Usually these professionals do not enter homes
unless they suspect great wealth lies within. They generally target businesses to try to get
the biggest haul for the least amount of effort; the hauls are often in the form of cash from
safes and targeted big-ticket items within the business. These organized burglary offenses
are generally not detected until the victim returns home or someone reports to work at
the business the next day, because the entry points are well thought out, such as rooftops
that officers do not have the ability to check during patrol activities. These criminals are
usually caught only when they get overconfident and sloppy. Police generally do not catch
these types because they make their haul and move down the road to another city; they are
transient in nature.
Serial burglars target and watch potential victims for long periods until they learn their
usual routines. They often follow victims while they are going about their daily activities.
These burglars may break into homes for the psychological thrill or sexual satisfaction.
 Larceny and Burglary ◾ 167

They tend to take small personal items, such as underwear, jewelry, or pictures of the vic-
tim so they can relive the moment later. This type of criminal may advance to breaking
into homes while the residents are home or to sexual crimes such as rape. These partic-
ular criminals are difficult to catch, and it normally takes many hours to pattern these
suspects.
Most often local police spend a great deal of time chasing around unorganized burglars
and thieves, who do some general targeting of homes and businesses looking for likely
targets. These unorganized criminals will also target friends and family in their quest for
money. Drug addicts generally fall into this category, as do juveniles. Their crimes normally
consist of “smash and grabs” at businesses to take whatever items strike their fancy, along
with any cash found. They also often graduate, if undetected, to prying open doors, kick-
ing doors, and smashing windows at residences. These suspects target jewelry, cash, guns,
tools, electronics, and generally anything they think that they can sell for cash. Juveniles
have a tendency to target electronics and many times eat while they are in the residence.
A simple theory that explains how crime occurs proposes that, first, there must be a
motivated offender; second, the offender must find a suitable target worth the effort; and,
third, there must be minimal chance of apprehension. This theory certainly lends itself
to burglars being viewed as “optimal foragers” (Johnson and Bowers, 2004). The optimal
foraging theory suggests that, when predatory animals select hunting areas and prey, they
optimize their rewards by weighing the nutritional value of the potential prey against the
effort and risk involved in obtaining it. Similarly, burglars maximize their revenues by
selecting neighborhoods and dwellings that require little effort to enter, contain valuable
items, and give the impression that the likelihood of being apprehended is low.

SHOPLIFTING
Shoplifting costs businesses millions of dollars every year. Consumers have to absorb the
added costs passed on in the form of higher prices due to shrinkage, and countless tax dol-
lars are not collected by local and state governments. Shoplifters may be any age or gender,
from any economic or ethnic background. They can be classified as either organized or
unorganized. Shoplifters are the ultimate opportunists, taking advantage of heavy cus-
tomer traffic times, employee shift changes, and opening and closing times. Generally,
the most important aspect in successfully carrying out this crime is the ability to conceal
the item on their person or within other packages or bags. They wear baggy clothing or
heavy clothing in warm weather, or they carry bags or purses that are larger than aver-
age. Organized teams distract customers and employees while others are concealing items.
Price tag switching or altering is a tactic used to pay an unreasonably low price for an item.
Bernice Yeung (2010) wrote, “U.S. retail thefts are becoming a big moneymaker for orga-
nized crime—pulling in as much as $10 billion a year.” This article was based on the arrests
of a 21-member theft ring located in Georgia. They allegedly were paid $100 to $300 a day
to steal cans of baby formula for eventual resale in the black market. This theft ring is part
of the rising trend of organized retail crime (ORC). There are currently four bills before
Congress in an effort to battle these crimes and theft rings.
168 ◾ Walter J. Wywadis

PREVENTION TECHNIQUES
The best intentioned crime prevention initiatives cannot be successful without community
support. This premise is primarily based on the philosophy of Sir Robert Peel, known as
the father of modern-day policing. Peel observed that, “The police are the public and the
public are the police.” Think about it. Police acquire their authority from laws approved
and determined by the public. The public decides what types of laws need to be enforced.
Police agencies use public funding to provide equipment for officers and to pay wages. A
law enforcement agency is useless without public trust. Thus, the public are the police, and
police officers are members of the public who choose to be paid. Many of the most success-
ful crime prevention programs are community based. Debate about the benefits of com-
munity policing has gone on for years, but, undeniably, many of today’s crime prevention
programs are based on facets of community policing. The basic definition of community
policing varies but its methodology is unmistakable: “The police designate a community
in which they will engage in problem solving, develop relationships with the population,
collaborate with them to diagnose problems that have generalized impact, prescribe and
implement interventions to solve the problems and continuously monitor the results”
(Flynn, 1998).

SAFE STREETS
These concepts are the basis for the Safe Streets organization. Safe Streets’ mission involves
organizing neighborhoods and communities for action, developing leadership among
youths and adults, and bringing community and strategic partners together on specific
problems or opportunities relevant to building safe communities (Safe Streets, 2011). The
organization operates based on the following premises:

• The best crime prevention tool is a good neighbor.

• Joint efforts are more effective than individual ones.
• There are more citizens than there are law enforcement agents.
• Citizens can be an extension of law enforcement’s eyes and ears.
• Citizens provide a vast resource pool.

Safe Streets also incorporates and supports the development of neighborhood improvement
associations (NIAs). Neighbors work together and organize activities as ways to improve
their quality of life, developing alliances to work together in determining community issues
and working with the local police to effect change. Some neighborhoods develop groups
such as Citizens on Patrol that assist law enforcement in patrolling neighborhoods and
contact them when suspicious activity is found. Others work on quality-of-life issues, such
as cleaning up neighborhoods. Studies have shown that in neighborhoods that appear to be
cared for (e.g., less trash, fewer run-down homes) crime is lower, because cared-for neigh-
borhoods suggest neighborhood involvement. Involvement equals greater opportunities
for detecting crime, thus making criminals move on to less cared for neighborhoods.
 Larceny and Burglary ◾ 169

CRIME STOPPERS
Crime Stoppers is a nonprofit, community-based organization designed to assist law
enforcement in reducing and solving crime. It offers cash rewards to anyone who calls in
anonymously and gives useful information that leads to solving a crime. Crime Stoppers
is based on the principle that “someone other than the criminal has information that can
solve a crime,” and it was created to combat three major problems faced by law enforce-
ment in generating information: fear of reprisal, apathy, and reluctance to get involved
(Crime Stoppers USA, 2011).

CRIME PREVENTION THROUGH ENVIRONMENTAL DESIGN

Taking into consideration the characteristics of burglars and thieves—seeking opportu-
nistic targets, desiring to conceal themselves, and drawing the least amount of attention
to themselves while plying their trade—many communities are making themselves less
attractive targets by adopting Crime Prevention Through Environmental Design (CPTED).
This crime prevention technique is based on the theory that the proper design of buildings
can lead to reductions in crime and improve the quality of life. CPTED employs three
basic principles: (1) natural surveillance, by creating spaces in such a way as to maximize
visibility and foster positive social interaction among residents; (2) natural access control,
by limiting access and increasing surveillance through the selection of entrances, exits,
fencing, lighting, and landscaping; and (3) natural territorial reinforcement, by creating a
sense of ownership and space. CPTED strategies incorporated in both new buildings and
existing structures can improve crime prevention. Ideally, a community can implement
this concept and mandate its integration in all new builds within a community.

COMMUNITY PARTNERSHIPS
Communities and law enforcement can initiate and implement community partnership
strategies designed to prevent and reduce crime. Several years ago, the Topeka Police
Department embarked on such a program with the local Safe Streets organization to
become the Safest Capital City in America Program (with a population of 100,000 and
over). The vision of this program is to compare crime statistics of cities of similar size
and become the safest city with the least amount of crime reported in the national rank-
ing. Through this program, several crime reduction initiatives have been undertaken. One
such program is Lock It, Remove It, or Lose It. The city of Topeka was experiencing a
large number of vehicle burglaries, and this program was developed to remind citizens to
remove valuable items from their cars and make their cars less appealing to burglars. Since
2007, Topeka has experienced a 21% overall drop in crimes reported, including theft from
vehicles. In 2009, Topeka had 452 fewer thefts reported than in the prior year.
Another program instituted to work in conjunction with Lock It, Remove It, or Lose
It is a theft deterrence and recovery program called Record It, Report It, and Recover It.
This program encourages citizens to inventory their valuables and record the identification
170 ◾ Walter J. Wywadis

numbers. In addition, the program introduced citizens to invisible markers that could be
used to mark these items with personal identification numbers (e.g., driver’s license num-
ber). The marker is not visible until it is held under blue light. The markers are made avail-
able to the public through the Topeka Police Department, neighborhood improvement
associations, and local pawn shops. This program allows citizens to identify personal items
that have been stolen and can assist in the recovery of them.
Citizens themselves can take actions to make their homes less appealing to burglars and
thieves:

• Install outdoor lighting.

• Remove vegetation close to a residence that may be used to conceal someone,
and do not plant shrubs or bushes below windows that could conceal intruders
attempting to enter a home.
• Install audible alarms that draw attention when activated.
• Install good-quality deadbolt locks on all exterior doors.
• Cut up boxes that contained expensive purchased items and deposit them in trash
receptacles to avoid advertising these purchases to anyone who passes by.
• On trash pickup day, bring the curbside trash receptacle in as soon as possible after
pickup to avoid the appearance that no one is home.
• Pick up mail and newspapers daily; when out of town, have a neighbor retrieve
them.
• Make it look as though someone is home even when you are not.
• Be suspicious of any strange vehicles or people in the neighborhood you might see
when you leave or go about your daily activities.

Precautions should also be taken while at home. Never leave doors open or garage doors
up when doing yard work or other chores, as open doors invite thieves. An open garage
door allows thieves to walk in and take whatever they desire, undetected. Generally, people
become victims when they have become very comfortable in their daily lives. By just taking
a few minor precautions victimization can be avoided.
Businesses can protect themselves by taking extra precautions in day-to-day operations
by implementing good business practices. No shoplifters will steal merchandise if they are
obviously being watched. Make them feel watched by employees or have video cameras
visible. Compare packages customers are carrying when they leave with their receipts.
Minimize opportunities for customers to conceal expensive items. Keep displays away from
windows in an effort to discourage “smash and grabs.” To prevent switching of price tags,
use tamperproof labels. Daily or weekly inventories of merchandise can detect a problem
before it gets out of control. The design of business buildings can help determine if a business
will be a victim of burglary or theft. Municipalities can require new buildings or residential
neighborhood designs to include CPTED inspections and practices during developmental
phases. The use of laminated glass can make it more difficult to smash the glass to gain
entry, good commercial locks will cost a burglar more time to enter a business, and motion-
sensing alarms coupled with 24/7 video surveillance can be valuable deterrents.
 Larceny and Burglary ◾ 171

QUESTIONS FOR DISCUSSION

1. Explain the importance of the first responding officer at the crime scene.
2. Why are the collection and processing of physical evidence important?
3. Describe community policing.
4. What is evidence at a crime scene?
5. Describe how a community can get involved in community crime issues and how
important is it with regard to crime prevention.
6. Explain practices that businesses can employ to deter crime and criminals.
7. Explain Crime Prevention Through Environmental Design (CPTED).
8. What are the characteristics of criminals who commit burglaries, and what are
their tactics?
9. Explain the importance of quality-of-life issues within a community.
10. Describe how intelligence-led policing can be used to effect crime reduction.

BIBLIOGRAPHY
Crime Stoppers USA. (2011). What Is Crime Stoppers?, http://www.crimestopusa.com/AboutUs.asp.
FBI. (2009a). 2008 Crime in the United States: Property Crime. Washington, D.C.: Federal Bureau of
Investigation (http://www2.fbi.gov/ucr/cius2008/offenses/property_crime/index.html).
FBI. (2009b). 2008 Crime in the United States: Burglary. Washington, D.C.: Federal Bureau of
Investigation (http://www2.fbi.gov/ucr/cius2008/offenses/property_crime/burglary.html).
FBI. (2009c). 2008 Crime in the United States: Larceny-Theft. Washington, D.C.: Federal Bureau
of Investigation (http://www2.fbi.gov/ucr/cius2008/offenses/property_crime/larceny-theft.
html).
FBI. (2009d). 2008 Crime in the United States: Arrests. Washington, D.C.: Federal Bureau of
Investigation (http://www2.fbi.gov/ucr/cius2008/arrests/index.html).
FBI. (2009e). 2008 Crime in the United States: Ten-Year Arrest Trends (1999–2008). Washington,
D.C.: Federal Bureau of Investigation (http://www2.fbi.gov/ucr/cius2008/data/table_32.html).
FBI. (2009f). 2008 Crime in the United States: Arrests, by Race. Washington, D.C.: Federal Bureau of
Investigation (http://www2.fbi.gov/ucr/cius2008/data/table_43.html).
Flynn, D.W. (1998). Defining the “Community” in Community Policing. Washington, D.C.: Police
Executive Research Forum (www.policeforum.org/library/community-policing/cp.pdf).
Johnson, S. and Bowers, K. (2004). The stability of space–time clusters of burglary. British Journal of
Criminology, 44:55–65.
Mesa, AZ, Police Department. (2011). Crime Prevention Through Environmental Design, www.
Mesaaz.gov/POLICE/literature/pdf/CPTEDlong.pdf.
Safe Streets. (2011). About Safe Street, http://www.safest.org/Page.aspx?nid=7.
Yeung, B. (2010). Shoplifting, Inc., The Crime Report, March 4 (http://thecrimereport.org/2010/03/04/
shoplifting-inc/).
 Chapter 10

Auto Theft
Donald Munday
Pratt Community College

CHAPTER OBJECTIVES
After reading this chapter, you should be able to do the following:

1. Describe and define the crime of auto theft.

2. List the most common vehicles stolen.
3. Discuss the most common tools used by auto thieves.
4. Outline the steps of a preliminary investigation by a police officer.
5. Describe the steps of a follow-up investigation.

Chapter Outline
• Introduction
• Auto Theft Defined
• Methods Commonly Used to Steal a Vehicle
• Most Frequently Stolen Vehicles
• Investigation Processes and Techniques
• Processing the Recovered Stolen Vehicle
• Auto Theft Prevention and Programs

INTRODUCTION
Motor vehicle theft has plagued society for decades, costing insurance companies and law-
abiding Americans billions of dollars every year. This crime is perceived to be a victimless
crime, but it is not. Each person in America who pays auto insurance is subject to increased
insurance premiums due to this crime.

173
174 ◾ Donald Munday

AUTO THEFT DEFINED

According to the Federal Bureau of Investigation’s Uniform Crime Reporting (UCR)
Program, motor vehicle theft is defined as the “theft or attempted theft of a motor vehicle”
(FBI, 2008). The UCR program considers a motor vehicle to be a self-propelled vehicle that
runs on land surfaces and not on rails. Examples of motor vehicles include sport utility
vehicles, automobiles, trucks, buses, motorcycles, motor scooters, all-terrain vehicles, and
snowmobiles. Motor vehicle theft does not include farm equipment, bulldozers, airplanes,
construction equipment, or water craft such as motorboats, sailboats, houseboats, or jet
skis. The taking of a motor vehicle for temporary use by persons having lawful access is
excluded from this definition. To gain a better understanding of the magnitude of motor
vehicle theft, look at these numbers provided by the FBI for the year 2008:

• An estimated 956,846 thefts of motor vehicles occurred nationwide.

• There were 314.7 motor vehicle thefts per 100,000 inhabitants.
• The estimated number of motor vehicle thefts declined 12.7% compared to 2007
figures, 22.7% compared to 2004, and 16.9% compared to 1999.
• More than $6.4 billion was lost to motor vehicle thefts nationwide.
• The average dollar loss per stolen vehicle was $6751.
• About 72% of all motor vehicles reported stolen in 2008 were automobiles.

The occurrence of violent and non-violent crime in the United States is illustrated by the
FBI’s Crime Clock Statistics (Table 10.1); for example, according to these data, a motor
vehicle theft occurs every 33 seconds. Research has shown that auto thieves can steal a
vehicle in less than a minute. Many of these autos are stolen for parts, such as the airbags.
Reports to law enforcement indicate that autos are stolen from shopping malls, parking
lots, car dealership lots, streets, apartment complexes, and airport parking lots, among
other public and private areas (Layman, 2011).

TABLE 10.1 Crime Clock Statistics

One Violent Crime Every 22.8 seconds
One Murder Every 32.3 minutes
One Forcible Rape Every 5.9 minutes
One Robbery Every 1.2 minutes
One Aggravated Assault Every 37.8 seconds
One Property Crime Every 3.2 seconds
One Burglary Every 14.2 seconds
One Larceny-Theft Every 4.8 seconds
One Motor Vehicle Theft Every 33.0 seconds
Source: FBI, 2008 Crime in the United States: Crime Clock Statistics,
Federal Bureau of Investigation, Washington, D.C., 2009 (http://
www2.fbi.gov/ucr/cius2008/about/crime_clock.html).
 Auto Theft ◾ 175

TABLE 10.2 Top 10 Vehicle Theft Rates in U.S. Metropolitan Statistical

Areas (MSAs) in 2009
Rank Metropolitan Statistical Area Vehicle Thefts Ratea
1 Laredo, TX 1792 742.22
2 Modesto, CA 3712 727.29
3 Bakersfield, CA 5530 684.91
4 Stockton, CA 4479 663.69
5 Fresno, CA 5875 641.89
6 Yakima, WA 1525 637.93
7 San Francisco/Oakland–Fremont, CA 26,374 610.81
8 Visalia-Porterville, CA 2440 567.88
9 Las Vegas–Paradise, NV 10,706 562.63
10 Albuquerque, NM 4815 561.25
a Ranked by the rate of vehicle thefts reported per 100,000 people
Source: National Insurance Crime Bureau, Des Plaines, IL, 2010.

VEHICLE THEFT TRENDS

A review of motor vehicle theft trends in 2009 reveals that Laredo, TX, owns the num-
ber one spot in the nation for vehicle thefts per 100,000 population (NICB, 2010). Table
10.2 lists the top ten cities in the nation for motor vehicle thefts in 2009, according to the
National Insurance Crime Bureau (NICB, 2010). Except for Visalia–Porterville, CA, these
same cities also made the 2008 top ten list; however, Visalia–Porterville, CA, was listed as
number 11 in the 2008 top ten list (NICB, 2009b).

METHODS COMMONLY USED TO STEAL A VEHICLE

Over the years, law enforcement has improved their techniques of identifying stolen
vehicles and the people who steal them. Also, the auto industry has made technological
improvements that make it more difficult to steal a vehicle. This has forced auto thieves to
change the way they do things, although some still rely on some of the older methods.

JOYRIDING
Joyriding generally refers to the theft of autos by teenagers. Offenders are usually 15 to
19 years old (Swanson et al., 2009). Teenagers look for the easiest target, such as a vehicle
left running with the doors unlocked outside an apartment, house, or convenience store.
The young auto thief simply opens the car door, gets in behind the steering wheel, and
drives off. The motive of this crime is impressing one’s peers or street gang membership
initiation.
176 ◾ Donald Munday

SLIDE HAMMER AND SCREW DRIVER

Auto thieves were able to use screw drivers to steal a car or truck manufactured prior to
2003. An auto thief would use a hard object to break a small back seat window to gain entry
into the car. Once inside the car, the auto thief removed the lock cap of the ignition and
inserted a slide hammer into the key opening to remove the lock. Once this was done, the
auto thief inserted the screw driver into the ignition, started the car, and drove away. After
2003, however, the auto industry began using laser-cut ignition keys that have security
computer chips in them, and the ignition was redesigned to accommodate these new keys
(Helperin, 2008).

SHAVED KEY OR JIGGLER

When auto thieves discovered that a screw driver would not work, they devised the shaved
key, also known as a jiggler or master key (Pasquale, 2006). An auto thief can grind down
the face of a key but leave the ridges intact. Once this is done, the key will fit almost any
auto door and ignition. The auto thief jiggles the shaved key in the door to unlock it. Once
inside the auto, the thief inserts the shaved key into the ignition and again jiggles it to fool
the ignition’s security system. A shaved key may look a little worn and perhaps has some
scratches on the face, but otherwise it is difficult to detect. These keys are valuable items to
an auto thief because they can be used over and over again. Recently, the Auto Jiggler Key
Set and slim jims have been advertised on the Internet, making it easier for individuals to
gain access to tools that can be used to steal autos.

THE SLIM JIM

Some auto thieves still use an age-old tool called the slim jim, which is a thin piece of alu-
minum or metal with notches on both ends. The thief slides the slim jim into the crevice
between the window and the door frame and uses it to manipulate the door lock to unlock
the vehicle. Once inside, the auto thief can use various tools to start the car and drive
away.

THEFT BY OPPORTUNITY
All over the country, on cold winter days, many car owners like to warm up their vehicles
before driving them. They start their vehicles and leave them running while they go back
inside. Sometimes, too, people will park in front of a convenience store and run inside,
leaving their car running so it stays warm. The auto thief looking for an easy target has just
found one. The thief simply opens the unlocked door, slides inside the now warm vehicle,
and drives off. Some cities have enacted laws to try to prevent this type of crime from
occurring.
 Auto Theft ◾ 177

TABLE 10.3 Top 10 Most Frequently Stolen Vehicles in the

United States in 2008
Rank Year Make Model
1 1994 Honda Accord
2 1995 Honda Civic
3 1989 Toyota Camry
4 1997 Ford F-150 Pickup Truck
5 2004 Dodge Ram Pickup Truck
6 2000 Dodge Caravan
7 1996 Jeep Cherokee/Grand Cherokee
8 1994 Acura Integra
9 1999 Ford Taurus
10 2002 Ford Explorer
Source: National Insurance Crime Bureau, Des Plaines, IL, 2009.

AUTO CLONING
Over the years, auto thieves have continued to develop new ways to steal and sell stolen
autos. One method is to clone the auto. The auto cloning process begins with the auto thief
locating an auto that is of interest. The auto thief copies the legitimate vehicle identification
number (VIN) and then steals a similar auto. The VIN of the stolen auto is replaced with
the copied VIN. To complete the process, the auto thief either forges ownership documents
for the cloned auto or obtains ownership documents by fraud. Once this process has been
completed, the auto thief can now sell the cloned auto to an innocent party for a premium
price. Typically, it is quite easy to insure and license a cloned auto if it has been purchased
in another state because most licensing agencies do not check for duplicate ownership of
an out-of-state auto. The National Insurance Crime Bureau has found that luxury cars are
usually targeted for cloning, generating estimated illegal profits in the United States in
excess of $12 million each year (NICB, 2004).

MOST FREQUENTLY STOLEN VEHICLES

Each year the types of motor vehicles stolen and the means used to steal them change due
to changes in demand of the underground marketplace (see Table 10.3). These customers
are looking to purchase stolen vehicles for their parts or for resale in the United States or
elsewhere on the black market.

INVESTIGATION PROCESS AND TECHNIQUES

To locate stolen autos and identify suspects, law enforcement officers must continually
refine their investigative and interview skills. Traditionally, the criminal is usually a few
steps ahead of the investigator. To level the playing field, police officers and investigators
178 ◾ Donald Munday

must continually gather information and intelligence from arrested auto thieves. This
information can be used to identify new auto theft techniques and possible auto theft rings.
Among the many reasons, motor vehicles are stolen for:

• Their car parts

• Gang initiations
• Insurance fraud
• Joyriding by juveniles
• Chop shops
• Terrorist-related activity
• Transportation of illegal drugs
• Use in criminal acts (burglary, check forgery, identity theft, robbery)
• Vehicle cloning

The first step for a law enforcement officer is to become familiar with the vehicle iden-
tification number (VIN), which serves as the fingerprint of a specific motor vehicle. In the
United States, since 1954, automobile manufacturers have utilized the VIN instead of the
engine number as an identifier. Prior to 1968, although all VINs were inscribed on metal
plates, they were not uniformly located on vehicles, and there was no standard method for
attaching VIN plates to vehicles (Swanson et al., 2009). Later, in 1981, the U.S. National
Highway Traffic Safety Administration (NHTSA) passed a regulation that required all
motor vehicles to have a 17-character VIN. This action by the NHTSA standardized the
identification system of vehicles sold or manufactured in this country (NHTSA, 2010).
Vehicle identification numbers after 1981 consist of combinations of 17 numbers and
letters (I,O, and Q are not used). This number can be considered the fingerprint for each
vehicle. The VIN can give a law enforcement officer important information, such as the
owner of the vehicle, and it can help determine if the vehicle was stolen. The first three
characters are the world manufacturer identifier, the next five digits describe components
of the vehicle, and the last eight characters are the vehicle indicator section (Flynn, 2008).
Let’s decode a sample VIN: 1F2DH34B1DS234567

1 Identifies the country of origin

F Identifies the auto manufacturer (Ford)
2 Identifies the specific make or manufacturer
D Defines the vehicle restraint system
H34 Indicates auto body style, model, and series
B Describes the engine type
1 Check digit character
D Year of the vehicle
S Assembly plant identifier
234567 Identifies the order of production
 Auto Theft ◾ 179

The check digit is very important for verifying the accuracy of a VIN. The somewhat
lengthy check digit calculation is summarized briefly below:

1. A key is used to assign a numerical value to each letter in the VIN; in our example,
1 = 1, F = 6, 2 = 2, D = 4, etc.
2. A specific weight factor for each character is assigned based on its position in the
VIN, except for the ninth character, which is the check digit character; in our
example, the first characters has weight 8; the second, 7; the third, 6; etc.
3. The value of each character is multiplied by the weight; in our example, F would be
6 × 7 = 42). These 16 values are added together and divided by 11. The remainder
represents the check digit; for example, if the remainder is the number 10, then the
check digit is X, and an X is placed in the VIN.

The VIN is typically located on the left side of the dashboard. It is easily seen by looking
through the windshield. It can also be found on a sticker on the driver’s side door post. The
sticker shows the VIN as a bar code. This bar code can be read only with special equip-
ment (Gilbert, 2009). If the sticker is missing or the code does not match any of the hidden
manufacturer-marked auto parts, this indicates that the vehicle has possibly been stolen.
To assist in deterring auto theft and to identify stolen vehicles, in 1984 Congress passed
the Motor Vehicle Theft Law Enforcement Act. This new law required auto manufacturers
to add permanent VIN markings to at least 14 major parts on the auto. These auto parts
are in high demand by auto thieves and chop shops. The additional parts that are marked
include:

• Transmission
• Both doors
• Both fender wells
• Front and rear bumpers
• Hood
• Rear quarter panels
• Engine
• Decklid
• Tailgate or hatchback

PRELIMINARY INVESTIGATION
A vehicle theft investigation can be initiated in different ways. The most common is when a
vehicle owner notifies local law enforcement by calling 911 or another emergency number.
The police officer or sheriff officer who receives the call from the dispatcher then responds
to the location of the vehicle owner or reporting party. The first step in the preliminary
investigation phase is determining if the alleged vehicle theft is factual. In some cases, the
180 ◾ Donald Munday

vehicle may be part of a civil dispute, recovered as a financial company repossession, or

taken by a family member. It is also possible that the owner abandoned the vehicle after an
accident due to intoxication or the owner simply forgot where he parked it. Typically, repos-
session companies notify local law enforcement agencies prior to recovering vehicles.
When the officer has determined that the vehicle has not been repossessed then other
possibilities must be explored. One such possibility is that the owner may have been
involved in a hit-and-run accident and left the scene and is now reporting the vehicle as
stolen. Officers taking a vehicle theft report should pay attention to any noticeable injuries
or any odor of alcohol, which could indicate that this is a false report. In many cases of this
nature, drivers leave the scene of an accident because they fear being arrested for driving
under the influence (DUI). It is recommended that the officer run a check on the owner to
determine if there are any prior DUI arrests or convictions. This information can assist the
officer in clarifying if an actual vehicle theft has occurred or if the report was made to cover
up a hit-and-run accident involving alcohol.
When it has been decided that the vehicle has, indeed, been stolen, then the officer
should begin a line of targeted and detailed inquiry with the vehicle owner or reporting
party to determine:

• Owner and registration information

• Vehicle identification number and license tag information
• Make of the vehicle, year, color, body style
• Any markings or special equipment (such as rims or tires)
• When and where was the vehicle last seen
• Who drove it last
• Whether someone borrowed the vehicle and is late returning it
• Whether the key was left in the ignition
• Whether the vehicle was locked and the windows closed

The vehicle owner should provide a detailed list of items that were in the vehicle, such
as a computer, credit cards (account numbers), handgun or rifle, items of identification
(driver’s license, military ID, Social Security card), portable DVD player, purse or wal-
let, vehicle military installation pass, or any other valuables, as well as their serial and/or
model numbers. During the preliminary investigation, the officer should gather as much
detail as possible concerning the stolen vehicle and the contents that were in it at the time
of the theft, including serials numbers, to assist in the recovery of the items. In many cases,
such information can assist officers and investigators in making arrests and recovering
property. If the owner left a purse or wallet in the vehicle, the auto thieves may use the
contents to commit identity theft. Soon after the interview with the stolen vehicle owner,
the officer should make a serial numbered case and enter the VIN and other descriptors
into the National Crime Information Center (NCIC) system. The NCIC entry will assist
officers in identifying this vehicle throughout the country. Also, the officer should enter
into the NCIC any serial numbers and descriptors of property in the vehicle at the time it
was stolen.
 Auto Theft ◾ 181

After the officer completes the preliminary interview and the auto theft report, a visual
search of the area around the owner’s residence a few blocks in all directions should be
conducted. There is a chance that the stolen vehicle or property may be found. In the case
of joyriding by juveniles, they frequently abandon the stolen vehicle close to the site of the
theft (Gilbert, 2009). Studies indicate that officers should always check the area close to
the location of the offense for recovery purposes (Lu, 2003). If the officer locates the stolen
vehicle, he should protect the vehicle from evidence contamination and notify the crime
scene investigative unit. There may be physical evidence present that can lead to the arrest
of a viable suspect.

FOLLOW-UP INVESTIGATION
The auto theft investigator must verify the information in the responding officer’s prelimi-
nary report. This can be done by contacting the owner and reviewing the stolen vehicle
information contained in the officer’s report. When this has been done, then the investi-
gator should become familiar with the case by reviewing all of the information available,
including the vehicle owner and witness statements. From this information, the investi-
gator may be able to connect this case to others. The investigator should also review any
suspicious character reports that officers submitted around the date, time, and location of
the theft. This information could give the investigator a solid person of interest to locate
and interview concerning the case.
During the follow-up investigation, the investigator must keep an open mind. The vehi-
cle theft could be a case of insurance fraud, the vehicle could have been taken to a chop
shop, it could have been stolen for cloning purposes, or it might have been stolen for export
to another country. There are many informational sources available to assist auto theft
investigators in these types of cases. Investigators should consider these sources as investi-
gative tools that can assist in solving a cases and locating suspects.
One such tool is the International Association of Auto Theft Investigators (IAATI). IAATI
is a network of investigators that share knowledge and expertise. IAATI also sponsors
training seminars. Another major resource to assist auto theft investigators is the National
Insurance Crime Bureau (NICB). The NICB has database services available to the law
enforcement community, which include the following (Swanson et al., 2009):

• Export file—Export declarations from the U.S. Customs Service, which can assist
in the detection of illegal exports
• Information-wanted file—Information concerning a person who has not made
payments to a financial institution but has purchased insurance on a vehicle from
a NICB member company
• Insurance theft file—Insurance company theft records containing ownership and
insurance information from over 1000 insurance companies in the United States,
from the Canadian Automobile Theft Bureau (CATB), and from most European
countries
182 ◾ Donald Munday

• Salvage files—Salvage vehicle reports that are filed with insurance companies and
include information on both buyers and sellers
• VIN Assist—No-cost service provided to the law enforcement community that
validates VINs

A valuable resource that the NICB offers is their Passenger Vehicle Identification Manual,
which is published annually. This publication contains information pertaining to vehicle
theft prevention standards, VIN locations, federal safety certification labels, VIN struc-
ture, and vehicle assembly recorded information (Swanson et al., 2009).
One of the most widely utilized and valuable resources for auto theft investigators is the
FBI’s National Crime Information Center. Investigators and officers alike can make inquires
online to NCIC concerning license plate registration information, motor vehicle informa-
tion, motor vehicles wanted in conjunction with felonious criminal activity, recovered sto-
len license plates, and recovered stolen vehicle component parts (Swanson et al., 2009).
Investigators should take note that thefts of older vehicles have tended to remain con-
stant. This indicates that auto thieves are targeting these vehicles for parts. It has been
estimated that a stolen motor vehicle valued at $20,000 can be stripped in a chop shop and
converted into $30,000 worth of parts (Layman, 2011). A recent trend has been the theft of
airbags, which are resold and cost insurance companies and consumers an average of $50
million a year (Berg, 2007). Investigators should check questionable auto body shops and
salvage yards for stolen parts. Intelligence information from undercover operations can
assist auto theft investigators in identifying such places.

INVESTIGATIVE USE OF STOLEN VEHICLE RECOVERY SYSTEMS

There have been many advancements in stolen vehicle recovery systems that assist auto theft
investigators in recovering stolen vehicles. One of the questions an investigator should ask
of the vehicle owner is if the stolen vehicle has a factory-installed activated GPS system,
such as General Motors’ OnStar® or the aftermarket LoJack® system. OnStar combines a
GPS transmitter in the vehicle with cellular technology and a monitoring center. OnStar
service has assisted law enforcement in recovering stolen vehicles and locating the offenders.
When the OnStar system is activated in a stolen vehicle, operators can locate the vehicle and
direct officers and investigators to its exact location. If the vehicle is being driven, OnStar
operators can direct officers to the path of the vehicle. When officers are behind the stolen
vehicle, OnStar can actually send a signal to the engine that slows the car down (Helperin,
2008). This reduces the risk of high-speed pursuits that are a danger to citizens and pursu-
ing officers. The LoJack recovery system utilizes FM radiofrequency technology to connect
with specially equipped law enforcement vehicles. When an officer or investigator enters
the VIN of a stolen vehicle into the FBI’s NCIC database, the VIN is cross-checked with the
LoJack database. If a match is found, then a signal is sent to a LoJack transponder hidden
in the stolen vehicle. This signal activates the LoJack transponder and sends a silent signal
to local law enforcement vehicles equipped with LoJack tracking units. This equipment can
lead officers and investigators to the stolen vehicle (Helperin, 2009).
 Auto Theft ◾ 183

UNDERCOVER INVESTIGATIONS
In recent years, there has been a movement in law enforcement to conduct undercover
auto theft investigations. The use of bait cars by law enforcement agencies has proven to be
effective. A hidden camera is installed inside the bait car along with a GPS system and an
ignition immobilizer, more commonly known as a kill switch. Investigators park the bait
car in a parking lot or on the street, and surveillance teams positioned around the bait car
wait for an individual to break into the car and steal it. When the offender starts the car
and drives off, the ignition immobilizer is activated and the car rolls to a stop as officers
approach it to arrest the offender. The auto theft is captured on video along with audio
which assists in the criminal prosecution of the offender.
The emergence of corrupt auto body shops, chop shops, and salvage yards involved in the
purchase and selling of stolen autos and auto parts has created a need for undercover inves-
tigations. Undercover investigators pose as auto thieves selling stolen vehicles or as someone
looking for stolen auto body parts to buy or sell. These investigators may be able to purchase
a stolen auto or stolen parts from the corrupt business during the initial contact, but it may
take more than one meeting to establish a level of trust with the seller. Using a confidential
informant (CI) to introduce an undercover investigator to the seller in many cases will assist
in building this trust, but it can be risky. The CI may play both sides. During the investiga-
tion, background checks should be conducted on all individuals involved in the potential
transactions. This gives the undercover investigator vital intelligence to fully understand
the depth of the operation and the individuals being investigated. There may be existing
outstanding warrants on these individuals or they may be on federal or state parole.
During an undercover operation, it is very important that the undercover investigator
wear a well-hidden body wire so that all conversations between the parties are recorded for
use in a criminal prosecution. As in any undercover operation, backup officers in the area
should be monitoring the conversations in case the undercover investigator needs assis-
tance. The undercover operation team should choose a word or phrase for the investigator
to use in case of an emergency or when immediate back-up officers are needed. This proce-
dure is a must in any “buy–bust” situation. One of the goals of the undercover investigator
should be to make enough purchases of stolen property from an individual to indicate that
the business is working with auto thieves as a criminal enterprise. In most jurisdictions
in the United States this would culminate in the issuance of a search warrant to enable
investigators to search the corrupt business for stolen autos, documents related to an illegal
operation, and stolen auto parts. The execution of the search warrant may lead to recovery
of stolen property, arrests of involved individuals, fruits of other crimes, and investigative
leads that may solve other criminal cases.

AUTO THEFT TASK FORCE

Across the nation, many law enforcement agencies are joining together to combat and pre-
vent auto theft by creating auto theft task forces. The crime of auto theft has no boundar-
ies; therefore, to effectively combat and prevent this type of criminal activity there must
184 ◾ Donald Munday

be good communication, sharing of information, and working relationships among law

enforcement agencies. Task forces allow multiple jurisdictions to work as one team cover-
ing a large geographical area.
Many well-established and effective auto theft task forces can be found throughout the
country; one example is San Diego County’s Regional Auto Theft Task Force (RATT). In
2010 RATT undercover investigators, along with the Naval Criminal Investigative Service
(NCIS), completed “Operation Hotel California” (SDCDA, 2010). This operation was ini-
tiated in response to reports that auto thieves were targeting areas in and near military
housing (Wheeler, 2010).
Undercover RATT investigators purchased drugs (e.g., cocaine, methamphetamine,
ecstasy, oxycodone, heroin), stolen autos, and weapons from individuals in the San Diego
area, and this undercover operation resulted in 51 grand jury indictments for auto theft,
carjacking, identity theft, residential burglary, selling stolen vehicles, and the sale of con-
trolled substances. RATT investigators recovered 46 stolen vehicles, illegal drugs, seven
guns, and two ballistic vests. This operation illustrates how very effective task forces can be
and how auto theft investigations can lead to identifying other types of criminal activity.

PROCESSING THE RECOVERED STOLEN VEHICLE

Stolen vehicles can be found in many different locations—parked on the street or in park-
ing lots, parks, and malls. Occasionally, in an attempt to destroy any physical evidence,
the auto thief will rig the accelerator pedal in the vehicle so it speeds into a river or creek.
When a stolen vehicle is recovered by an officer on the street, a protocol must be followed
in processing it for physical evidence.

PROTECTING EVIDENCE AND PROCESSING THE STOLEN VEHICLE

When an officer locates a stolen vehicle, the main focus is on securing it and protecting any
and all physical evidence. The dispatcher should be notified, and a crime scene investigator
should be sent to the recovery scene to properly process the stolen auto for evidence. The
proper protocol for processing the stolen vehicle includes the following:

• Visually inspect the vehicle from the outside for damage, new or old. Remember to
take precautions to preserve any and all trace evidence that is identified.
• Examine the exterior of the vehicle for any trace evidence such as blood, foreign
substances, hair, or paint transfer. Trace samples should be carefully collected and
submitted for later comparison.
• Take photographs of the vehicle’s exterior, interior, and VIN located on the dash-
board and door. Photographs should be taken of any property or evidence that is
located inside the vehicle.
• Examine the interior of the vehicle closely for any trace evidence such as blood,
fibers, hair, mud, or any other items of interest. If there are any hair brushes or
combs found in the vehicle, inspect them for hair samples. Collect the hair samples
 Auto Theft ◾ 185

for evidence. The hair samples may identify the auto thief through DNA compari-
son at a later date.
• Collect all property and physical evidence. Properly package and take measures to
preserve any trace evidence for future forensic lab comparisons and analysis.
• Utilize fingerprint powder on the rearview mirror and other areas of the stolen
vehicle where the offender may have touched. It is not unusual for the auto thief to
adjust the rearview mirror with an ungloved hand out of habit. If latent prints are
located and lifted properly, then the investigator should have them run through
the Automated Fingerprint Identification System (AFIS) for comparison. If the
auto thief has any prior arrests or convictions, his or her fingerprints will be on file
with a federal, state, or county agency.

When the stolen vehicle has been carefully and properly processed for physical evi-
dence, then the seat position should be checked. This can assist the investigator or officer
in determining the possible height of the auto thief, which, in turn, can help determine the
auto thief’s motive—for example, joyriding by a juvenile. Also, the information can assist
in placing a person of interest in the vehicle when it was stolen.

ALTERED VINS
During an auto theft case follow-up investigation, the investigator may discover that the
VIN on the vehicle may have been altered. This suspicion usually occurs when the investi-
gator computes the check digit of the 17-digit VIN and discrepancies appear. The NICB’s
VIN Assist program aids the law enforcement community by analyzing suspicious VINs
from recovered stolen vehicles (Swanson et al., 2009). Investigators can further check the
validity of a suspicious VIN on a vehicle by comparing it with hidden VINs. The vehicle
may still have one or more of the 14 manufacturers’ marked parts that have the correct
VIN number inscribed on them. If the suspicious VIN does not match a hidden VIN, then
the investigator has uncovered an altered VIN.

AUTO THEFT PREVENTION AND PROGRAMS

In the United States, effective proactive approaches to addressing the crime of auto theft have
been made by law enforcement agencies and various organizations. These efforts resulted in
a decline in auto thefts of 12.7% in 2008 compared to data from 2007 (FBI, 2008).

THE LAYERED PROTECTION APPROACH

The National Insurance Crime Bureau recommends a layered protection approach to pre-
venting and reducing the crime of motor vehicle theft (NICB, 2010). Each layer has a deter-
rent factor. The four layers of protection are (1) common sense, (2) warning devices, (3)
immobilizing devices, and (4) tracking devices (see Table 10.4).
186 ◾ Donald Munday

TABLE 10.4 Layered Protection

Layer 1. Common Sense
Never leave a vehicle running, and always remove the ignition key.
Lock all doors and close all windows.
Park in a well-lit area.
Layer 2. Warning Devices
Audible alarms (motion or impact sensors)
Window alarm warning stickers
Steering wheel lock (prevents the steering from turning)
Window etching (etch VIN in each window of the vehicle)
Microdot marking (identifying markings that can be traced back to the VIN)
Layer 3. Immobilizing Devices
Smart keys (contain coded computer chips that match a particular vehicle)
Fuse cut-offs (short-circuit electrical system to prevent engine from starting)
Kill switches (inhibit flow of electricity or fuel to the engine)
Starter, ignition, and fuel disablers (short-circuit electrical or fuel system)
Layer 4. Tracking Devices
GPS (e.g., OnStar)
LoJack
Source: National Insurance Crime Bureau, Des Plaines, IL, 2009.

STATEWIDE COORDINATED PROGRAMS

In 1985, the Michigan State Police and Michigan Auto Insurance Companies organized a
statewide “Help Eliminate Auto Thefts” (HEAT) program to enhance auto theft awareness
and prevention. HEAT coordinates citizen participation and law enforcement agencies
through a 24/7, confidential, toll-free hotline and a website. The hotline and website pro-
vide a means for tipsters to report corrupt auto body shops, suspected chop shops, insur-
ance fraud, auto theft offenders, corrupt salvage yards, and carjackings. Tipsters receive a
substantial cash reward depending on the information they provide. The HEAT hotline
is operated by the Michigan State Police and funded by the Michigan’s Auto Insurance
Companies. Over the past 25 years, the Michigan HEAT program has managed more than
8500 tips called in and recovered over 4200 stolen vehicles valued at over $51 million; over
3400 suspects have been arrested, and more than 2000 tipsters have been awarded approxi-
mately $3.5 million (PR Newswire, 2010).
The Texas Department of Public Safety administers a statewide vehicle registration pro-
gram similarly titled “Help End Auto Theft” (HEAT). This program coordinates voluntary
vehicle owner registration to assist law enforcement officers in identifying stolen vehicles.
Vehicle owners can enroll online. The program allows law enforcement officers, between
the hours of 1:00 a.m. and 5:00 a.m., to stop any vehicles that have HEAT decals affixed to a
window so the officers can verify ownership of the vehicle. Border decals are also issued to
alert law enforcement to verify ownership of vehicles driven across the border into Mexico
(TXDPS, 2010).
 Auto Theft ◾ 187

VEHICLE TITLE FRAUD PREVENTION

The National Motor Vehicle Title Information System (NMVTIS) was established in
response to Title II of the Anti-Car Theft Act, which was enacted to combat and prevent
title fraud. The NMVTIS allows verification and validation of motor vehicle titles prior
to a new title being issued. This system prevents title fraud associated with junk or sal-
vage titles. The NMVTIS can also assist auto theft investigators by tracking VINs across
the nation, such as during the investigation into the 1993 World Trade Center terrorist
bombing. Another valuable NMVTIS service is prevention of the crime of auto cloning
(Insurance Information Institute, 2010).

QUESTIONS FOR DISCUSSION

1. Define auto theft and discuss its impact on the United States.
2. What are some of the most common methods auto thieves use to steal a vehicle?
3. List the top 10 most frequently stolen vehicles in the United States in 2008.
4. Discuss the motives for someone to steal a vehicle.
5. Describe what a VIN is and how to decode it.
6. List the steps of a preliminary investigation that an officer should follow.
7. Discuss the resources available to auto theft investigators.
8. What are advantages of having an auto theft task force?
9. List the proper steps of processing a recovered stolen vehicle for physical
evidence.
10. Explain what role an undercover investigation may play in addressing the crime of
auto theft.

BIBLIOGRAPHY
Berg, B. (2007). Criminal Investigation, 4th ed. New York: McGraw-Hill.
FBI. (2008). 2008 Uniform Crime Report. Washington, D.C.: Federal Bureau of Investigation.
Flynn, K. (2008). What’s in a VIN? Decoding Vehicle Identification Numbers Puts the Brakes on
Auto Theft, Cloning, and Chop Shop Operations. Law Enforcement Technology, 35(6):90–96.
Gilbert, J.N. (2009). Criminal Investigation, 8th ed. Upper Saddle River, NJ: Pearson Education.
Helperin, J. (2008). Evaluating Stolen Vehicle Recovery Systems: The Pros, Cons, and Pricing, July 9,
http://www.edmunds.com/car-technology/evaluating-stolen-vehicle-recovery-systems.html.
Insurance Information Institute. (2010). Auto Theft. New York: Insurance Information Institute
(http://www.iii.org/issues_updates/auto-theft.html).
Layman, M. (2011). Criminal Investigations: The Art and the Science, 6th ed. Upper Saddle River, NJ:
Pearson Education.
Lu, Y. (2003). Getting Away with the Stolen Vehicle: An Investigation of Journey-after-Crime. The
Professional Geographer, 55(4):422–433.
NHTSA. (2010). Vehicle Identification Numbers (VIN). Washington, D.C.: National Highway Traffic
Safety Administration (http://www.nhtsa.gov/Vehicle+Safety/Vehicle-Related+Theft/Vehicle+
Identification+Numbers+%28VINs%29).
188 ◾ Donald Munday

NICB. (2004). Doing a Double-Take: Vehicle Clones Are a Street-Level Problem for Insurers. Palos
Hills, IL: National Insurance Crime Bureau (www.nicbtraining.org/Vehicle_Cloning.pdf).
NICB. (2009a). Passenger Vehicle Identification Manual, 80th ed. Palos Hills, IL: National Insurance
Crime Bureau.
NICB. (2009b). Thefts Cool but California Remains a Hot Spot for Hot Cars: Border Areas Show Mixed
Results [press release]. Palos Hills, IL: National Insurance Crime Bureau.
NICB. (2009c). Hot Wheels: Vehicle Theft Continuing to Decline [press release]. Palos Hills, IL:
National Insurance Crime Bureau.
NICB. (2010). Car Thefts Continue Downward Spiral: Western Cities Still Popular Among Car Thieves
[press release]. Palos Hills, IL: National Insurance Crime Bureau.
Pasquale, D. (2006). The Key to Auto Theft. Police Magazine, June 1 (http://www.policemag.com/
Channel/Patrol/Articles/Print/Story/2006/06/The-Key-to-Auto-Theft.aspx).
PR Newswire. (2010). H.E.A.T. Celebrates 25 Years of Auto Theft Awareness and Prevention in Michigan
[press release]. Livonia, MI: Help Eliminate Auto Thefts (http://www.miheat.org/new/Media/
releases.htm).
SDCDA. (2010). Undercover Auto Theft Operation Nets 51 for Selling Stolen Cars, Drugs: Task
Force Partners with Military for Six-Month Crackdown [press release]. San Diego, CA: Office
of the District Attorney County of San Diego (www.sdcda.org/files/Operation%20Hotel%20
California%203-5-10.pdf).
Swanson, C., Camelin, N., Territo, L., and Taylor, R. (2009). Criminal Investigation, 10th ed. New
York: McGraw-Hill.
TXDPS. (2010). Texas H.E.A.T. Program. Austin: Texas Department of Public Safety (https://records.
txdps.state.tx.us/DPS_WEB/Heat/index.aspx).
Wheeler, K. (2010). Vehicle Theft Investigation Ends in 51 Indictments. City News Service, March
5 (http://www.sdnn.com/sandiego/2010-03-05/local-county-news/vehicle-theft-investigation-
ends-in-51-indictments).
 Chapter 11

Arson Investigation
Cliff Roberson
Kaplan University

CHAPTER OBJECTIVES
After reading this chapter, you should be able to do the following:

1. Understand and describe the issues involved in arson investigations.

2. Explain why arson investigations are complex and difficult to complete.
3. Describe the duties of the first responder.
4. Explain the steps necessary to preserve the scene.
5. Determine what steps should be taken in an arson investigation.

Chapter Outline
• Introduction
• Fire Triangle
• General Issues in Arson-Suspected Fires
• Detecting Arson
• Who Investigates
• Uniform Guidelines for Fire Investigations
• Conducting a Fire Investigation
• Summary

INTRODUCTION
It is a capital mistake to theorize before one has data. Insensibly, one begins to twist
facts to suit theories instead of theories to suit facts.
—Sherlock Holmes (A Study in Scarlet, by Sir Arthur Conan Doyle)
At common law, arson was defined as the malicious burning or exploding of the dwelling
house of another, or the burning of a building within the curtilage, the immediate sur-
rounding space, of the dwelling of another. Present-day criminal statutes have broadened

189
190 ◾ Cliff Roberson

the definition of arson to include the burning or exploding of commercial and public
buildings (e.g., restaurants, schools) and structures (e.g., bridges). In many states, the act
of burning any insured dwelling, regardless of whether it belongs to another, constitutes
arson if it is done with intent to defraud the insurer. In addition, the common-law rule that
the property burned must belong to another person has been completely eliminated by
statute in some states. To establish the crime of arson, two elements are necessary:

1. Evidence of a burning
2. Evidence that a criminal act caused the fire

The accused must intend to burn a building or other structure. Absent a statutory descrip-
tion of the conduct required for arson, the conduct must be malicious and not accidental.
Malice, however, does not mean ill will. Intentional or outrageously reckless conduct is suf-
ficient to constitute malice. Motive, on the other hand, is not an essential element of arson
(Wallace and Roberson, 2011).
In most states, arson is divided into degrees, depending sometimes on the value of the
property but more commonly on its use and whether the crime was committed in the day
or night. A typical statute might make the burning of an inhabited dwelling house at night
first-degree arson; the burning of a building close enough to a dwelling so as to endanger
it, second-degree arson; and the burning of any structure with intent to defraud an insurer
thereof, third-degree arson. Many statutes vary the degree of the crime according to the
criminal intent of the accused.
The U.S. Department of Justice published a guide entitled Fire and Arson Scene Evidence:
A Guide for Public Safety Personnel (Technical Working Group on Fire/Arson Scene
Investigation, 2000). Members of the technical working group that created the guide repre-
sented law enforcement, prosecution, defense, and fire and arson investigation communities,
and their collective expert knowledge, experience, and dedication made the effort a success.
The authors would encourage anyone who investigates fires or suspected arson scenes to
obtain the guide and use it. As noted by then-U.S. Attorney General Janet Reno (p. iii):

Actions taken at the outset of an investigation at a fire and arson scene can play
a pivotal role in the resolution of a case. Careful, thorough investigation is key to
ensuring that potential physical evidence is not tainted or destroyed or potential
witnesses overlooked.

In the Introduction (p. 1), the guide observed the following:

As Sherlock Holmes pointed out, many types of investigations are susceptible to

prejudgment, but few as often as fire scene investigations. Fires, by their destruc-
tive nature, consume the evidence of their initiation and progress as they grow.
Investigations are compromised, and often scenes are further destroyed by the
activities of the fire service, whose primary responsibilities are to save lives and
 Arson Investigation ◾ 191

protect property against further damage. Fire scenes often involve all manner of
public entities: emergency medical, law enforcement, and fire services. Public utili-
ties such as gas and electric companies may be involved. Passers-by, owners, ten-
ants, customers, delivery agents all may have relevant information. The press and
curious individuals attracted to large fire scenes can complicate investigations, as
they make security a necessity. As has frequently been said, “A fire investigation is
like a picture puzzle. Everyone involved with it has some of the pieces, but no one
has the whole picture. It is up to the investigator to gather enough of these pieces
together to solve the puzzle.”

FIRE TRIANGLE
An arson investigation should start with the fire itself. To create and sustain a fire, three
factors, known as the fire triangle, must be present:

• Oxygen
• Fuel source
• Heat

Generally, the concentration of oxygen necessary to sustain a fire must be above 16%. The
fuel may be any flammable substance. The heat source needs to be at least the ignition tem-
perature of the fuel. In a fire involving arson, one or more of the factors in the fire triangle
will have been tampered with. The arsonist may have increased the fuel load by the use of
flammable material or by adding accelerants such as kerosene, gasoline, or alcohol. The
arsonist may increase the oxygen content of a structure by opening windows or increasing
the flow of air by making holes in the ceilings or walls. Fire will generally follow the high-
est concentration of oxygen to its source. By ventilating a structure at the top and starting
a fire at the bottom of the structure, an arsonist can cause the fire to race upward through
the structure. The fire will rapidly involve the whole structure rather than be confined to
one room. An arson fire involves the introduction of a heat source, which can be as simple
as a match or as complex as chemicals with very low ignition temperatures. By definition
a fire is considered an arson fire after all other accidental caused have been ruled out. To
consider the fire an arson, the investigator should have evidence that one of the factors in
the fire triangle was tampered with (Steck-Flynn, 2009).

GENERAL ISSUES IN ARSON-SUSPECTED FIRES

In only a few countries in the world do public authorities have the statutory responsibility
to investigate fires and ascertain their origins and causes. The United States is one of these
few. Although this appears to be an accepted responsibility of public agencies, the report of
the Technical Working Group on Fire/Arson Scene Investigation (2000, pp. 3–5) identified
a number of major complications in U.S. fire investigations, including:
192 ◾ Cliff Roberson

• A fire can be a complex event whose origin and cause are not obvious.
• The training and preparation of qualified fire investigators are costly and time
consuming.
• More often than not, the destructive power of the fire compromises or destroys the
evidence from the outset.
• The larger the fire, the less evidence that will remain after the fire is terminated.
• Fires generally draw crowds of people, including fire, rescue, emergency medi-
cal services, utility company personnel, and health and safety personnel, which
increases the chances that the fire scene security will be compromised and critical
evidence will be contaminated, moved, or destroyed.
• Often, the responsibility for the investigation of a fire will be divided among dif-
ferent public agencies, especially where the origin of the fire is not immediately
apparent.

DETECTING ARSON
The Santa Clara County, California, Fire Department is one of the few agencies in the Bay
Area to staff full-time fire investigator positions, augmented by on-call personnel. Fire
investigations provide information on the origins and causes of local fire problems, and
this information can be shared with the local news media to promote fire safety education
and arson awareness. The department also relies on Rosie, who is a Labrador Retriever
trained to detect several different types of flammable liquids. Rosie and her handler were
trained at the ATF Canine Training Center in Front Royal, Virginia, and have been in ser-
vice together since 2004. They respond to and assist at fires within the county fire jurisdic-
tion and in other cities in the county.
Rosie’s predecessor, Dolph, could detect a substance containing a concentration of only
one part per trillion (1/1,000,000,000,000,000) in the atmosphere, and his sense of smell
was much more sensitive than any sophisticated equipment. Dolph could detect a half-
drop of flammable liquid in the ruins of a fire. Dogs such as Rosie and Dolph, which are
recertified annually throughout their working careers, claim an accuracy record of 95 to
99% in detecting an accelerant. Other breeds of dogs might become aggressive and alert to
dangers, but a Lab concentrates on working to find the scent of an accelerant. According
to the department, some of the benefits of using a flammable liquid detection K-9 include
(SCCFD, 2011):

• Detection of small amounts of flammables

• Reduced time to find flammables at a fire scene
• Reduced time digging through the fire debris
• Reduced amount of fire debris to be analyzed by the county crime lab
• Detection of flammables on humans
• Reduction of arsons
 Arson Investigation ◾ 193

WHO INVESTIGATES
The initial determination of who investigates a fire is difficult because most of the time it is
not immediately clear whether the fire was accidental or arson. Possible agencies that may
be involved in investigating a fire include:

• Law enforcement agencies

• Fire authorities
• Prosecuting attorney investigators
• Forensic laboratory experts
• Engineering specialists (fire, chemical, mechanical, or electrical)
• Private investigators on behalf of owners, insurance companies, tenants, and other
interested companies.

UNIFORM GUIDELINES FOR FIRE INVESTIGATIONS

Published by the National Fire Protection Association (NFPA), NFPA 921: Guide for Fire &
Explosion Investigations was developed as a consensus document based on the knowledge
and experience of fire, engineering, legal, and investigative experts across the nation. The
guide is considered the benchmark tool for fire investigations. It was originally published
in 1991 and is revised every 3 to 5 years.

FIRST RESPONDERS
The first responder is usually the first public safety person to arrive on the scene, whether
law enforcement, firefighter, or emergency medical services personnel. The one overriding
concern of first responders is the safety of the victims, bystanders, and public safety per-
sonnel. When approaching a fire scene, the first responders should observe and note condi-
tions and activities. Generally, the responders will need to make mental notes followed as
soon as practical with permanent documentation. Information that first responders should
collect includes

• Presence, location, and condition of victims and witnesses

• Any vehicles leaving the scene, bystanders, and any unusual activities near the
scene
• Flame and smoke conditions, including the volume of flames and smoke; the color,
height, and location of the flames; and the direction in which the flames and smoke
are moving
• The type of structure and kind of occupancy (e.g., residential, business)
• Conditions of the structure, including lights, windows, doors, roof, and walls
• Conditions surrounding the scene, including blocked driveways, debris, and dam-
age to other structures
194 ◾ Cliff Roberson

• Weather conditions
• Any unusual circumstances at the scene
• Any fire suppression techniques used
• Status of alarms and sprinklers

PRESERVING THE FIRE SCENE

The first responders and all others involved at the scene need to take special care to pre-
serve the evidence. One step in preserving the evidence is to observe and document the
evidence at the scene. Documentation of the status of the scene should include

• Fire patterns, including multiple fire locations

• Burn injuries to victims and fire patterns on clothing
• Trailers, ignitable liquids, or other unusual fuel distribution
• Any incendiary, ignition, or explosive devices present
• Indications of any forced entry, broken locks, etc.
• Distribution of broken glass and debris
• Any shoe prints and tire impressions
• Any discarded containers, clothing, or other similar items
• Contact information for witnesses, bystanders, and victims
• Any unusual items or absence of normal contents or structural components

Threats to the evidence include the movement, removal, contamination, or destruction

of evidence, such as:

• Fire suppression activities, which may wash away or dilute the evidence or destroy
fire patterns
• Salvage activities, which may involve moving or removing potential evidence
• Necessary medical treatment of victims
• Witnesses and victims leaving the scene
• Personnel walking through the scene who may tamper with or remove potential
evidence
• Vehicles moving across the scene, which may introduce fluids or other materials
• Power tools or equipment, which may introduce contamination from external
sources
• Changing weather conditions, which may destroy potential evidence

Steps that may be taken to protect the evidence include the following:

• Limit access to the scene by preventing the presence of excessive equipment or

personnel and others.
• Avoid needless destruction of property.
• Leave bodies undisturbed until their location and position have been fully
documented.
 Arson Investigation ◾ 195

• Flag items of evidence with cones or markers.

• Record observations through written notes, audio and video recordings, and
photographs.
• Cover items or areas with objects or material that will not contaminate the
evidence.
• Use tape or rope to isolate items or areas containing evidence.
• Collect and secure clothing from victims or suspects.
• Obtain contact information for victims and witnesses.
• Preserve transient evidence such as trace evidence or shoe prints.
• Be sure that the investigators arriving later are fully apprised of the evidence dis-
covered and collected.

SECURITY AND CONTROL

An additional function of the first responder is to establish security and control to help fire
suppression and rescue efforts. This action includes the establishment of a security perim-
eter, control of access into the scene, and initiation of documentation of the scene.

COORDINATION OF ACTIVITIES
Rarely will only one agency report to the fire scene. Emergency operations at the scene
may involve many different agencies, and each agency will probably have a different focus.
Accordingly, coordination among the agencies is essential. To assist in the coordination,
first responders should establish an incident command system to allow for the systematic
flow and transfer of critical scene information. The coordination planning should provide
for at least:

• A command post with a point of contact and a line of communication and

authority
• Staging areas to ensure that emergency and support vehicles have access into the
area
• The ability to communicate critical information to responsible authorities

SUMMARY OF DUTIES OF FIRST RESPONDERS

The key person to a successful arson investigation is often the first responder. Public safety
personnel tasked as first responders have critical duties at any fire scene, including

• Observe the fire and scene conditions.

• Exercise scene safety.
• Preserve the fire scene.
• Establish security and control of the scene.
• Coordinate activities.
196 ◾ Cliff Roberson

CONDUCTING A FIRE INVESTIGATION

Individuals assigned fire investigator duties should follow the procedures outlined in NFPA
921 discussed earlier in this chapter. The established procedure is as follows:

1. Identify and contact the current incident commander and present your
identification.
2. Conduct a briefing and debriefing with the commander.
3. Ascertain who has jurisdiction and authorization (legal right of entry) and iden-
tify other personnel at the scene.
4. Determine the level of assistance required and if additional personnel are needed.
5. Determine initial scene safety prior to entry; consider environmental as well as
personnel safety concerns.
6. Define the extent of the scene.
7. Identify and interview witnesses at the scene.
8. Assess scene security at the time of the fire.
9. Identify resources required to process the scene.
10. Photograph or videotape the scene.
11. Describe and document the scene.
12. Process the evidence.

SUMMARY
Arson is especially difficult to investigate because often the fire destroys much of the evi-
dence. In addition, the fire suppression efforts may also destroy evidence. It is critical for
the first responder to secure the scene and document the evidence. Often the success or
failure of an arson investigation will depend on the actions of the first responder. An indi-
vidual assigned the duty as a fire investigator should study and follow the procedures out-
lined in NFPA 921.

QUESTIONS FOR DISCUSSION

1. Why is it especially difficult to investigate arson?
2. Should all fire scenes be treated as arson until it is ruled out?
3. What are the duties of a first responder at a fire scene?
4. How do arson investigations differ from other crime investigations?

BIBLIOGRAPHY
NFPA. (2011). NFPA 921: Guide for Fire & Explosion Investigations. Quincy, MA: National Fire
Protection Association
SCCFD. (2011). Fire/Arson Investigation. Santa Clara, CA: Santa Clara County Fire Department.
(http://www.sccfd.org/fire_investigation.html).
 Arson Investigation ◾ 197

Steck-Flynn, K. (2009). Crime Scene Investigation: Crime Scene Processing. Crime & Clues, http://www.
crimeandclues.com/index.php/crime-scene-investigation/40-crime-scene-processing/96-
arson-investigation.
Technical Working Group on Fire/Arson Scene Investigation. (2000). Fire and Arson Scene Evidence:
A Guide for Public Safety Personnel. Washington, D.C.: U.S. Department of Justice (www.ncjrs.
gov/pdffiles1/nij/181584.pdf).
Wallace, H. and Roberson, C. (2011). Principles of Criminal Law, 5th ed. Upper Saddle River, NJ:
Prentice-Hall.
 Chapter 12

Financial Investigation
Michael J. Palmiotto
Wichita State University

CHAPTER OBJECTIVES
After reading this chapter, you should be able to do the following:

1. Be able to explain fraud.

2. Describe the investigative role of the federal law enforcement agencies.
3. Describe the role of Certified Fraud Examiners.
4. Know the difference in legal authority between federal law enforcement offi-
cers and Certified Fraud Examiners.

Chapter Outline
• Introduction
• What Is Fraud?
• Association of Certified Fraud Examiners
• Why Financial Investigations?
• Approach to the Investigation of Financial Crimes
• Association of Certified Fraud Examiners
• Summary

INTRODUCTION
Fraud has occurred throughout this country’s history, although it seems more prevalent in
our contemporary society. Today, it seems that fraud occurs daily to someone we know or
in the business world. Fraud is a serious, often underrated offense that seems to be ignored
by many private individuals who practice no prevention methods or are unaware that they
are potential victims of fraud. The business world can be just as oblivious when they fail
to put in place strategies to prevent fraud. In the last several decades, though, awareness of
fraud has grown.
199
200 ◾ Michael J. Palmiotto

Fraud in America can be traced back to the colonial period when fake health cures were
promoted. These medical frauds involved phony medicines, spiritual cures, and bloodlet-
ting. Also, land swindles were not unusual at the time, and either the buyer or the seller
of the land could be the swindler. Immigrants or Indians were often the victims. During
America’s frontier period, land swindler activity increased substantially when expanding
government involvement in acquisitions provided an opportunity for collusive land deal-
ings between land swindlers and government officials. When corporations evolved in the
19th century, fraud occurred when illegal stock was issued by corporate fraudsters. Frauds
involving corporations and governments have continued to persist up to the present day
(Jensen, n.d.).
Before continuing, fraud itself should be defined. The variety of definitions available all
seem to differ slightly. Fraud has been defined by the American Heritage Dictionary (2011)
as “a deception deliberately practiced in order to secure unfair or unlawful gain. A piece
of trickery; a swindle. One who defrauds; a cheat.” Albrecht and Albrecht (2004) provided
what they considered to be the most common definition:

Fraud is a generic term, and embraces all the multifarious means which human
ingenuity can devise, which are restored to by one individual, to get an advantage
over another by false representations. No definite and invariable rule can be laid
down as a general proposition in defining fraud, as it includes surprise, trickery,
cunning, and unfair ways by which another is cheated. The only boundaries defin-
ing it are those which limit human knavery.

Fraud has several components, including deceit, intentional acts, broken trust, econom-
ical losses, secrecy, and fraudsters who may give the appearance of respectability. Joseph
Wells, the founder of the Association of Certified Fraud Examiners, stated, “Fraud can
encompass any crime for gain that uses deception as a principal modus operandi. There
are but three ways to illegally relieve a victim of money: force, trickery, or larceny (Wells,
2008, p. 8).

WHAT IS FRAUD?
Fraud is a crime that can be investigated by sworn law enforcement personnel and private
citizens who are trained in investigating financial crimes. Sworn law enforcement offi-
cers (federal, state, or local) have more authority and power than private fraud examiners;
for example, sworn law enforcement officers have arrest powers, whereas fraud examiners
do not. Both law enforcement investigators and fraud examiners must follow legal pro-
cedures in conducting an investigation dealing with fraud. It is common for former law
enforcement officers to become fraud examiners and to work for corporations or operate
their own business. Because financial crimes occur not only against individuals but also
against corporations and nonprofit organizations, fraud examiners are often employed to
determine if a financial crime has occurred. Corporations are concerned with identify-
ing and dealing with fraud that may be causing a financial loss. They may not take legal
 Financial Investigation ◾ 201

action against fraudsters when they locate them, because they may not want the negative
publicity. Generally, fraud examiners will not investigate financial crimes committed by
corporations; this is generally left to law enforcement officers. A wide variety of federal
statutes provide for taking criminal action against both corporations and private indi-
viduals. Individuals unfamiliar with fraud frequently rely upon auditors to locate it during
reviews of a company’s financial records.
Fraud examiners and financial investigators have different objectives compared to audi-
tors. Auditing is routine and is conducted on an ongoing basis; it involves a general exami-
nation of the financial records of an organization, with opinions provided. The approach
that auditors take is one of skepticism. Conversely, fraud examination occurs only with
sufficient provocation, reasonable suspicion that an inappropriate act may have occurred.
The object of the fraud examination is to locate the fraudster and forward the proof to the
prosecutor. Fraud examinations are adversarial, thorough investigations that prove or dis-
prove allegations of fraud (Wells, 2008).

FEDERAL INVESTIGATIONS OF FINANCIAL CRIMES

Several federal investigative agencies have been given the authority to investigate financial
crimes. It would be difficult to include all of the agencies here that are involved in financial
crime investigation. Instead, only two will be briefly discussed: the Secret Service and the
Federal Bureau of Investigation (FBI). Listed below are the primarily financial offenses
assigned to the Secret Service (2010):

• Identity crimes are defined as the misuse of personal or financial identifiers in order
to gain something of value and/or facilitate other criminal activity. The Secret
Service is the primary federal agency that investigates identity crimes, including
credit card fraud, check fraud, bank fraud, false identification fraud, and passport/
visa fraud.
• Counterfeit and fraudulent identification, as the name implies, involves possession
of false identification documents or counterfeit documents.
• Access device fraud involves false credit cards, debit cards, computer passwords,
personal identification numbers, and long distance access codes.
• Computer fraud involves computer crime.
• Forgery investigations address forged U.S. currency and bonds.
• Money laundering investigations focus on the laundering of monetary proceeds
from criminal acts.
• Electronic benefits transfer fraud investigations look into food stamp fraud.
• Advance fee fraud investigations track Nigerian schemes, known as “4-1-9,” which
promise victims millions of dollars.

The FBI concentrates on corporate fraud, securities and commodities fraud, healthcare
fraud, financial institution fraud, mortgage fraud, insurance fraud, and mass marketing
fraud. The FBI investigates fraud under its Financial Crimes Section (FCS). The mission
202 ◾ Michael J. Palmiotto

of the FCS is to oversee the investigation of financial fraud and to facilitate the forfeiture
of assets from those engaging in federal crimes. The FCS is divided into four units: the
Economic Crimes Unit, Health Care Fraud Unit, Financial Institution Fraud Unit, and the
Asset Forfeiture/Money Laundering Unit:

• Economic Crimes Unit—Responsible for significant frauds targeted against indi-

viduals, businesses, and industries
• Health Care Fraud Unit—Oversees investigations targeting individuals and/or
organizations who are defrauding public and private health care systems
• Financial Institution Fraud Unit—Identifies, targets, disrupts, and dismantles
criminal organizations, and the individuals involved, who engage in fraud schemes
that impact financial institutions, particularly in the areas of mortgage fraud and
bank failures
• Asset Forfeiture/Money Laundering Unit—Identifies, targets, disrupts, and dis-
mantles criminal organizations and individuals through strategic use of asset for-
feiture, in addition to pursuing money laundering violations

ASSOCIATION OF CERTIFIED FRAUD EXAMINERS

Another form of fraud is occupational fraud. Occupational fraud can be defined as “the use
of one’s occupation for personal enrichment through the deliberate misuse or misapplica-
tion of the employing organizations resources of assets” (ACFE, 2008, p. 6). According to
the Association of Certified Fraud Examiners (ACFE), occupational fraud encompasses a
wide spectrum of misconduct by employees, managers, and executives. Most organizations
today, regardless of their size, industry, location, or type, are confronted with occupational
fraud. A primary mission of ACFE is to educate the public and anti-fraud professionals
about the serious threat of occupational fraud.
Certified Fraud Examiners (CFEs) investigated 959 cases of occupational fraud between
January 2006 and February 2008 (ACFE, 2008). They estimated that U.S. organizations
lost 7% of their annual revenue to fraud. This loss in revenue translates to $994 billion in
fraud losses. The following summary outlines the key finding of the Report to the Nation
on Occupational Fraud and Abuse (ACFE, 2008):

• Occupational fraud schemes tend to be extremely costly.

• Occupational fraud schemes frequently continue for years before they are
detected.
• The most common fraud schemes were corruption, which occurred in 27% of all
cases, and fraudulent billing schemes, which occurred in 24% of frauds.
• Occupational frauds are much more likely to be detected by a tip than by audits,
controls, or any other means.
• The implementation of anti-fraud controls appears to have a measurable impact on
an organization’s exposure to fraud.
 Financial Investigation ◾ 203

• Among industries with at least 50 fraud cases, the largest median losses occurred
in manufacturing ($441,000), banking ($250,000), and insurance ($216,000).
• Small business is especially vulnerable to occupational fraud.
• Lack of adequate internal controls was most commonly cited as the factor that
allowed fraud to occur.
• After discovering that they had been defrauded, 78% of the organizations modi-
fied their anti-fraud controls.
• Occupational fraudsters are generally first-time offenders.
• The most commonly cited behavioral red flags were perpetrators living beyond
their apparent means (39%) or experiencing financial difficulties at the time of the
fraud (34%).

WHY FINANCIAL INVESTIGATIONS?

Fraud is a concern to both government and the private sector. Because of the seriousness
of fraud, it cannot be ignored by government or the private sector. Fraud can bankrupt a
government program or put a company out of business. In fact, in the past several decades
companies have gone out of business because of fraud. Drexel Burnham, a financial giant
in the 1980s, disappeared overnight and is considered one of the biggest failures on Wall
Street. Drexel and its financial superstar Michael Milken were involved in the debt take-
over of companies, which led to the culture of a get-rich mentality. Under the guidance of
Milken, Drexel became deeply involved in junk bonds (debt bonds that offer a high rate
of return because they are not financially solid), which were used for company takeovers.
Fraud was committed both by Milken and Drexel; for example, Milken gave inside infor-
mation to traders to manipulate stocks of companies that traders wanted to control. To
avoid federal prosecution, Drexel paid a fine of $650 million and provided information on
Milken. Milken was convicted of fraud and sent to federal prison, and Drexel went out of
business when its shady financial practices were discovered (Cronin et al., 1990).
Jim Bakker was a fundamentalist evangelist who established Praise the Lord (PTL) min-
istries in 1975. Bakker had a PTL television channel and theme park called Heritage USA.
To raise money for Heritage USA, he sold lodging space to contributors to stay once a year
at Heritage. A fraud that was committed was overselling the time share space. In 1988,
Bakker and several of his administrators were charged with fraud and conspiracy. They
were charged with illegally taking bonuses from PTL funds, defrauding contributors to
PTL, mail fraud, tax evasion, and defrauding contributors who purchased membership in
Heritage USA. Bakker was sentenced to 45 years in prison and fined $500,000. PTL went
into bankruptcy and was eventually sold (Groupwatch, 1990).

APPROACH TO THE INVESTIGATION OF FINANCIAL CRIMES

Financial crimes are motivated by greed, which translates to money. They differ from
crimes against people and predatory crimes, such as burglary and larceny. The investiga-
tive focus concentrates on financial dealings. Financial investigators must document in
204 ◾ Michael J. Palmiotto

detail the movement of money during fraudulent acts. They must identify the money trail
and show the chain of events suggesting financial crime. If no money trail exists, the inves-
tigation may have to stop. Information valuable to a financial crime investigation can come
from a wide variety of sources, such as informants, government records, business records,
public records, checking and bank savings accounts, motor vehicle registrations, and real
estate records, including mortgages and deeds. Additional information that may be valu-
able in establishing a money trail includes computer hard drives, computer disks, utility
bills, credit card records, divorce records, recent purchases, and outgoing and incoming
telephone records.
Financial investigators have the responsibility of obtaining evidence suggesting that
financial crimes have been committed or deciding that such crimes did not occur. The
investigator must decide where to look and what to look for in conducting a financial
investigation, keeping in mind the resources required to do so. Financial investigators
must use caution when selecting a suspect for an investigation. It may not always be easy
to determine whom to target; they do not want to accuse innocent people of crimes and
damage their reputations. Investigations generally begin with a suspect who might be a
good source for inside information. When conducting financial investigations, investiga-
tors should seek out anyone who can provide financial information and has the authority
to obtain that information.
One method of investigating fraud is to obtain what is known as direct proof, which
proves the involvement of the suspect in the illegal financial scheme. The investigator
attempts to establish an uninterrupted connection between the proof or evidence found
and particular financial transactions; that is, they build a paper trail of evidence that can
be documented and presented to a jury. The indirect method involves analyzing an indi-
vidual’s net worth and changes in the suspect’s income and liabilities that cannot be read-
ily accounted for.
The goal of solving a crime should be based on ethics, legal guidelines, accuracy, and a
sincere search for the truth (Palmiotto, 2004). Financial investigators must follow the legal
procedures required to lead to arrests and convictions. All investigations must be based on
law, either federal law or state law, and all actions taken while conducting an investigation
must be documented and follow proper protocol. The investigation of financial crimes is
a specialized one that requires precise placement of responsibility, intensive training, and
experience to develop and maintain skills (Eastman and Eastman, 1971).

ASSOCIATION OF CERTIFIED FRAUD EXAMINERS

Certified Fraud Examiners are certified by the Association of Certified Fraud Examiners
(ACFE). Fraud examiners primarily study the areas of accounting, criminology, investi-
gations, and criminal law. After a period of study, candidates must pass an examination
covering their knowledge in all of these areas. In addition, to maintain their certification,
fraud examiners must earn 20 continuing professional education (CPE) credits each year.
Generally, Certified Fraud Examiners are accountants or former law enforcement inves-
tigators. It is a natural progression for a retired law enforcement investigator to enter the
 Financial Investigation ◾ 205

fraud investigation field (it should be noted that some private investigators who have not
obtained certification also investigate financial fraud). ACFE refers to a fraud investigation
as an examination, a term they consider to be less harsh than investigation. Fraud examin-
ers investigate fraud for companies where workers are generally well-educated profession-
als. Many of the people interviewed are high-powered executives, including presidents and
chief financial officers. Not everyone interviewed by fraud examiners is necessarily a sus-
pect; the vast majority of them will not be suspects but witnesses who can provide general
information about the potential offense. Fraud examiners must not be offensive, as they
require the cooperation of those familiar with the business operation. Fraud examiners
who are abrasive, arrogant, and rude will obtain little cooperation and information from
individuals who would otherwise be willing to offer their assistance.
A fraud examination is undertaken when there exists predication or sufficient reason
to initiate an examination. Fraud investigations rarely have benefit of direct evidence or
eyewitnesses, and offenders do not tend to admit to fraud immediately. Like any investiga-
tion, the examination follows a number of steps, and examiners must develop a hypoth-
esis to explain how the alleged fraud has been committed and who the suspects could be.
Assumptions must be made to solve the case; initially, these assumptions are based on the
known facts. Following is a summary of the steps involved (Wells, 2008):

1. Analyze the available data.

2. Create a hypothesis.
3. Test the hypothesis.
4. Refine and amend the hypothesis.

Fraud examiners must know how to review financial statements, records, and support-
ing documents. These documents can provide an indication of fraud upon which an exam-
ination can be conducted. Fraud examiners must conduct such reviews in a legal manner
and follow the rules of chain of custody. Examiners who are weak in reading financial
statements should receive extra training or work with an examiner who has familiarity
with financial statements and records.
The examiner must also know how to conduct an effective interview. It should be noted
that internal fraud committed by employees of a company is the most common type of
fraud (Wells, 2008). Most good interviewers have excellent people skills; they are people
who others want to share information with. Generally, interviews that are kept low key
are the most successful. The interviewer should not be biased, and it is expected that
the interviewer will be on time, dressed professionally, and fair minded in dealing with
interviewees.
Fraud examiners must be able to use the powers of observation to observe behavior,
displays of money, or even offenses being committed (video surveillance is useful in this
regard). Surveillance involves the planned observation of people, places, and things; usu-
ally, places and things are observed to obtain information about people. Surveillance can
be either mobile (following someone) or fixed (stationary). Surveillance can be valuable in
obtaining information about suspects (ACFE, 2011).
206 ◾ Michael J. Palmiotto

Experienced fraud examiners do not initiate examinations to arouse suspicion or incrim-

inate innocent people. They also avoid using words with negative connotations, such as
investigation or audit. They conduct their inquiries in a manner that is not confrontational.
The following examination methods are recommended (Albrecht and Albrecht, 2004):

• Check personnel records and company records (such as purchasing records).

• Interview former employers or unsuccessful vendors.
• Check public records, invigilation, or surveillance.
• Interview other buyers, coworkers, etc.
• Interview suspects.

Albrecht and Albrecht (2004) also outlined specific steps that a fraud examiner should
take:

1. Check an employee’s personnel records for evidence of liens or other financial

difficulties.
2. Perform a special audit of the purchasing functions to examine trends and changes
in prices and purchasing volumes from various vendors.
3. Search public records and other sources to gather evidence about the suspect’s
lifestyle.
4. Perform surveillance or other covert operations.
5. Interview former buyers and unsuccessful vendors.
6. Interview current buyers, including the suspect’s manager (only if collusion with
management is not suspected).
7. Simultaneously interview the suspected buyer and the suspected vendor.

The financial investigations of fraud examiners are similar to those of law enforcement
investigators but they do not have the legal authorities given to government officials. Fraud
examiners may have to be more careful than law enforcement investigators who have the
power to charge someone with a crime or to conduct an interview longer than the inter-
viewer would like. Fraud examiners cannot use the term arrest or testify that a suspect
committed a crime. They can only present their information and let the prosecutor and
jury make the decision.

SUMMARY
Fraud occurs on a daily basis. No one is free from being a victim, including individu-
als, married couples, small businesses, and large corporations. No organization, no matter
how small or large, is immune from fraud. Any business that an individual can think of
has been, currently is, or potentially will be a victim of fraud. Federal investigative agen-
cies have been given legal authorization to investigate financial crimes. Although many
federal agencies have authority to investigate fraud, this chapter concentrated on the two
best known agencies with authority to investigate financial crimes, the FBI and the Secret
 Financial Investigation ◾ 207

Service. In addition to law enforcement investigators, civilians trained in financial investi-

gations are often employed by businesses to investigate fraud against their company. Most
private financial investigators are certified by the Association of Certified Fraud Examiners.
To obtain this designation, examiners must pass an intensive examination, and they must
earn continuing professional education credits every year to maintain their certification.

QUESTIONS FOR DISCUSSION

1. What is fraud?
2. Provide several examples of fraud.
3. Describe the legal authority of the FBI in fraud investigations.
4. Describe the legal authority of Certified Fraud Examiners in fraud investigations.

BIBLIOGRAPHY
ACFE. (2008). Report to the Nation on Occupational Fraud and Abuse. Austin, TX: Association of
Certified Fraud Examiners.
ACFE. (2011). Fraud Examiners Manual. Austin, TX: Association of Certified Fraud Examiners.
Albrecht, W.S. and Albrecht, C. (2004). Fraud Examination and Prevention. Mason, OH: South-
Western.
Anon. (2011). American Heritage Dictionary of the English Language, 5th ed. New York: Houghton
Mifflin Harcourt.
Cronin, M., McCarroll, T., and McWhirter, W. (1990). Predator’s Fall: Drexel Burnham Lambert, Time,
February 26, pp. 46–52 (http://www.time.com/time/magazine/article/0,9171,96948-6-6,00.
html).
Eastman G. and Eastman E. (1971). Municipal Policing. Washington, D.C.: International Association
of Chiefs of Police.
FBI. (2009). Financial Crimes Report to the Public Fiscal Year 2008. Washington, D.C.: Federal Bureau
of Investigation (http://www.fbi.gov/stats-services/publications/fcs_report2008).
Groupwatch. (1990). Hidden Mysteries—Religion’s Frauds, Lies, Control: Praise the Lord, Frankston,
TX: HiddenMysteries.com/TGS Services (http://www.hiddenmysteries.org/religion/evange-
lists/PTL.shtml).
Jensen, B. (n.d). History of Fraud in America. San Antonio, TX: Trinity University (http://www.trin-
ity.edu/rjensen/FraudAmericanHistory.htm).
Palmiotto, M.J. (2004). Criminal Investigation, 3rd ed. New York: University Press of America.
Secret Service. (2010). Criminal Investigations. Washington, D.C.: U.S. Secret Service (http://www.
secretservice.gov/criminal.shtml).
U.S. Department of the Treasury. (1993). Financial Investigations, Publ. No. 1714 (Rev. 6-93), Catalog
15271F. Washington, D.C.: U.S. Government Printing Office.
Wells, J.T. (2008). Principles of Fraud Examination, 2nd ed. Hoboken, NJ: John Wiley & Sons.
 4
Crimes against Persons

Chapter 13 ■ Homicide and Assault

Chapter 14 ■ Sex Crimes

Chapter 15 ■ Robbery

209
 Chapter 13

Homicide and Assault

Gregg W. Etter and Roger L. Pennel
University of Central Missouri

CHAPTER OBJECTIVES
After reading this chapter, you should be able to do the following:

1. Define an assault.
2. Define the crime of felonious homicide.
3. Explain the classifications of death.
4. Explain the aims of a death investigation.
5. Define wounding patterns and explain why they are important.

Chapter Outline
• Assault and Homicide Defined
• Aims of a Death or Assault Investigation
• Manner of Death
• Autopsy and the Role of the Coroner or Medical Examiner
• Motive, Method, and Opportunity: Putting the Investigation All Together
• Interviewing Witnesses
• Physical Evidence
• Summary

ASSAULT AND HOMICIDE DEFINED

The ways in which we attempt to or actually harm each other are almost infinite. Each indi-
vidual state within the United States has its own statutory definition of what constitutes the
crimes of assault and homicide, and the federal government has its own definition, as well.
Most definitions of the crime of assault, however, center around the common law explana-
tion as stated by Black (1968), who defined the crime of assault as “an intentional, unlawful
offer of corporal injury to another by force, or force unlawfully directed toward person of
211
212 ◾ Gregg W. Etter and Roger L. Pennel

another, under such circumstances as create well-founded fear of imminent peril, coupled
with apparent present ability to execute attempt, if not prevented” (Black, 1968; Naler v. State,
1933; State v. Staw, 1922). In some states (e.g., Missouri and Louisiana), the crime of assault
covers both the attempt and the actual resulting harm, but in others (e.g., Kansas) the crime
of assault is the attempt to do harm, and the actual harm or injury is known as the crime of
battery. In some states (e.g., Missouri and Louisiana), the actual amount of harm or actual
potential for harm determines the degree of the crime; for example, first-degree and second-
degree assault can be a felony, and third-degree assault a misdemeanor. Also, in Kansas, for
example, the presence or use of a weapon as well as the degree of harm or potential for harm
can distinguish aggravated assault/battery (a felony) from simple assault (a misdemeanor).
If the injury inflicted in the assault is severe enough, it can turn into a homicide. Black
defined homicide as “the act of a human being in taking away the life of another human
being” (Black, 1968; Hogan v. State, 1934; Sanders v. State, 1901). Black suggested that not
all homicides are crimes and further subdivided his definition to explain justifiable, excus-
able, and felonious homicides (Black, 1968; People v. Connors, 1895). Felonious homicide
occurs when a human being is wrongfully killed without justification or excuse in law. A
justifiable homicide occurs when a human being is lawfully killed either by legal court
order (i.e., death warrant for a lawful execution) or in protection of life as provided by law,
such as a law enforcement officer killing a robber who is shooting at the officer. An excus-
able homicide is a killing that occurs either by misadventure (homicide per infortunium)
or in self-defense (homicide se defendendo) (Black, 1968). Both assaults and homicides are
investigated in a similar manner. The primary difference is that, in an assault, we usually
have the victim available to provide evidence against their attacker. In a homicide, certain
evidence can still be provided by the corpse of the victim, but unless it is a deathbed state-
ment it is usually not verbal testimony.

AIMS OF A DEATH OR ASSAULT INVESTIGATION

Death or assault investigations aim to answer the following questions:
• Who died or was injured? (identification of the victim)
• Where did the incident occur? (actual location of the assault or killing)
• When did the person die or get assaulted? (time of death or injury)
• Why did the person get hurt or die? (cause of death or injury)
• How did the person get hurt or die? (manner and mechanism of death or injury)

MANNER OF DEATH
Everybody dies eventually, some sooner than others. People die every day. If you don’t
believe it, look in the obituary section of your local paper to see who just died. According to
the Centers for Disease Control (CDC), about 803.6 people per 100,000 in the United States
will die each year (CDC, 2011a). Not all deaths are criminal, but some are. The manner of
death can be classified as natural causes, accidental, suicide, and homicide (Gilbert, 2004;
James and Nordby, 2003).
 Homicide and Assault ◾ 213

NATURAL CAUSES
In the case of a death by natural causes, the most common type, the death is usually the
result of a disease or other known infirmity. It is often expected, even by the victim. The
attending physician can sign the death certificate and no further law enforcement action is
required; however, if the attending physician will not sign the death certificate, it becomes
the responsibility of the coroner, in which case law enforcement involvement is highly prob-
able, if only to gather facts for the coroner. Law enforcement officers should be sure that the
death is not a murder or suicide being made to look like death from a natural cause.

ACCIDENTAL DEATHS
Death in an accident or other misadventure is the second leading cause of death in the
United States. An accidental death is a death caused by unintentional injuries (CDC, 2011a).
Accidental deaths include automobile accidents, industrial accidents, home accidents, and
most drug-induced deaths (overdoses). These deaths are investigated, as is any other death
investigation, for possible civil or criminal action. Special care must be undertaken by the
investigator to ensure that the death was actually accidental and not a homicide or suicide
being made to look like an accident.

SUICIDE
A suicide is self-inflicted death. According to the CDC (2011a), suicide ranks as num-
ber 11 among the top 15 causes of death in the United States. The predominant ways in
which people commit suicide in the United States are firearms, suffocation, and poisoning.
Investigators should note that a suicide note is not always present. Suicide is sometimes
faked by suspects to hide the murder of a victim, and sometimes suicide is made to look
like murder by family or friends to cover suicide (usually for religious or insurance rea-
sons). In most states, assisting a person to commit suicide is a criminal offense.

HOMICIDE
Homicide is the unlawful killing of a human being by another. According to the CDC
(2011a), it ranks as number 15 of the top 15 causes of death in the United States. Common
elements of the crime of homicide may include intent, malice, and aforethought.

AUTOPSY AND THE ROLE OF THE

CORONER OR MEDICAL EXAMINER
In most jurisdictions, not only are law enforcement officers involved in a death investi-
gation but so, too, is the coroner or medical examiner. Coroners, who may or may not
be medical doctors, and medical examiners, who generally are medical doctors and fully
qualified pathologists, may be elected or appointed, depending on the laws of the state
214 ◾ Gregg W. Etter and Roger L. Pennel

involved. In some jurisdictions, they maintain a fully staffed investigative office, including
medicolegal death investigators, who attend crime scenes with law enforcement officials.
In other jurisdictions, law enforcement officials bring the evidence and the body of the
victim to the coroner for examination. An autopsy is a postmortem examination of the
deceased conducted by a coroner or medical examiner to determine the cause of death of
the deceased. The procedure gathers evidence on the mechanism of death. The coroner
determines the identity of the victim and cause of death of the individual. In homicides
and suicides, coroners or medical examiners rule out accidental or natural causes (Cataldie,
2006; Fisher, 2000; Ramsland, 2008).

PRELIMINARY CONSIDERATIONS
Upon arrival at an incident, the absolute first thing that a law enforcement officer must
do is to make sure that the scene of the incident is secure. This is an essential priority in
any first response. Securing the scene begins with clearing the scene and making sure that
there is no imminent danger to the officer or the public. This might be as simple as glancing
around to see who is there and if it is safe. However, if the bomb is still ticking or if the bad
guy is still there and poses a threat, it is important to keep in mind that the first responder
could get killed. As a first responder, remember that the pool of blood that you should
examine is supposed to be someone else’s, not your own. Officers have arrived at homicide
scenes where the murderer was still standing there with the smoking gun in his hand. It is
rare, but it does happen. Safety first!
Contact the reporting party. Identify the reporting party and determine what occurred.
What is the reporting party’s role in this—victim, witness, suspect? Who else is involved?
Witnesses and suspects need to be identified to conduct a proper investigation (Geberth,
2006; Weston and Lushbaugh, 2003). If applicable, secure the scene of the crime. A saying
among the investigations community is that, “Evidence has legs!” This means that your
evidence will walk off or be contaminated if the scene is not secured and protected. Even
the simple act of too many people walking through the scene can destroy or remove hair,
fiber, footprints, tire tracks, etc. Protect the scene to preserve any evidence (Fisher, 2000;
Geberth, 2006; Girard, 2011; James and Nordby, 2003; Ogle, 2004; Saferstein, 2004).
The first responder needs to look for anything that could be considered as evidence.
Identification of evidence by the initial responder ensures that the evidence will be properly
collected, processed, and analyzed. This is a most important function. Detectives cannot
examine evidence that was never identified and collected by investigators. The investigators
must make sure that the evidence is legally collected; at times, investigators may need to get
a search warrant or advise suspects of their Miranda rights. There is no “homicide excep-
tion” to the need to obtain a search warrant if one is needed (Mincey v. Arizona, 1978). The
investigator also must make sure that the evidence is properly packaged, marked, turned
in, and stored in such a way as to maintain the chain of custody. Evidence can be spoiled
by contamination, which reduces its evidentiary value, or it can be excluded because it was
collected illegally (Fisher, 2000; Geberth, 2006; Girard, 2011; James and Nordby, 2003; Ogle,
2004; Saferstein, 2004).
 Homicide and Assault ◾ 215

CRIME SCENE
Upon arriving at the crime scene, investigators should first secure the crime scene if it has
not already been accomplished by the first responder. They should make sure that they
have the right to legally seize any evidence present and get a search warrant when neces-
sary (Mincey v. Arizona, 1978). Using procedures described in Chapter 2, the investiga-
tor should make an initial walk-through of the crime scene. The crime scene should be
thoroughly diagrammed and photographed. Possible evidence includes the victim’s body,
biological evidence, fingerprints, trace evidence, impression evidence, and weapons. As
previously mentioned, all evidence needs to be properly collected, packaged, and turned
in for further analysis.
Investigators need to locate and examine the body of the victim. The body may be read-
ily apparent, but it may have been moved by the suspect from the initial crime scene and
concealed. Investigators looking for a victim’s body sometime use cadaver dogs to assist in
the search; these dogs are often able to detect a body that has been buried in a clandestine
grave (Geberth, 2006; Hallcox and Welch, 2006). Ground-penetrating radar is also used to
detect buried bodies (GSSI, 2011). Other indications of a concealed grave are changes in the
color and depth of vegetation and soil at the site (Davenport et al., 1992).
When the victim’s body has been located, investigators should carefully observe the
position of the body (Lyman, 1999). Are any wounds visible on the body? Are any of these
wounds defensive wounds? Is rigor mortis or livor mortis apparent? Is there visible decom-
position of the body? Don’t move the body until the coroner or medical examiner says it
is all right to do so. If the intended roles are played out properly, the scene belongs to the
police investigator, and the body belongs to the coroner or medical examiner. A thoroughly
processed crime scene can assist in successfully solving a case.

IDENTIFYING THE VICTIM

Accurate identification of the victim is essential. The body of the victim may be whole and
readily identifiable, or it may be dismembered, decomposed, or skeletonized, which makes
identification more difficult. Identification papers found on the body of the victim may or
may not be the victim’s actual papers. Identification of the deceased is most often accom-
plished by family members identifying the victim. Fingerprints can be used for identifica-
tion of the deceased providing that fingerprints are obtainable from the corpse (damage
or decomposition may prevent this) and the victim’s fingerprints are on file so they can
be compared. DNA from the body or skeleton may also be used for comparison with the
victim’s relatives, if they are known. If the teeth of the victim are intact, identification may
be possible by comparing dental records of missing subjects of the same race, gender, and
age. This identification can be made by a forensic odontologist, who also makes dental
comparisons for rape or child abuse cases involving teeth marks (Harvey, 1976).
Scars, marks, and tattoos on the victim’s body have also been used as a means of iden-
tification, in addition to evidence of prior surgical procedures. Forensic radiologists can
compare x-rays taken while the person was alive against x-rays of the remains; they are also
216 ◾ Gregg W. Etter and Roger L. Pennel

called in for cases involving small children or babies who have been abused and suffered
broken bones. A child’s death may prompt taking postmortem x-rays to determine any
evidence of abuse while the child was alive (Weston and Lushbaugh, 2003).
In the case of skeletonized remains, the first thing that a forensic anthropologist does
is to determine if the bones are human. If so, a forensic anthropologist may be able to
determine the race, sex, and approximate age, height, and weight of the deceased. Facial
reconstruction of the victim is sometimes possible; such models of a victim’s face can aid
in identification of the victim and has been used successfully in many cases in the United
States.

POSTMORTEN CHANGES AND

DETERMINING THE TIME OF DEATH
Most murders are witnessed or discovered shortly after the fact; the bodies are readily
found, and they bear proper identification. In a minority of homicides, though, a body is
found well after the death, when a number of changes to the body have occurred. Often
these bodies bear no identification. The changes that occur after death can reveal much
about the individual and his or her death, including how long it has been since the death
(which can be useful when determining possible motives), the time frame of the death
(which can be used as a starting point in the investigation), and what types of evidence to
consider collecting. As a rule, in determining the time of death, an investigator should not
rely on a single factor. A great deal of variation as to the time of death may be found within
a single factor.
The three major sources of evidence useful in determining the approximate time of
death are corporal evidence, which is present in and on the body; environmental and asso-
ciated evidence, which is present in the vicinity of the body; and anamnestic evidence,
which reveals the habits and daily routine of the deceased. Corporal evidence can include
the presence or absence of clothing and number of layers, the body temperature at death,
and the size, physical condition, state of nutrition, location, and position of the body. The
investigator would expect the body temperature to be approximately 98.6°F, although an
infection, seizure, or heat injury, such as a heat stroke, may raise the temperature several
degrees above 100°F. The temperature at the time of death can also be well below 98.6°F,
such as in the case of shock, impaired metabolism, or hypothermia. The rate of postmor-
tem changes will be considerably different for a muscular, young person in good physical
condition suffering from no malnutrition compared to an elderly person in poor physi-
cal shape. The rate of changes also differs for a nude body in a fully extended position as
opposed to a clothed individual in a fetal position.
Environmental evidence might include whether the body was indoors or outdoors,
whether it was lying on the ground or buried, in water or in the desert. Other factors
include the relative humidity, air currents, or precipitation. Anamnestic evidence includes
the personal habits or routines of the individual; some may figure into solving the case, but
others are totally irrelevant. It may be necessary to determine, for example, what type work
the victim did, whether the victim’s work would normally bring him or her to the location
 Homicide and Assault ◾ 217

where the body was found, what type of foods the victim ate (or didn’t eat), and whether
the victim smoked, drank, or used drugs. What was the victim’s daily routine? Was there
anything different about it that day? Were there things the victim was in the habit of doing
around the house that are not done? Did the victim normally drive down this road? The
list of questions is endless.
The body begins the change process at the time of death. The longer the period of time
between death and when the body is discovered, the less precise will be the estimation of
the time of death. Changes to the body progress in a relative orderly process, and the ques-
tion to be answered typically is at what point in this process was the body found?
The factor used most often to determine the time of death is algor mortis, or the process
of the body cooling off. Geberth (2006) used the following information as a rule of thumb:
If the body is warm, death occurred a few hours ago; if the body is cold and clammy, death
occurred anywhere between 18 and 24 hours ago. As a general rule, the normal tempera-
ture of the healthy person is 98.6°F. The generally accepted rate of cooling is about 1.5°F
per hour. So, to determine the number of hours since death, the following formula can
be used: (98.6 – current body temperature) ÷ 1.5. Even assuming that this is an accurate
indicator, it is still necessary for the body to have been at 98.6°F at the time of death. In the
case of pneumonia or cocaine death, the temperature could be around 105°F or, in the case
of heat stroke, even 110°F. In contrast, in cases of impaired metabolism, the body tempera-
ture at death could have been 93°F; it could be even lower in cases of exposure to cold (i.e.,
hypothermia). At some point, the body temperature loses relevance, as the body will tend
to approximate the temperature of the environment. This makes it necessary to determine
the rectal temperature of the body and the temperature of the environment.
Rigor mortis is a common form of determining time since death, although it is the least
accurate method (Geberth, 2006). Rigor mortis is the stiffening of the muscles related to
chemical changes occurring after death. It fixes the body in the position assumed at death.
If a person dies in a seated position and rigor mortis sets in, the body will retain that posi-
tion when moved. Rigor mortis is not a permanent condition. It begins at the same time
throughout the body, although it first becomes evident in the shorter muscles, such as the
face, becoming evident in the larger muscles later. This process generally begins in 2 to 4
hours, is completed 8 to 12 hours, and begins leaving the body at 18 to 36 hours. The begin-
ning of the process can be accelerated or delayed, thus affecting the entire time line. If the
body or the environmental temperatures are high, the onset of the process will be speeded
up, while a cold environmental temperature will delay the onset.
A concept often confused with rigor mortis is cadaveric spasm. Cadaveric spasm is the
stiffening of a single group of muscles occurring immediately after death, such as a hand
still gripping the gun used to commit suicide. In contrast, rigor mortis is a process involv-
ing all muscles of the body, and the stiffening of cadaveric spasm does not leave the body,
as in the case of rigor mortis.
Postmortem lividity (livor mortis) is the purple discoloration at the lowest parts of
the body after death. When the heart no longer beats, the blood ceases to flow; gravity
takes over, and the blood settles to the lowest part of the body. Without oxygen, the blood
changes to a purple color. In the body of a victim lying on his back, the blood will settle
218 ◾ Gregg W. Etter and Roger L. Pennel

to the shoulders, back buttocks, and backs of the thighs and calves. An exception to this is
when the body is in direct contact with the floor (also called blanching). These same areas
(shoulder blades, buttocks, and backs of the thighs and calves) will be a white color rather
than purple, as the pressure of the floor does not permit blood flow into these areas. When
the cause of death is chemical death by means of carbon monoxide poisoning, the color of
these areas will be cherry red.
Livor mortis may be helpful in determining how long the victim has been dead and
whether the body has been moved after death. If two parts of the body, such as the back
and one side, have similar colors, then it is possible the body was moved after death. Livor
mortis begins in approximately 30 minutes, becomes perceptible in about 1 to 4 hours,
is well developed after 3 to 4 hours, and becomes fixed at 8 to 10 hours. The term “fixed”
means that the livor patterns have settled in one position and cannot be shifted, even by
moving the body to a different position. The point of fixing does not necessarily mean that
the blood has lost its fluid nature, but that the blood is being obstructed from flowing out
of the capillaries by the gelled blood.
The contents of the gastrointestinal tract can provide clues as to the last time the victim
ate, what the victim ate, or where the victim ate. There is a general lack of agreement as to
how long it takes for the stomach to empty, although Geberth (2006) suggested that the
stomach empties its contents within 4 to 6 hours after a meal. If there is no evidence of
food in the stomach, it may be necessary for the forensic pathologist to examine the small
intestines, where food may remain for up to 12 hours. The process of the stomach empty-
ing its contents may be affected by the type of food, the amount of food, at what rate the
body metabolizes the food, and the presence of any type of medication. If there is any pos-
sibility that food may figure into the death, particularly at a residence, samples should be
collected.
Postmortem decomposition is a process where the body basically turns on itself. This
process has two components: autolysis and putrefaction (the major component of decom-
position). Autolysis occurs when digestive juices break down the tissues of the gastroin-
testinal tract, which may result in perforation of the stomach within a few hours of death.
During life, digestive juices act on food; during death, they act on the body.
Putrefaction occurs when bacteria within the body acts on the cells of the body, initiat-
ing a decaying process. During this process, gases are produced that distort and discolor
the tissues of the body. The body begins to swell and produce a foul odor. The process is
initially indicated in the area of the abdomen by a greenish color; it then spreads to the
remainder of the body. A general timeline may be loosely derived from Casper’s dictum
regarding the rate of putrefaction: One week of putrefaction in air = two weeks in water =
eight weeks buried in soil. A similar decay process occurs in the blood vessels. The blood
breaks down and stains the vessels, producing a greenish-black discoloration along the
blood vessels. The marbling, due to the dark color and being close to the skin, will be
evident.
Some of the changes discussed above will naturally occur in most environments if the
body is not found is sufficient time. Other changes only occur when a body has been placed
in a particular type of environment. Adipocere is produced when a body is left in water or
 Homicide and Assault ◾ 219

in a very moist environment. Adipocere is a grayish-white, cheesy, or soap-like substance

consisting of fatty acids; it develops on the surface of a body that has been lying in a moist
area. It usually appears first in areas with large deposits of fatty tissue, such as the face or
buttocks. If a body is left in a hot, dry environment with good air circulation, the bacterial
process will be retarded by the dehydration process that occurs; the result can be mum-
mification, where the body becomes withered and shriveled up. As a rule, regardless of the
environment, the body will usually proceed through putrefaction.
The body changes discussed above reflect the body’s reaction to the environment,
although things can happen to a body that are the result of the environment reacting to the
body. These external sources may include the presence of insects, animals feeding on the
body, or the depositing of plant life. The change agent most likely to appear on the body
will be maggots after flies deposit their eggs on the body. The eggs planted on the body go
through a precise development process. Major factors determining the rate of development
are the temperature and the environmental conditions. Based on the stage of the life cycle
at which the maggots are found, it is possible to determine an approximate time since
death. Maturing from an egg to an adult requires about 16 to 35 days. A critical factor
impacting the entire timeline is whether the flies were deposited on the body at the time
it was placed in the environment. Insects may further become involved in the destruction
process when roaches and other types of insects bite the skin. This is a very slow process,
and such insects probably will not consume the entire body, although the small bite marks
may lead investigators to believe that the source of the marks was human, as in the case of
torture. If animals are suspected, the forensic pathologist will probably look for V-shaped
bite marks in the bones or scratch marks surrounding the wound.
The presence of animals in either an external or internal environment will bring about
other physical changes. Portions of a body found in a home may be eaten away, usually
those areas not covered by clothing. If no food was available after the time of death, pets
may begin feeding on their owner’s body. Domesticated animals may eat only a small por-
tion of the exposed skin, or they may eat it down to the bone. Mice and rats may also feed
on the body. Occasionally plant life may grow on a body, usually outdoors but occasionally
indoors. The body may have fallen on seasonal plant life that can assist in the timeline.
White or yellow fungus is among the more common types of plant life found on a body.
Each of these changes may help in determining the time of death. A time of death based
on only one of these factors is likely to be less accurate than one that considers each of these
factors.

IDENTIFYING SUSPECTS
Suspects may be identified by the victim, by witnesses to the crime, or by informants.
Suspects can be identified by physical evidence such as fingerprints or DNA, or they may
confess to the crime out of remorse. The investigator often begins looking for suspects
by examining all those persons who last had contact with the victim: friends, associ-
ates, enemies, family, etc. The identification of a suspect is another essential part of the
investigation.
220 ◾ Gregg W. Etter and Roger L. Pennel

MOTIVE, METHOD, AND OPPORTUNITY:

PUTTING THE INVESTIGATION ALL TOGETHER
The investigator is charged with finding out not only what happened but also who was
involved and whether a crime has been committed. The development of motive, method,
and opportunity is essential to any criminal homicide investigation. A suspect may have
hated a victim (motive) who was beaten to death (method) and publicly stated so on many
occasions, but the suspect was in prison at the time of the victim’s death (lack of opportu-
nity). All three factors are crucial in developing probable cause in the investigation using
the “totality of the circumstances” doctrine as advocated in Illinois v. Gates, 462 U.S. 213
(1983). These factors may be proved by testimonial or physical evidence.

MOTIVE
The motive is the cause or reason why the perpetrator attacked or killed the victim (Black,
1968). There can be a single motive or a combination of motives in an assault or killing.
Motives can include (Osterburg and Ward, 2010; Weston and Lushbaugh, 2003):

• Rage or other emotional factors

• Relationships (wife/husband, lover, boyfriend/girlfriend, parents, siblings)
• Revenge or jealousy
• Financial gain
• Sex (either sexual gratification or sex connected)
• Killing in the act of committing another crime
• Random or “thrill” killing

METHOD
The method is how the attack was actually accomplished or attempted against the victim.
Did the suspect point a gun at the victim? Stab the victim? Strike the victim with his hands
or feet? Each type of attack produces a different type of injury or, in the case of a swing and
a miss, no injury at all, but it is still an assault. The investigator must be able to determine
how the attack occurred in order to prove the crime.

OPPORTUNITY
In order to prove that the suspect committed the crime, the investigator must show that
the suspect had the opportunity to commit the crime. Was the suspect physically present
at the time of the crime? Could the suspect physically do what was necessary to accomplish
the alleged assault?
 Homicide and Assault ◾ 221

INTERVIEWING WITNESSES
Witnesses are a crucial part of any assault or homicide investigation; therefore, identifying
witnesses and conducting timely interviews are essential. Investigators have to get a wit-
ness’ story down before it changes or the witness disappears. Don’t expect witnesses to wait
around for hours to voluntarily talk to an inspector. Witnesses may not even want to be
involved in the case (Bennett and Hess, 1991; Gerber and Schroeder, 1974).
Many prosecutors and police prefer to have eyewitness testimony about a crime; how-
ever, eyewitness testimony can have its drawbacks and is not necessarily reliable or accu-
rate. As an example, picture the face of a clock, and suppose that Witness 1 is standing at
the 12. Witness 2 is at 2, Witness 3 is at 11, Witness 4 is at 8, and the victim is in the center
of the clock. The suspect is at 6. Obviously, each witness saw what happened a little differ-
ently. It is necessary to document where every witness was in relation to the victim and
suspect, as well as what they actually saw, heard, tasted, or smelled. If you don’t find these
witnesses and document exactly what they experienced, you can be sure that the defense
attorney will! Be careful not to put words in anybody’s mouth. Some investigators, for
example, would not even mention finding a knife to avoid planting the idea of a knife in
a witness’ mind; instead, they would simply ask the witness exactly what the witness saw
or heard (Pena, 1997). Accurately document what they saw or didn’t see. Can the witness
place the victim at the scene? Can the witness place the suspect at the scene? Did the wit-
ness hear any threats or argument? All of these questions are relevant, even those with
negative answers.
Statements taken by investigators from witnesses have to be credible; therefore, wit-
nesses must be kept separate to prevent creating a “collective memory” of what happened.
We want to know what each person witnessed, not hear a compromised account obtained
by group discussion. People usually mean well but they do talk to each other and memories
become corrupted.

PHYSICAL EVIDENCE
Just as important and in some cases even more important is the physical evidence in the
case. Ogle (2004) noted that physical evidence gives investigators valuable clues as to what
happened, can prove or disprove statements by the defendant, provides the jury with a
tangible object to see to strengthen the case, and is not subject to memory loss as is witness
testimony. Physical evidence in homicides and assaults can consist of weapons, trace evi-
dence, biological evidence, impression evidence, photographs, etc. Be aware, though, that,
“Physical evidence has value in court proceedings only when the forensic scientist who tes-
tifies about it understands—and can explain to a jury—how the results of this analysis may
be interpreted in the context of the crime scene” (Girard, 2011). Some examples of physical
evidence are discussed in the following sections.
222 ◾ Gregg W. Etter and Roger L. Pennel

WEAPONS
Weapons are the means used by assailants to assault or murder their victims. The use of
a weapon may or may not cause injury to the victim; for example, a victim who has been
shot at but the bullet missed has still been assaulted. Various types of weapons may cause
different wounding patterns. Walker (1983) stated that, “In an armed assault, the recovery
of the weapon that was used is of primary concern, particularly if it was a firearm.”

Personal Weapons
Personal weapons are the most readily available, as they consist of the assailant’s various
body parts (e.g., hands, head, teeth, feet). The use of body parts as a weapon can cause
injury or even death. The actions taken by the suspect might be as simple as a push or a
shove to cause the victim to fall off of a cliff or building. Investigators should examine pos-
sible contact surfaces such as the knuckles of the hand for abrasions, contusions, or other
signs of contact with the victim. Bite marks can be matched to their owner by a forensic
dentist using forensic odontology. Bite marks may be offensive or defensive wounds (State
v. Peoples, 1980).

Blunt Instruments
A blunt instrument can be anything used as a club, a rock, a brick, an automobile bumper,
etc. Blunt instruments bludgeon the victim and often leave a crushing injury, such as bro-
ken bones or contusions. Injury or death can occur. Examine the weapon for fingerprints
or biological or trace evidence. This type of weapon can leave impression evidence.

Edged or Pointed Weapons

An edged or pointed weapon can be a knife, sword, axe, meat cleaver, straight razor, spear,
ice pick, letter opener, or other similar object. Edged or pointed weapons can create a stab-
bing wound or a slashing wound. Examine the weapon for fingerprints or biological or
trace evidence. The shape of the cut or puncture on the victim’s body can indicate the
direction of the thrust of the weapon.

Firearms
Firearms are weapons that use the explosion of a gunpowder charge to propel a projectile
or bullet. Firearms are generally considered to be handguns, rifles, muskets, and shotguns.
If the bullet strikes the victim, it usually causes a penetrating (puncture) or grazing (abra-
sion) wound. Investigators should examine the weapons, cartridge cases, and expended
bullets for fingerprints, ballistic evidence, and biological evidence.

Arson (Fire and Explosives)

The definition of arson is destroying property by fire or explosives, but sometimes people
are killed. Fire victims often die from the toxic gases and fumes created by the fire and do
not show signs of actual burning. Bodies that are burned can display a degree of burning
ranging from first degree to sixth degree. The body may be partially or almost entirely
 Homicide and Assault ◾ 223

consumed by the flames, leaving only trace evidence (usually pieces of bone or teeth). A
victim’s body may show signs of charring and other extensive body damage. Investigators
should look at fire burn patterns to determine the probable point of origin. Investigators
should also look for the presence of an accelerant that would indicate that the fire had been
set on purpose. Fires are sometime set to cover murders or other crimes. Explosives have
different blast patterns and different chemical signatures; they often dismember victims
with tremendous force. Sometimes victims are killed by the concussion of the blast, which
can leave the victim with no external signs of injury but blunt injury trauma to internal
organs (Walker, 1983).

Poisons
Poisons are toxic substances that can induce injury or death in the victim. While often
used as a method of suicide, poison is fairly rare as a method of homicide (Geberth, 2006).
Poisons may be biological or chemical, which can be solid, liquid, or gaseous. They may
be administered orally, intravenously, by inhalation, or through osmosis. Poisons leave
trace evidence that can be identified through chemical analysis and forensic toxicology
(James and Nordby, 2003; Saferstein, 2004). Corrosion or the appearance of burning at the
mouth may be present in victims who ingested a caustic substance. Dilation of the eyes
may be present in poisoning from atropine or belladonna, but opiate alkaloids or nicotine
cause contraction of the pupils in victims. The color of lividity on the victim’s body may
be affected (e.g., red vs. purplish in cyanide victims). The contents of the victim’s stomach
often give clues as to the poison involved (Fisher, 2000).

Other Weapons
Perpetrators have been very imaginative in the use of everyday objects as weapons. A sim-
ple pillow can be used to smother someone to death. A length of rope or an electrical cord
becomes a ligature or garrote used to strangle someone. An electric curling iron is usu-
ally harmless, but when plugged in to electricity and pitched into the bathtub with one’s
estranged wife it becomes deadly. The possibilities are endless. Injuries will vary according
to the objects used. The crime scenes often are made by the suspect to look as though a
natural or accidental death occurred.

WOUNDING PATTERNS
The wound is the actual damage done by the assailant to the victim’s body. Different
wounding patterns are caused by the usage of different weapons. It is important for the
investigator to have knowledge of and be able to recognize different wounding patterns.

Abrasion
There are three types of blunt force trauma: abrasion, contusion, and laceration. Abrasion
occurs when a body scrapes against a surface and the outer layer of skin is damaged. The
seriousness of the external wound depends on such factors as the force of the contact, the
roughness of the surface, and the location of the wound. An injury caused by a person
224 ◾ Gregg W. Etter and Roger L. Pennel

falling out of a moving vehicle onto an asphalt or concrete surface will result in a serious
abrasion; an injury that occurs when a person slips on a grassy surface and scrapes the calf
of his leg will be less serious. Abrasions are also more serious where the bone is close to
the surface. Abrasions, as far as general appearance, may be considered to be the least seri-
ous type of injury, although they can be deceptive because the force of the impact may be
severe enough to result in internal injuries. Abrasions form a reddish-brown scab when the
skin oozes fluids and blood. An object used with prolonged force can also leave an abrasion
mark on the victim; this type of injury is known as pattern abrasion. An example is the
pattern left on the victim’s neck when a rope or a curtain cord was used to kill the victim
by means of ligature strangulation. The same result may be observed on the wrists when
handcuffs or ropes are used to confine the person’s hands.

Contusion
A contusion (or bruise) is an injury to a person caused by the impact of blunt force but the
skin is not broken. When this blunt force contacts the skin but does not break it, blood
vessels rupture, which is evident in the changing color of the skin as the blood spreads out.
Often overlooked are the body organs below the surface where the blow was delivered. The
location of the bruising will be immediately below or in the general vicinity of where the
blow was administered. In some cases, though, this may not be true. An example of this
would be a very severe blow to the forehead. At the point of contact, a pronounced swelling
will be visible due to the loss of blood into the tissue, and the bruising will spread out from
that location. If this is severe enough, there may be significant migration of the blood to
various areas of the face. In several days, the eye may become discolored, with the blood
then traveling to the cheek area, the side of the face, and ultimately to the chin and neck
area. It is likely that the total healing process in this case may take several months.
The severity of contusions differs among individuals, depending on the type of tissue in
the area of injury and the extent of the blood supply. Factors that may be present can affect
the severity of a bruise (Knight, 1996):

• Lax tissue, such as eyelids (older people, genetic connective-tissue syndromes)

• Delicate tissues (in children and older people)
• Scanty muscle mass or obesity
• Bleeding tendency (due to alcoholism, hemophilia, taking aspirin or other
anticoagulants)

Due to these variables, the intensity of the blow may not always be indicated by the appear-
ance of the contusion. It is important for the investigator not to confuse the presence of
contusions with postmortem lividity. If contusions are interpreted to be lividity, their pres-
ence may give the investigator the false impression that the victim may have been moved,
when in fact the victim had not.
Evidence of a cutting injury will continue to be apparent due to the presence of a scar.
In the case of a contusion, however, once the location has healed there often will be no evi-
dence of the injury. For this reason, it is necessary to photograph the injury. The contusion
 Homicide and Assault ◾ 225

will go through a series of color changes, so photographs should continue to be taken for
the next several days, even up to a week, to document the changes in color and size. In the
case of an abdominal injury caused by a seat belt, the extent of the initial injury may be a
slightly reddened area, 2 inches wide from one hip to the other hip. Within several days,
though, the injury site may well be from 4 to 6 inches wide with major discoloration, more
accurately reflecting the actual severity of the contusion.
Although contusions routinely change in color after the initial impact and during the
healing process, there is a lack of precision in gauging the age of contusions by their color
(Geberth, 2006). It is best to simply determine whether a contusion is relatively old or new.
Consider an angry female who wants her significant other arrested. She may display a con-
tusion and report that she was assaulted several hours ago, but the color of the contusion
is yellow or brownish. This would indicate that the assault, at the least, took place several
days ago; therefore, it would classified as “old.”
According the Bernard Knight (1996), a British forensic pathologist, medical textbooks
in the past had attempted to determine a timeline of assaults based on the color of contu-
sions. He suggested that, “It is not practicable to construct an accurate calendar of these
color changes … as there are too many variables for this to be reliable.” Listed below is a
very general guideline to the progression of color change:

1. Red with swelling

2. Red, purple, blue
3. Greenish margins
4. Yellow cast
5. Brownish
6. Final healing, depending on size

A victim with a contusion that is yellowish or brown in color who indicates that she was
assaulted the previous day is probably lying, because the contusion would be considered to
be more than one day old.
When photographing contusions, a color scale should be used for accuracy and proper
color when the photographs are printed. Depending on a number of variables of the cam-
era, including the f/stop, the time of exposure, and the lighting of the area, the color on the
photograph will often be different for the actual color of the injury.

Lacerations
A laceration is an injury due to blunt force creating a tear in the skin. This is the most
serious of the three types of blunt force injuries. Although many instruments can create
this injury, it will usually be an instrument that is not too sharp, in which case it would be
more comparable to an incision, and not too round, in which case there may be no break-
ing of the skin. The tearing of the tissue is brought about by a shearing or a crushing blow.
Lacerations that come to the attention of the investigator will usually be external, although
it may additionally include an internal injury involving the tearing of an organ. In some
cases, the force may be of such a nature that there is no external injury, only an internal
226 ◾ Gregg W. Etter and Roger L. Pennel

injury. Lacerations normally have ragged edges, with each side possibly possessing both
an abraded and a contused area. A laceration will not completely separate the two sides, as
there will be a “bridging” effect due to the nerves and blood vessels. It is occasionally pos-
sible to confuse a laceration with an incision, but incisions have no bridging of the nerves
or blood vessels; the two sides are completely separated.
An avulsion is a form of laceration where the force of the instrument hits at such an
angle as to rip the skin and soft tissue from the bone. Another way to describe the injury
would be a scooping effect.
The instrument used in the assault may be capable of transferring evidence to the body
and picking up evidence from the body. Paint or any type of evidence adhering to the
weapon may be left in the injury site, while fibers, hair, or blood may be transferred to the
weapon. It may occasionally be possible to determine the relative size and shape of the
weapon.
A laceration to the head, depending on the weapon and the force used, can be very seri-
ous. If a single blow is administered to the head, it may be difficult to determine whether
the cause was a blow or a fall. It is possible that a victim’s head can exhibit abrasions, contu-
sions, and lacerations. Two things that will usually be present in this type of head injury is
a fracture of the skull and bruising of the brain. A coup injury is a brain contusion located
directly under the site of blunt force impact. It is caused by the bending of the skull at the
fracture site, causing compression of the brain. Coup injuries are often associated with
a blow to the head (moving object hitting the stationary head). A contrecoup injury is a
contusion located on the opposite side of the brain from the site of blunt force impact; it
is commonly the result of a fall (moving head hitting a stationary object). Either type of
injury results when the brain hits the skull. It is possible to have bruises both under the
fracture site and on the opposite side. In a fall, the contrecoup injury will usually be more
severe than the coup injury, but the coup injury from a blow will be more severe than the
contrecoup injury.
Two types of bleeding in the brain are caused by blunt force. A epidural hematoma
is a blood clot that forms between the skull and the top lining of the brain (dura). This
blood clot can cause pressure on the brain. A subdural hematoma is a blood clot that forms
between the dura and the brain tissue. The sudden onset of such a clot is referred to as acute
subdural hematoma.

Asphyxia
Asphyxia is a type of death where the body cannot take in oxygen and cannot eliminate
carbon dioxide. If no oxygen can reach the lungs, the blood in the body cannot absorb
the oxygen necessary for survival. This is most critical for the brain, as brain damage can
occur within 4 to 6 minutes of being deprived of oxygen (Geberth, 2006). There are several
ways in which a person may die of asphyxia, with some of them being almost exclusively
a result of homicide and others more likely to be self-inflicted or even accidental. One
indication of inadequate oxygen within the blood is the presence of cyanosis, where the
skin exhibits a bluish color. Another indicator of asphyxia is the presence of petechiae,
small, pinpoint hemorrhages in the whites of the eyes, although the absence of these does
 Homicide and Assault ◾ 227

not mean that asphyxia was not the cause of death. Three ways of dying from suffocation
are smothering, where the nose and mouth are blocked, preventing the air from reaching
the lungs; choking, where the upper airway is blocked by food or some other object; and
mechanical asphyxia, where pressure is applied to the outside of the body to prevent the
physical act of breathing.
Items used for smothering people include the hands, a gag, a pillow, a blanket, or a plastic
bag. Each of these items is readily available to an attacker. In most cases, when a plastic bag
has been used, it is a case of suicide, and the person likely has consumed drugs. This is a
method of suicide suggested by Humphry (1991) in his book on assisted suicide. Accidental
smothering of an adult is seldom found; this is more likely to be found among babies and
small children, often due to a drycleaning bag.
It is difficult to smother an unwilling adult, but where it is suspected a major source of
evidence can be found in the mouth and on the face. Sufficient force used in smothering
will usually produce signs of bruising or lacerations, particularly on the lips and cheeks.
There may also be scratch marks on the face, in which case fingernail scrapings should be
taken from the victim as well as any suspect apprehended soon after the crime. As with any
crime involving an assault, there will probably be evidence of a struggle. An examination
should be made of the mouth and nose for the presence of foreign material from the object
used, such as fibers, feathers, or related material.
A method seldom used for homicide is choking, and it is usually classified as a natural
death. It is very difficult to force an object into the upper airways of an adult. The obstruc-
tion usually responsible for this type of death is caused by attempting to swallow a too large
amount of food. The Heimlich maneuver is used to dislodge the object. Choking may be
more likely to occur when an individual has used an excessive amount of alcohol.
Mechanical asphyxia is usually accidental. A person who dies of a crushed chest while
working on a vehicle is the victim of mechanical asphyxia caused by the jack failing to keep
the vehicle elevated. Another example is when a trench collapses on trapped workers. In
either of these cases, the victim’s head may not be buried or crushed, but death occurs if the
chest is. This is also a cause of death when a fire breaks out and large number of people stam-
pede to the limited number of exits, crushing each other. A person on drugs or intoxicated
can fall into a compressed area that restricts movement of the chest. An example of this
would be rolling out of bed and becoming lodged between the bed and a wall. It is even pos-
sible for an intoxicated person to stumble or fall into such a position that his body becomes
restricted and he is unable to move. Occasionally, mechanical asphyxia may be used for
murder, particularly of elderly people who have little strength to fight back. In this case, a
person might sit on the victim’s chest and cut off oxygen to the victim’s mouth and nose. The
term “burked” is used to describe this method of murder, named after an individual who
used this method in Scotland in 1828 to obtain cadavers to sell to medical schools.
Strangulation is caused by constriction or compression of the neck, resulting in the
obstruction of blood vessels and air passages. Pressure on the carotid arteries can lead to
unconsciousness in 10 seconds. The three methods of strangulation are hanging, ligature
strangulation, and manual strangulation. Hanging is strangulation by means of a rope,
cord, or similar ligature that is tightened by the weight of the body dropping. This method
228 ◾ Gregg W. Etter and Roger L. Pennel

is usually suicidal, although homicide should not be ruled out until after the crime scene
investigation and the autopsy. There generally must be sufficient pressure on the neck to
either cut off the flow of air or interrupt the flow of oxygenated blood. The body can be fully
suspended or partially suspended.
Two major factors in determining whether the hanging was a result of suicide are the
position of the rope and the location of the lividity. Due to the weight of the body, the rope
will leave an impression in the skin of the neck. This impression will be above the upper
part of the neck, due to the weight of the body. The noose leaves a very deep impression at
the point opposite the suspension point, where the knot is located. The impression at that
point exhibits an inverted V shape and indicates the application of less pressure.
Once death occurs, the rope impression will remain. The pattern of the rope (pattern
abrasion) will often be imparted to the neck. If it is necessary to remove the ligature at the
scene, do not touch the knot; instead, cut the area opposite from the knot and then reattach
the cut ends with a smaller piece of cord. It is best to let the ligature remain on the victim,
letting the forensic pathologist remove it during autopsy.
Postmortem lividity patterns would be expected in several locations. If the body is in an
upright position, the majority of the blood would be found in the feet and lower legs, in the
hands, and in the area immediately above the rope, where it was not possible for the blood
to travel any further. If the blood has not collected at the lowest portion of the body or if
there are inconsistent patterns, then homicide should be considered, although homicidal
hangings are rare.
Ligature strangulation is a type of death where the pressure on the neck is caused by
a constricting band that is tightened by a force other than body weight. Strangulation or
garroting is usually homicide, since suicide by this method is not possible. An individual
attempting to do so would release the pressure when passing out. A garrote is a weapon
where each end of the cord or wire is attached to a handle. As in the case of hanging, liga-
ture strangulation also leaves a permanent groove in the neck; however, there are enough
differences that we can distinguish between the two. With ligature strangulation, the mark
will completely surround the neck, usually at the mid-point of the neck below the larynx.
Internal injuries may be found in the neck. A tender U-shaped bone attached to the end of
the tongue may be fractured. In the case of a hanging, this would not be expected because
the ligature would have slid above the larynx to a higher part of the neck. The presence of
petechial hemorrhages may be apparent in the whites of the eyes and skin of the face. The
victim may bite his own tongue (Geberth, 2006).
The third type of strangulation is manual strangulation, also known as throttling. The
pressure is caused by pressure of the hand, arm, or other limb, causing neck compression
sufficient to kill the victim. This approach is homicidal, never suicidal. The hands are the
most likely weapon of choice. Scratches, abrasions, contusions, and fingernail marks may
be found on the victim’s neck, since most likely the victim struggled. Fingernail scrapings
may be found under the victim’s nails. Petechial hemorrhages and cyanosis will usually be
present (Geberth, 2006). As noted, both manual and ligature strangulation will often frac-
ture the hyoid bone, a small U-shaped bone attached to the tongue. This is seldom found
with hanging.
 Homicide and Assault ◾ 229

The third type of asphyxia is chemical asphyxia, which occurs when the victim inhales a
gas that prevents the body from using oxygen at the cellular level. The cause of this type of
death is usually due to acute exposure, where the person received a single, brief dose of the
substance. The most common gas used for chemical asphyxia is carbon monoxide. Carbon
monoxide is an odorless, colorless gas, usually produced by internal combustion engines.
When it is inhaled, it enters the blood and attaches to the hemoglobin, resulting in death
and postmortem lividity that is cherry red rather than the typical purple color. This type
of death is usually suicidal; investigators should look for such things as a tube attached to
the tail pipe and placed in a window or a vehicle that has no gas but the ignition is in the on
position. In order to rule out homicide, an examination of the crime scene and the history
of the victim are in order.

Autoerotic Deaths
Autoeroticism is a type of incident involving “sexual feeling or sexual gratification that is
self-induced without having sexual relations with another” (Hazelwood et al., 1983). Such
an act performed in a private setting ordinarily would be of little concern to the police, as
normally no violation of the law is involved. Investigators become involved, however, when
this activity results in death or a possible near-death experience. This type of activity is
observed in many societies. In the United States, it involves all races and both genders, but
most of the victims are white males from a middle-class background. The average age is 26.5
years old. Most knowledge of this activity comes from cases where a death has occurred, as
living participants are not likely to discuss it, and the police become involved only when a
death or near-death has been reported. Those unfamiliar with this activity might assume
that such deaths are suicides; however, in most cases, autoerotic fatalities are accidental,
although they may be homicidal, suicidal, or natural. Autoerotic fatalities are most com-
monly caused by asphyxia used to achieve a state of euphoria during the sexual activity.
This can be accomplished by hanging (neck compression), suffocation (airway obstruction),
chest compression, or oxygen exclusion. Hazelwood et al. (1983) developed a list of twelve
key death scene characteristics often found at an autoerotic death scene. Not every charac-
teristic will be present at every scene, but the scene should be examined for each of these:

• Location—This is usually an area where the victim was not likely to be disturbed.
• Position of victim—If a rope is used, the victim will usually be found in a sup-
ported position, usually on the floor.
• High-risk agents/elements—To enhance the level of sexual and physical pleasure,
the victim likely used a rope, restrictive containers, handcuffs, gag, or some other
type of restrictive mechanism.
• Self-rescue mechanism—This mechanism is employed to enable the victim to
reduce or remove the effects of the high-risk elements. This might be the ability to
stand up or having a handcuff key available.
• Bondage—The victim might have also used some type of a binding device, such as a
rope, chain, handcuffs, or any other device that restricts movement. It is important
to determine whether the victim could have put him- or herself in this position.
230 ◾ Gregg W. Etter and Roger L. Pennel

• Masochism—The scene of the death may include various means to inflict pain,
especially to sexual areas. Examples include genital restraints, nipple clips, electri-
cal wires inserted into the penis or anus, cigarettes, and ball gags.
• Clothing/attire—Male victims often are found wearing some type of female
garment.
• Protective measures—The surface of the restriction, particularly a rope applied to
the neck, will in most cases result in an abrasion. Some type of padding is often
inserted under the rope to prevent potentially visible marks.
• Sexual paraphernalia—Sexual objects found in the area may include pornography,
diaries, mirrors, video cameras, dildos, vibrators, or female attire.
• Masturbatory activity—Often there is evidence of the victim having masturbated.
• Evidence of prior experience—There will usually be evidence that this person has
done this many times before, such as a worn spot on the wood from which the rope
was suspended or semen stains from previous sessions.
• No apparent suicidal intent—An indication of whether there were suicidal inten-
tions is critical. If they were planning future events, had no depression, or had not
indicated such intentions, suicide in all likelihood was not the intent.

The following characteristics, at the very least, must be present for an autoerotic death
determination. At a minimum, to assume an accidental death, investigators must deter-
mine that this was a solo activity, that prior evidence of such dangerous activity exists, that
the victim possessed no suicidal intent, and that the victim had an expectation of privacy.
When major questions arise as to how the death came about, the investigation of these
deaths often hinges on a detailed examination of the crime scene and the victim’s history
The pass-out game (self-asphyxiation) is a popular activity among young people to cre-
ate a natural high by cutting off oxygen to the brain, but it sometimes results in death.
Most literature covering this area primarily focuses on the natural high with no sexual
focus. This activity may start in the preteen years. Despite distinct differences between
scenes involving self-asphyxiation and those involving autoerotica, there is little indication
at what point in time the activity transitions from being a game to autoerotica.

Gunshot Wounds
The condition of a victim’s gunshot wound is a direct reflection of the components of the
cartridge casing, among other variables. The cartridge case, bullet, bullet coating, and metal
jacket contain specific elements that can be detected. Examination of a gunshot wound will
reveal the presence of gunpowder (burned and unburned), soot, bullet and jacket frag-
ments, primer compounds (lead, antimony, barium), and copper, brass, and nickel from
the cartridge case (DiMaio, 1999). Wounds are categorized according to the distance from
which the shot was fired—contact wounds, intermediate wounds, and distant wounds.
Contact wounds exhibit a number of recognizable characteristics. There will always be
scorching at the edges of the wound, with soot deposited on the wound edges. There may
be a muzzle impression, particularly if the gun had been held firmly against the victim. If a
contact wound occurs to the head, soot may be deposited on both the outer and inner table
 Homicide and Assault ◾ 231

of the skull. Depending on the firmness of the contact, there may be a stellate (star-shaped)
wound due to gases building between the skull and the skin. The skin reaches its expansion
point and then tears. With a light contact wound, the soot expands beyond just the wound
edges. A contact wound over clothing will usually result in the soot and powder being
deposited on the clothing but not the skin, although they will still enter the wound.
An intermediate wound is close enough for “tattooing.” This tattooing is caused by
grains of powder, both burned and unburned, being deposited in the skin. The density and
diameter of these deposits can be measured by firing the same type of cartridge casing at
various distances. The tattooing may appear from a distance of 24 to 48 inches, depending
on the type of powder. Soot will be found on the body from a distance of 6 to 10 inches.
This can be wiped off of the body, but the tattooing cannot. There is very little to say about
the distance shot other than it is farther than the intermediate wound and will not leave
any soot or tattooing. Without this, the precise range cannot be determined.
Both entrance and exit wounds can divulge additional information. At the entrance, an
abrasion ring is caused by the friction of the bullet against the skin. This ring will be pres-
ent regardless of the distance of the shot. There will also be a bullet wipe at the entrance
where the skin wipes off debris from the bullet. As a rule an entrance wound tends to be
smaller than the caliber of the bullet, circular and smooth. The smaller size is a result of the
skin stretching and then rebounding after the bullet has moved through. The exit wound
is usually larger in size than the entrance wound and more irregular, due to bones and
other body debris becoming secondary missiles. This is especially the case when the bullet
is designed to expand while in the body; thus, the size of the projectile is, in fact, larger
when it exits. A situation where an exit wound may resemble an entrance wound is when
the area of the exit is shored up or supported by some external item, such as a belt or some
type of hard surface.
The path made by the bullet as it travels through the body is known as the bullet track.
This will usually be straight, giving an accurate estimation of the angle from which the
bullet was fired. An exception to this is when the bullet is deflected by a bone. Other factors
that may affect the bullet track are the velocity of the bullet, the type of bullet, and whether
the bullet ricocheted (Geberth, 2006).
As the bullet enters the body it causes a rearrangement of the interior of the body. A
permanent cavity is created along the path of the bullet. Much larger than this cavity is
a temporary cavity caused by kinetic energy transferred by the projectile’s passage. This
explains, for example, why sometimes with an abdominal shot organs in the vicinity suffer
severe injury, but not near the bullet track.

Water Death
Drowning is not usually a means of murder. According to the FBI (2011), drowning was
used as the means of death in 0.0011% (15 times out of 13,230) of the murders from 2000
to 2004. In the vast majority of drowning cases, the cause will be accidental, but it can be
suicidal or homicidal. As a rule, healthy adults rarely drown unless there is an intervening
reason, such as heart disease or severe cramping that happened to occur while they were
in the water. There is no specific finding at an autopsy that proves the person died from
232 ◾ Gregg W. Etter and Roger L. Pennel

drowning; it is usually a diagnosis of exclusion. When every other cause of death has been
ruled out, this fact alone with evidence at the scene leads the forensic pathologist to the
drowning conclusion.
The ability to swim is not an important correlate of drowning, as most victims of drown-
ing are able to swim (Pollanen, 1998). A swimmer may attempt to perform some daring
feat and too late realize that he is in trouble. Drowning in the United States is the second
most common cause of death for children between the ages of 1 and 14 (CDC, 2011b). Of all
non-pool drownings from 2002 to 2004 among children younger than 5 years of age, more
than 80% involved children under 2 years of age (CPSC, 2007).
Not all drownings are accidental; some may be homicide or suicide. The police get called
in light of the fact that a death has occurred, and the investigator may well be the only
one to bring up the initial suspicion of a non-accident. What are some characteristics of
a drowning death? The hands and feet of a drowning victim are wrinkled or prune like.
Drowning victims may exhibit a white froth or foamy type of substance coming from the
nose and mouth due to pulmonary edema. This substance may appear pink when mixed
with blood. The blood results from the lungs tearing due to increased pressure during
the drowning. It is possible that the lungs may contain sand or some other type of water-
related debris.
The victim should always be examined for any signs of trauma, such as strangulation
marks, contusions, and other wounds that are not products of an accidental drowning.
Contusions, abrasions, or lacerations may be present, but the likelihood is that they are a
result of underwater injuries. Injuries discovered on the top or front of the head, the top of
the feet, or on the fingers and back of the hands are probably natural, based on how a body
floats in death. The body should be examined for marine life bite marks. The decomposi-
tion process will cause bodies to bloat and float to the surface, but the temperature of the
water may be cold enough to retard the decomposition, and the body will not float. If the
water temperature rises, the decomposition process will begin and the body will float to
the surface.
Diatoms can be used to determine the location where a drowning occurred, particularly
when the body has been moved to another location. Diatoms are found in both freshwater
and saltwater, and they differ from one body of water to another. Diatom populations also
can vary seasonally within the same body of water. When diatoms are extracted from mar-
row (especially from the long bones), investigators can infer that these organisms became
lodged in the marrow cavity while the person was drowning. The diatoms in the bone
marrow can then be compared with diatoms in the body of water where the drowning was
believed to have occurred.
A water death may require some additional precautions compared to other crime scenes.
A body may change drastically from the time it is removed from the water until the begin-
ning of the autopsy, so it is necessary to take photographs at both locations. Injuries to
the body may be readily apparent initially but difficult to see later on. A variety of trace
evidence can be obtained in drowning cases, including evidence accumulated prior to
entering the water and evidence accumulated in the water. To secure as much evidence as
possible, bring two clean bed sheets to the scene. Spread one sheet out and then the second
 Homicide and Assault ◾ 233

one on top of that one. Place the body on top of both sheets. Fold the top sheet over the
body, and then the bottom sheet. At this point, place the body in a body bag. More evidence
will be collected with such a process (Castro et al., 1993).

Electrical Injury
One mode of death seldom associated with murder is an electrical injury. Many investiga-
tors will not do a crime scene search in such cases because they assume that these are natu-
ral deaths. Electrical accidents that occur to adults often occur in a work setting and involve
high voltage. In many cases, knowledgeable witnesses are available who can verify that it
was an accident. A suspected electrical death at a residence, however, generally receives little
investigation.
Three variables are used in determining the possibility of an electrical death: the amount
of current (measured in amperes), the amount of electrical resistance (measured in ohms),
and the electromotive force (measured in volts). The most critical of these is amperes; 0.1
amp is sufficient current to cause ventricular fibrillation and death. Resistance is reduced
in the presence of water—100,000 ohms for dry skin vs. 1000 ohms for wet skin. The num-
ber of volts in a residence is normally 110 volts. Using the formula volt/ohms = amperes, we
can determine the number of amperes. Dividing 110 volts by 1000 ohms (as in wet skin or
in a bathtub) gives us 0.110 amperes, which is sufficient to produce death.
A problem at such scenes is that this type of injury often leaves no external injuries, such
as might be expected with lightning or high-voltage incidents. Because an electrical injury
scene does not appear to be a potential crime scene, investigators may not learn of the elec-
trocution until an autopsy is completed, if one is done at all (James and Nordby, 2003).

Central Nervous System

It is not unusual for a person to move around for a period of time, occasionally for an
extended period, after receiving a serious injury. The wound may be so serious that it is
surprising that the person is still alive; however, as long as the central nervous system has
not been destroyed, movement is possible. An excellent example of the immediate destruc-
tion of the central nervous system is a victim being shot in the head with a powerful hand-
gun or a rifle. Continued movement is not possible.

BALLISTICS AND FIREARMS EVIDENCE

Ballistics is the science that examines firearms-related evidence. A firearm is a mechani-
cal device that causes a projectile to be propelled by means of gases and energy created
by an explosion of a chemical compound (generally gunpowder). Each step in the process
leaves telltale marks and evidence for the investigator. When the firearm is discovered, the
process of examination by the investigator begins. The firearm should be photographed
and where it was found documented. The firearm should be examined for fingerprints.
Fingerprints may be found on the outer surfaces of the firearm, as well as on the interior
of the firearm, such as on magazines or cartridges. It is difficult for someone to say he did
not handle a gun when his prints are found on a cartridge inside the weapon. The firearm
234 ◾ Gregg W. Etter and Roger L. Pennel

should be examined for make, model, serial number, finish, caliber, and barrel length.
Evidence of attempts to remove or deface the serial number of the firearm should be thor-
oughly examined. Firearms can often be traced through their serial numbers.
As the bullet travels down the rifled barrel of a weapon, the lands and grooves of the
rifling give the bullet spin. They also leave identifiable marks. Great care should be taken
to recover bullets; often they can be traced to a specific firearm through ballistic examina-
tion. The exception to this rule is smooth-bore weapons such as most shotguns and some
muskets. Ballistics examination can also determine the path of the bullet from the weapon
to the victim.
Expended cartridges can also provide evidence such as fingerprints. When the weapon
is fired the firing pin strikes the cartridge primer, causing primer marks that are specific
to each weapon. In weapons that eject the expended cartridge, an ejector mark will prob-
ably be present. This mark can also be identified through ballistic comparisons to a specific
weapon. The exception to this rule is a revolver, which generally does not leave an iden-
tifiable ejector mark when the cylinder is opened and the cartridges are removed. Some
revolvers that use a side-gate type of cartridge ejection may leave no mark at all (DiMaio,
1999; Fisher, 2000; Warlow, 2005).

BIOLOGICAL EVIDENCE
Biological evidence is a broad category that includes body parts (flesh), bodily fluids (blood,
saliva, semen, sweat, urine, feces), DNA, and other things that are or once were living, such
as insects or plant evidence. Forensic toxicology involves examining biological specimens
to determine the presence of alcohol, drugs, poisons, or other toxic substances that may
have been used to kill the victim. Forensic serologists perform tests on blood samples to
determine the type and characteristics of the blood, examine blood stains, and give tes-
timony or presentations at trials; they also analyze semen, saliva, and other body fluids
and may or may not be involved with DNA typing. Deoxyribonucleic acid (DNA) is the
building block for a person’s genetic makeup. Except for identical twins, everyone’s DNA
is different. DNA may be obtained from biological evidence, even evidence that is decades
old (Rudin and Inman, 2002). Because of the danger of bloodborne pathogens or other dis-
eases, investigators should always use universal precautions when collecting or handling
this type of evidence. The analysis of bloodstain patterns by a trained investigator can
reveal (Bevel and Gardner, 1997):

• The direction a given droplet was traveling at the time of impact

• The angle of impact
• The probable distance from the target from which the droplet originated
• The nature of the force involved in the bloodshed and the direction from which
the force was applied
• The nature of any object used in applying the force
• The approximate number of blows struck during an incident
 Homicide and Assault ◾ 235

• The relative position in the scene of the suspect, victim, or other related objects
during the incident
• Sequencing of multiple events associated with an incident
• In some cases, which hand delivered the blows from a beating

Forensic entomologists are specialists in the study of insects. Of relevance to death

investigations is the fact that certain insects may use the body to serve as a host for their
eggs. Over a period of time, the eggs become maggots and ultimately adults. Each insect
has identifiable life cycles, which can be determined with some degree of precision, par-
ticularly taking into consideration environmental factors, such as the temperature. Forensic
botanists examine leaves, seeds, and pollen found at the scene of a body or on a body.

FINGERPRINTS
Fingerprints are collected at the crime scene and off of evidence. Fingerprints may be col-
lected from almost any surface that was touched by the suspect or victim. Sometimes fin-
gerprints can be collected from the body of the victim (Fisher, 2000). Fingerprints are
compared with those in various databases by qualified fingerprint examiners. Fingerprints
are unique to the individual, so they are useful evidence in any investigation.

TRACE EVIDENCE
Trace evidence includes glass, hair and fur, fibers, paint, soils, and gunshot residue. Forensic
chemists analyze various types of evidence, including trace evidence, which is often so
minute that the crime scene technician may not even be aware that it has been collected.
Chips of paint, for example, reveal information about the paint color, number of layers of
paint and primer, source of the paint, and even the manufacturer. Forensic chemists may
be able to identity small amounts of drugs, dyes, fibers, or hair. Forensic geologists can
determine such things as where the suspect or victim walked by examining soil samples
taken from their shoes or feet. They are capable of determining the various characteristics
of soils within a sample, as well as the percentage distribution of each, and the presence of
organic or inorganic substances which may ultimately narrow down its location of origin
(Fisher, 2000).

IMPRESSION EVIDENCE
Impression evidence includes footprints, tire tracks, and toolmarks. Impression evidence
from footprints can indicate the physical presence of the suspect or victim, direction of
travel, or the scene of a struggle. Footprints can also reveal the type and brand of footwear.
Several different sizes of shoes may use the same size of sole, so any indications of shoe
size may be a general one. Specific imperfections or marks on the footwear may make the
footwear identifiable to a specific shoe (Bodziak, 1990).
236 ◾ Gregg W. Etter and Roger L. Pennel

Impression evidence from tire tracks can indicate the physical presence of a vehicle,
the direction of travel, and the brand and size of the tire. Many different tires can fit on a
wheel, but knowing the size of the tire reduces the number of vehicles that must be consid-
ered. As with footwear, individual imperfections in the tire can make the tire more identi-
fiable (McDonald, 1993). The three categories of toolmarks are compression (or indented)
toolmarks, sliding toolmarks, and cutting toolmarks (James and Nordby, 2003). Toolmark
evidence could possibly confirm the physical presence of a suspect, identify the point of
entry, and reveal what type of tool was used. Toolmarks can often be matched to the indi-
vidual tool or type of tool used in the crime.

SUMMARY
A successful homicide or assault investigation requires careful examination of the scene,
witnesses, and evidence. Investigators must be able to identify victims, witnesses, and sus-
pects. The successful investigator must be able to identify the suspect’s motive, method,
and opportunity for committing the crime. All evidence seized and interviews conducted
must be done in a legal manner. The evidence must be analyzed and the investigator must
be able to show how the evidence relates to the crime. These types of investigations require
impeccable paperwork. An investigator’s case file is the most important tool in making
sure a suspect gets charged with the crime and more importantly convicted. Investigators
must make sure the file is organized and accurate. It is not enough to know who committed
the crime; an investigator must be able to prove it in court. Successful assault and homicide
investigations require detailed, accurate, and timely police work to solve the case and get
a conviction.

QUESTIONS FOR DISCUSSION

1. Explain the concept of homicide.
2. Why is identification of the deceased of primary importance to the death
investigation?
3. Why is the physical location of a witness in relation to the suspect or victim
important?
4. List the four common classifications of death used in the United States.
5. What is the very first thing a law enforcement officer should do upon arriving at a
crime scene?
6. Define motive, method, and opportunity.
7. List and discuss the duties of the first responder at an assault or homicide scene.
8. Explain why wounding patterns are important to an investigation.
9. Explain rigor mortis.
10. What is an autoerotic death?
 Homicide and Assault ◾ 237

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Bevel, T. and Gardner, R. (1997). Bloodstain Pattern Analysis: With an Introduction to Crime Scene
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Bodziak, W. (1990). Footwear Impression Evidence. New York: Elsevier.
Castro, S., Galbreath, N., Pecko, J., and Zeliff, D. (1993). Autopsy: A Forensic Manual for Criminal
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 Chapter 14

Sex Crimes
John Padgett
Capella University

CHAPTER OBJECTIVES
After reading this chapter, you should be able to do the following:

1. Describe the nature of sex crime investigations.

2. Explain the role of the first responder at the scene of a sex crime.
3. Comprehend the various methods used to search the scene of a sex crime.
4. List and describe the steps in a sex crime investigation.
5. Identify the various classifications of evidence related to sex crimes.

Chapter Outline
• Introduction to Sex Crimes
• Nature of Sex Crimes
• Date/Acquaintance Rape and Drugs
• Children as Victims of Sex Crimes
• Continuing Education for Investigators of Sex Crimes
• First Responder’s Responsibility at the Crime Scene
• Crime Scene Investigations
• Crime Scene Search
• Nature of Sex Crime Evidence
• Photographic and Video Evidence
• Types of Evidence Encountered at Sex Crime Scenes
• Protocol of a Sex Crime Scene Search
• Glossary

239
240 ◾ John Padgett

INTRODUCTION TO SEX CRIMES

This chapter is designed to introduce the reader to sex crimes, sexually based offenders, and
the proper scientific methods used to successfully investigate and prosecute these crimes
and offenders. It is important to note that crime, criminology, and investigatory techniques
and methods, as well as offenders, offender methodology, and crime evasion techniques are
constantly evolving. As a scholar–practitioner, it is the reader’s duty and responsibility to
use the knowledge and experience gained through education, training, and field experi-
ence to move the field of criminal investigations forward with new techniques, methods,
and technologies. We commit ourselves to this endeavor not for ourselves but for the inno-
cent who cannot protect themselves from those who would victimize them.

NATURE OF SEX CRIMES

Sex crimes have long held a position among the most prominent, difficult, and controversial
of criminal activities to investigate and bring to successful prosecution. Although many
reasons exist for these challenges no other criminal activity has such a profound impact
upon victims, families, our communities, and our country. Sexual-based offenses are not
about sex; they are about power and control over the victim. The offender’s desires to con-
trol and dominate the victim far exceed the actual sexual act committed. Each element of
a sexually based crime is a vital component of the offender’s sexual fantasy and is required
in order for the fantasy to be realized. Unfortunately, as sexual offenders evolve so do their
fantasies and their need for control and domination over every element of their victim’s life
or death. This evolution often is illustrated in unimaginable, unspeakable emotional, physi-
cal, and psychological sadistic torture of the victim and can lead to sexual homicide.
In the not too recent past, rape was deemed to be solely a male-on-female criminal offense.
Today, rape also includes male-on-male and female-on-female assaults, and a husband can
be charged with rape against his wife if the act is committed against her will or with the
threat of or actual use of force or violence. Although most states still define rape as forced
penetration of the vagina by a penis, rape laws and their wording are changing. In fact, the
terms “rape” and “sodomy” have been replaced in some state penal codes with terms detail-
ing various degrees of sexual assault or criminal sexual conduct depending on the offense
and the type of force used in commission of the criminal act. Historically, criminal codes
have not recognized or included males as potential victims of rape; however, as reported
assaults of male victims increase, especially gang attacks against male victims, some states
have begun the process of redefining their criminal codes to remove gender-specific identi-
fication in the role of victim and offender. A recent study by the National Center for Victims
of Crime (NCVC) provided the following data on male victims of rape (NCVC, 2008):

• About 3% of American men—a total of 2.78 million men—have experienced a rape

at some point in their lifetime.
• In 2003, 1 in every 10 rape victims was male. Although there are no reliable annual
surveys of sexual assaults on children, the Justice Department has estimated that
1 of every 6 victims is under age 12.
 Sex Crimes ◾ 241

• Approximately 71% of male victims were first raped before their 18th birthday;
17% were 18 to 24 years old, and 12% were 25 or older.
• Males are the least likely to report a sexual assault, although it is estimated that
they make up 10% of all victims.
• An estimated 22% of male inmates have been raped at least once during their
incarceration, roughly 420,000 prisoners each year.

This NCVC report also concluded that males are more likely to be the victims of non-
homosexual gang rape than females. In these incidents, the victim is more likely to have
multiple sexual acts forced upon him, and offenders are more likely to display or use weap-
ons against him. Male victims are also more likely to experience more severe physical
injuries than female gang rape victims.
The Federal Bureau of Investigation (FBI) reported that the number of reported forcible
rapes dropped from 94,504 in 1989 to 89,000 in 2008 (FBI, 2009a). (Note that the figure of
89,000 was later adjusted to 90,479.) This downward trend continued, with 88,097 forcible
rapes being reported to law enforcement in 2009 (FBI, 2010).

WHY DOES RAPE GO UNREPORTED?

The Rape, Abuse, and Incest National Network (RAINN, 2011) states that of all rapes
nationwide, reported and unreported, only 6% of all offenders are found guilty and sen-
tenced to prison. This equates to 15 out of every 16 sex offenders walking free. If an offender
is found guilty, there is a 69% chance that he will not serve time for the crime. Reasons that
factor into a lack of reporting include:

• Embarrassment
• Fear of family members’ reactions
• Fear of retaliation
• Lack of faith in law enforcement and the justice system
• Revictimization
• Self-blame
• Social stigma and ostracism
• Threats and intimidation
• Trauma associated with the trial process

Sexual assault has devastating life-long consequences for survivors, families, and com-
munities. Recognizing and understanding the chronic, long-term impacts of sexual trauma
will enhance sex crime investigators’ skills, allowing them to hear and see red flags that
others may discount or overlook. Adult females with sexual trauma histories have been
shown to have poor health and physical functioning, including higher rates of documented
chronic physical illnesses, such as migraine headaches, pelvic disorders, arthritis, fibromy-
algia, asthma, and gastrointestinal disorders, which cannot be attributed to psychosomatic
origins or depressed mood (Golding, 1999). Research is needed to determine if the same
242 ◾ John Padgett

impact is found among males with a history of sexual assault. Regardless of their gender,
victims may develop sexually transmitted diseases as a result of the sexual assault and
may unknowingly pass these on to their family members. Long-term emotional and psy-
chological consequences of trauma may exacerbate survivors’ physical impairments and
illnesses.
Each year, an estimated 3000 sexual assaults result in conception and pregnancy
(RAINN, 2011). One victim becomes two, as both the victim and unborn child face the
long-term consequences of sexual assault. The victim must cope with the physical changes
of being pregnant, as well as the emotional trauma of having part of the perpetrator grow-
ing inside her. She must deal with the fear of the unknown, including the impact of the
perpetrator’s genetic makeup on the development of the child. She must struggle with the
reality of her situation, her religious and moral upbringing, and the views of her family
and friends regarding such issues as pregnancy resulting from sexual assault, pregnancy
out of wedlock, use of the morning-after pill, abortion, and adoption as she copes with the
assault and its aftermath. She and others may question her ability to love and care for her
attacker’s offspring, and she fears that her attacker will resurface, claiming parental rights
and subjecting her and the child to a lifetime of abuse. She may be hesitant to report the
assault due to potential repercussions for her child.
The long-term emotional and psychological consequences for victims of sexual assault
focus on recurring memories of the attack, issues of self-blame and responsibility, issues
surrounding self-identity and self-concept, continued fears, depression, grief, anger, self-
harm, escape and addictive behaviors, trust and relationship issues, role boundary and
family script confusions, maladaptive social skills, power and control issues, and sexual
intimacy issues. The victim may experience sleep disruptions and even insomnia due to
recurring nightmares and night terrors related to the assault. Flashbacks of the assault
and the surfacing of suppressed memories may occur during sexual intimacy or as a result
of other triggers. The victim may experience body memories related to her attack during
intimacy or as the result of other triggers. Body memories are frightening for the vic-
tim and those unaware of what is taking place. Her body will replay the physiological
responses from the attack. She may tremble or shake violently, become short of breath,
or even lose consciousness. She may cry uncontrollably, have difficulty hearing or seeing,
smell or taste her attacker, and even vomit as she relives the attack in intense reality. Body
memories are commonly associated with posttraumatic stress disorder and require profes-
sional attention.
The victim often struggles with self-blame and personal responsibility for a variety of
reasons, including messages provided by the perpetrator, unsupportive family members,
or disbelieving family members. Victims may view themselves as bad, unworthy, dam-
aged, or dirty; they may feel culpable due to any biological responses of sexual arousal and
pleasure during the attacks or seeking out any form of attention from the abuser to validate
being loved. Victims’ perceptions of self-identity and self-concept are also impacted as they
internalize these messages and self-judgments. Victims may define themselves as objects
of victimization rather than recognizing the strength and courage required to overcome
such trauma.
 Sex Crimes ◾ 243

Most victims have been conditioned by their attackers using fear and intimidation,
which keep many victims silent and in many cases allows long-term abuse to continue for
years. The fear does not end after the last physical attack, but continues for extended peri-
ods of time. Sometimes victims believe they have conquered their fears, only to later feel its
grips on their lives once again. Many victims fear further sexual assaults and retaliation by
the offender or the offender’s family members or friends. Victims may fear undiscovered
physical harm, such as infertility. Others fear that they will become perpetrators them-
selves and continue patterns of abuse or that their own children or other family members
will be victimized, as well. Left untreated, fears stemming from sexual assault can cause
paranoia or panic attacks that paralyze victims. Depression, grief, and anger result from
the victim’s loss of the person they were before the attack and might have become had the
attack not taken place. The victim mourns for the innocence, trust, and security they had
before the attack and the loss of power and personal control. Changes in relationships
and unexpected lack of support from friends and family members add to the sense of loss
experienced by the victim and fuel their anger. Healthy expressions of grief and anger are
essential for healing; otherwise, the victim may act out these emotions in self-destructive
ways, including numbing and escape through substance abuse, self-mutilation, or eating
disorders, or they may even commit suicide to end the pain.
Developing and maintaining intimate relationships can be problematic for survivors of
sexual trauma due to difficulties trusting their own emotions, perceptions, and assessments
of other people and the settings in which they find themselves, not to mention difficulties
trusting others. Role confusion exacerbates this problem, due to a lack of physical and inti-
mate boundaries. Victims do not trust themselves to establish healthy reasonable bound-
aries between themselves and others due to the abnormal examples they have experienced.
Judging appropriateness of parental touch may be difficult due to abuse by a caretaker.
Unhealthy patterns of communication and interaction have been learned and interfere
with the formation of functional relationships. Many victims find that they are uncomfort-
able in social settings due to the development of maladaptive or nonexistent social skills,
particularly if the perpetrator kept the victim isolated from peers physically and emotion-
ally. Society may further this isolation due to insensitivity, ignorance, and blaming of the
victim. The loss of power and control can also interfere with appropriate social skill devel-
opment. The victim may need to exert extreme power and rigidity to remain in control and
prevent ever being victimized again. At the other end of the pendulum, the victim may
relinquish all power and control, becoming passive and weak in social exchanges.
Sexual intimacy is an area of obvious anxiety for victims of sexual assault. Developing
and maintaining a healthy sexual identity and intimate relationship with a mate can be
a lifelong struggle for victims of sexual trauma. Victims may try to hide their sexuality
under layers of baggy clothing. They may maintain extremes in body weight or practice
poor personal hygiene in order to appear unattractive to potential attackers. Victims must
regain ownership of their own body and develop a healthy respect for their own sexual-
ity. Confusion related to interruptions in childhood sexual development and the differ-
ences between normal sexual impulses and urges and dysfunctional sexuality must be
addressed.
244 ◾ John Padgett

Victims must learn to associate sexual intimacy and touch with pleasure rather than
pain and discomfort. Sexual intimacy and relationships may be physically and emotion-
ally threatening, uncomfortable, or even painful for the victim. Victims may emotionally
or physically withdraw during intimacy, going through the motions as if not really present.
Victims may even dissociate, or detach themselves from their body, during physical close-
ness. They may or may not be aware of this taking place and may be frightened when they
realize what has happened, fearing that they are going crazy or are permanently damaged
in some way. Dissociation is a common form of self-protection for many victims of sexual
trauma. It is not a sign of insanity or damage, but instead a means of self-preservation
that is no longer needed and now requires treatment to control and extinguish. Extreme
cases of dissociation are referred to as dissociative identity disorder or multiple identity
disorder.
To heal and develop a healthy intimate relationship, victims must give themselves
permission to say “no” to sexual advances and to remain in conscious control during
intimate relations. This requires patience from the intimate partner and open communi-
cation. Intimate partners must understand that these victims are not rejecting them, but
are instead learning to identify, accept, and communicate their own sexual needs. This is
a gradual process, and victims will need to feel safe, unpressured, and in control during
intimate relations. They may intentionally sabotage intimate relationships due to feelings
of unworthiness, discomfort, pain, or confusion related to sex. Victims may be unable to
verbalize their fears and anxieties during the coupling. They may need to step away and
examine their own responses before sharing these with their partner. Relinquishing con-
trol, letting go, and achieving climax may be especially difficult, uncomfortable, and even
emotionally painful for the victim. Intimate satisfaction, especially for victims of sexual
assault, is not dependent on achieving climax with every coupling, but instead achieving
emotional closeness and a loving bond.
Ironically, many victims are unable to discern between love and the act of sex and may
be unable to express genuine nurturing or concern for her intimate partner. The young
victim of sexual abuse may be perceived as being highly promiscuous and sexualizing all
relationships and interactions, even nonsexual exchanges. Victims may repeatedly mis-
interpret interactions with others (e.g., religious leaders, bosses, friends’ mates, relatives),
frequently reporting that they are hitting on them. They may feel that the only way to know
that they are loved and cared for is through sex.
Adults with a history of sexual trauma may give their children erroneous or conflict-
ing messages regarding relationships and intimacy. A young girl may be encouraged to
openly discuss sexuality with her father only to be accused of being promiscuous when
holding her boyfriend’s hand. Mothers may tell their daughters that all men are evil and
warn them from an early age to fear the pain of sexual intercourse. Pubescent boys may
be shunned when their victimized mothers finds evidence of masturbation. Young chil-
dren may be exposed to sexual content as a means to teach them about sex at an early
age. When parents send children such messages regarding sexuality, a red flag is raised,
suggesting a prior or ongoing history of sexual abuse of the parent and the potential for
harm to the children.
 Sex Crimes ◾ 245

DATE/ACQUAINTANCE RAPE AND DRUGS

Date/acquaintance rape is nothing new to investigators of sexual-based crimes, but the
nature of the crime is changing. The recreational and criminal use of club drugs such as
Ecstasy, gamma-hydroxybutyric acid (GHB), ketamine, and flunitrazepam (Rohypnol®) can
have debilitating effects on those who ingest them (e.g., impaired judgment, inability to
make rational decisions or give consent, memory loss, amnesia, unconsciousness, loss of
coordination). As a result, law enforcement finds itself investigating more and more cases of
rape where the victim has little or no memory of the incident, making successful prosecu-
tion extremely difficult. In many cases, victims may not know or understand what has hap-
pened to them, or they do not recognize the physical signs until days after the assault. When
encountering a victim who claims to have been drugged or appears to have been drugged or
to be under the influence, it is vital to take immediate action to seek medical testing.
The fact that a victim appears to be under the influence of drugs or alcohol must not
be allowed to impact the decision to fully investigate the crime; many times investigators
will fail to carefully and completely investigate an allegation of sexual assault if the victim
appears to have used or is under the influence. This is a critical error on the part of the
investigator and may result in the loss of critical evidence and cause irreversible damage
to a future criminal prosecution of the offender. As a result of the use of the above listed
drugs being used against unwitting victims, law enforcement agencies must amend their
standard operating procedures (SOPs) to ensure that any sexual assault reported within
the first 72 hours of the alleged victimization is provided a full and complete criminal
investigation and medical examination to facilitate proper collection, preservation, and
submission of evidence for investigative purposes.

CHILDREN AS VICTIMS OF SEX CRIMES

Few criminal investigations are as emotionally taxing and haunting as an investigation into
the victimization of a child. This emotionality intensifies when the victimization involves
an attack of a sexual nature. According to the Office of Juvenile Justice and Delinquency
Prevention (Finkelhor et al., 2009), juveniles make up more than 25.8% of all sex offenders;
adults, 74.2%. Of offenders committing the act of sexual violence against juvenile victims,
juveniles account for 35.6%; adults, 64.4%. Among juvenile offenders, more than 59% of
their victims are below the age of 12. Nine percent of these youthful offenders are 0 to 5
years of age, 16% are 6 to 12 years of age, 38% are 12 to 14 years of age, and 46% are between
15 and 17 years of age. Of these offenders, 93% are male. This report also indicated that
juveniles are 24% more likely to commit sexual offenses in groups as opposed to 14% of
adult offenders. Clinicians commonly refer to these juvenile offenders as “children with
sexual behavior problems,” but adult offenders are typically deemed to be referred to as
“pedophiles.”
Sexual offenses against children are often difficult to prove because, as with their adult
counterparts, delays in reporting often result in the only evidence being the child’s allega-
tion and testimony. It is therefore imperative that initial interviews with child victims be
246 ◾ John Padgett

conducted by a trained and experienced forensic interviewer who can elicit as accurate,
informative, and detailed information as possible regarding the assault. It is advised that
the child protective services investigator conduct a joint investigation with the law enforce-
ment entity having jurisdiction over the case. The child protective services investigator will
typically have training and experience working with traumatized children. Some may be
trained forensic child interviewers. Inexperienced investigators and interviewers without
access to skilled forensic child interviewers must be cautious not to lead or direct victims in
their statements; they must also be cautious not to imply or suggest that victims “pretend,”
“make believe,” or “play a game” as it relates to the content and context of their questions
and the child’s subsequent responses. Forensic child interviewers are trained to establish
the child’s understanding of time, place, relationship, anatomy, and sexual acts which dif-
fers extensively from adult views depending on the child’s developmental stage. This can
lead to defense assertions that the child’s testimony was dramatized, fictional, or simply
not based in reality.
Child victims of sexual crimes often experience the same fears, emotional challenges,
and memory repressions as their adult counterparts, with the added component that they
may feel that their very existence is based on the offender. Children often have a loyalty
or love for their abusers that has been nurtured from their dependencies on their abusive
caretakers.

CONTINUING EDUCATION FOR

INVESTIGATORS OF SEX CRIMES
The field of sex crime investigation is a specialized one that requires extensive education
and training beyond that received at the basic academy level or during in-service training
sessions. Just as the FBI has recognized the individuality of sex crimes as evidenced by
their categorization in their Uniform Crime Report (UCR), so, too, must state and local
law enforcement agencies that investigate and prosecute these crimes. The requisite train-
ing of a sex crimes investigator should include the following courses:

• Advanced Criminal Investigations

• Advanced Crime Scene Processing
• Advance Crime Scene Photography and Videography
• Advanced Interview and Interrogation Strategies and Techniques
• Cultural, Racial, and Sexual Sensitivity Training
• Forensic Interviewing of Children and Adolescents
• Medical/Legal Terminology
• Psychology of the Sexual Offender
• Professional Ethics
• Victimology

It is imperative that this training and education be continuous in order to stay abreast of
current professional developments, practices, and technologies in the field.
 Sex Crimes ◾ 247

FIRST RESPONDER’S RESPONSIBILITY AT THE CRIME SCENE

Sexual assault has long been recognized as one of the most traumatic forms of criminal
victimization in our society, as evidenced earlier in this chapter. The mental, emotional,
and physical traumas, anguish, and humiliation felt by these victims can last a lifetime
and affect every aspect of their future lives. The actions taken by the first responder to the
scene of a sex crime will have profound effects on the final outcome of the investigation
and prosecution of the case. First responders need to understand and acknowledge that the
victim has already taken a monumental step in their healing process simply by exhibiting
the courage to report their attack to law enforcement. Your role as first responder in a sex
crime can be more important than in any other crime you investigate because the victim
is most often the only witness and has reached out to you for protection, understanding,
empathy, and care. Your initial response, professionalism, demeanor, and treatment of vic-
tims can determine their ability to establish the crucial components of trust and coopera-
tion that will be vital in bringing their cases to a successful conclusion. This is true not
only of adult victims but also child victims, especially considering that their offenders may
have told them that the police would not believe them or would take them or their family
members away if they tell anyone what happened to them.
A presentation by the Lincoln Police Department Forensic Identification Laboratory
(1998) used the acronym RESPOND to describe the initial role of the first responder—R,
respond; E, evaluate; S, secure; P, protect; O, observe; N, notify; D, document.

RESPOND
Upon your initial receipt of the call from the dispatcher, you should focus on officer safety,
not only as it pertains to your response to the scene but also what you might be faced with
once you arrive on the scene and what equipment may be necessary for you to effectively
carry out your mission. You should begin focusing your professional investigative observa-
tion skills while en route, taking mental and written notes about all details you feel might
be pertinent to the case. Remember to employ due regard and caution when responding to
your call for assistance; if you do not make it to the scene, you help no one.

EVALUATE
Upon arrival, whether to an assault in progress or an assault completed, you should begin
your evaluation of everyone and everything you come into contact with, including:

• Victim, offender, and witnesses—Are they in need of immediate emergency medi-

cal assistance? Do they have any visible injuries? What affect are they displaying?
What is the condition of their clothing? Are they able to effectively and coherently
respond to questions? Do they appear visibly under the influence? If so, how? Do
you smell anything that might indicate the presence or use of alcoholic beverages
248 ◾ John Padgett

or drugs? If so, what? Is the individual able to identify the offender/victim? If so,
what details were they able to provide (e.g., name, physical description, clothing
description, race, scars, marks, tattoos, foreign accent, unusual odor)?
• Scene safety—Look for anything obvious at the scene that may put you or anyone
else in immediate physical danger and must be addressed before you proceed, such
as live uncovered electrical wires, natural or propane gas leaks, fire accelerant, bio-
logical or chemical hazards, weapons, vicious animals, or structural damage. Do
you require protective clothing, eyewear, gloves, etc.?
• Scene assistance—After your initial survey of the scene, determine whether you
need additional emergency back-up assistance; additional non-emergency person-
nel support; a supervisor, investigator, or crime scene unit to respond, etc.
• On-scene notations—Immediately begin written documentation of everything
you observe and hear, whether it be from the victim, witnesses, or offender. What
were their physical, mental, and emotional states while in your presence? Did they
change? Did they make any statements referring to accusations, admissions of
guilt, admissions of negligence, admissions of intent, admissions of pre- or post-
incident knowledge, etc.?
• Information gathering—Conduct cursory information-gathering interviews with
possible witnesses, including neighbors, family members, bystanders, and other
non-law enforcement emergency personnel who may have arrived at the scene
before you.
• Visible evidence—Take written notes about any possible evidence that you observe
that the scene and its location, being careful not to disturb the evidence. If evi-
dence is disturbed for any reason, note why it was disturbed and by whom and
where it is now. Do not attempt to replace or reposition an evidentiary item in the
crime scene once it has been disturbed or moved. If dangerous or fragile evidence
must be collected due to safety concerns or exigent circumstances, collect it in
appropriate evidence collection containers; mark, bag, and tag all evidence col-
lected; and log it into the evidence log.

SECURE
After initial evaluation of the scene and tending to any emergency needs, crime scene secu-
rity must be implemented by establishing marked (crime scene tape or rope) perimeters
(both outer and inner) accessible to authorized personnel only and manned by officers
assigned to protect against unwarranted entry. The outer perimeter establishes a bright
line not to be crossed by unauthorized or non-emergency personnel. The inner perimeter
provides access to those directly involved in the ongoing investigation of the incident. A
crime scene attendance log must be initiated to establish scene control. This log should
provide the name of every person who has entered the crime scene since your arrival,
beginning with you; it should include the time of their entry to the scene, time of their
exit, and purpose for their being at the scene. Unauthorized personnel, including family
 Sex Crimes ◾ 249

members, witnesses, nonessential emergency personnel, officers, or supervisors, should

not be allowed to enter the scene. All unassigned persons entering the inner perimeter
must be logged in and escorted through the scene.

PROTECT
Now that you have taken measures to secure your scene, you must protect it from being
destroyed or disturbed by nature (e.g., inhospitable weather) or by human, animal, or
mechanical traffic. Locard’s theory of transference must be remembered and protected
against. Smoking, eating, or drinking should be strictly prohibited within the crime scene
perimeter.

OBSERVE
Observation truly begins during your initial evaluation stage and continues with nota-
tions of the time you were originally dispatched and your time of arrival, basic narrative of
the incident, description of the scene upon arrival, basic sketch of the scene, condition of
the scene if indoors (e.g., points of forced entry, doors or windows left unsecure, internal
temperature, lights on or off, condition of the interior), and condition of the scene if out-
doors, including weather conditions, temperature, and possible tracks, markings, or other
evidence. Take photographs or video of crowds gathered at the crime scene, etc.

NOTIFY
Once at the scene, it now falls to you to make necessary requests of support personnel,
including supervisors, coroner or medical examiner, investigators, emergency medi-
cal personnel, emergency utilities personnel (gas, water, electric), and possibly relatives.
Depending on your local sexual assault and child abuse protocols, you may also be respon-
sible for notifying these team stakeholders.

DOCUMENT
From the initial receipt of the call you should have begun your documentation, which
should now include the following: basic narrative with a description of the scene, crime
scene attendance log, basic crime scene sketch, identification of victim, offender, witnesses,
visible evidence sheet, evidence log, etc.
First responders must also be cognizant of other dangers that may arise in the moments
immediately following an incident. Such dangers could arise when suspects or offenders
reappear at the scene prior to additional assistance arriving. If the incident location is
near a roadway where it can be observed by passing motorists, the first responder must
be aware of interested observers (a.k.a., rubberneckers) who slow traffic because they are
curious about what is happening at your scene and could cause a traffic accident. Many
first responders have been struck and killed by preoccupied passersby while performing
250 ◾ John Padgett

SEXUAL ASSAULT SCENARIO

“I met him tonight at the bar and we had a few drinks. He asked if he could give me
a ride home, I said yes. While we were driving he cut through the park. He drove to a
wooded area of the park near the lake, stopped, and turned off the car. We talked for
a little while and started to kiss. After a few minutes he touched my breasts and tried
to unbutton my jeans. I told him to stop several times, but he started grabbing me.
I opened the car door and got out. He got out of the car, told me that he was sorry,
and said if I got back in the car he would drive me straight home. As I turned to walk
back toward the car he grabbed me and threw me to the ground. I screamed at him to
stop, but he began punching me in the face with his fist. He covered my mouth with
his hand, ripped open my blouse, pulled my bra off of my breasts, and then reached
down and unbuttoned my jeans. I began screaming and begging for him to stop,
but he just laughed and punched me on the side of my head. I tried to curl up into
a ball so he couldn’t pull my jeans off or punch me, but he stood up, grabbed me by
my feet, pulled my shoes off, grabbed the bottom hems on both legs of my jeans, and
pulled at them until he got them off. I kept screaming for him to stop, but he jumped
back on top of me and tore my underwear off. I don’t know when he pulled his pants
down but he forced my legs apart and forced himself inside of me. I was screaming
and crying, so he put his hand over my mouth. I bit his hand as hard as I could. He
pulled his hand away and screamed “Bitch!” He punched me in the face and nose and
began raping me harder. When he finished he stood up, grabbed my underwear, and
wrapped them around his hand where I bit him. He was bleeding. He told me to get
dressed and threw my pants and shoes at me. I got dressed and he pulled me up from
the ground and pushed me back into his car. He got in and drove to the park exit
where the public restrooms are. He stopped, turned off the car, and told me to get out.
I opened the car door and started to get out but he came around and grabbed me by
my hair and walked me into the restroom, where he told me to strip and clean myself
up. When I took my clothes off he picked them up, stuffed them into an orange trash
bag that was in the restroom trash can, and ran from the restroom. When I heard
his car start, I looked out of the restroom door and saw him beginning to drive off.
When he got down the road at the curve, I saw him stop the car, get out, run toward
the guardrail, and throw something over. Then he got back into his car and drove off.
After awhile, the park attendant showed up and called the ambulance that brought
me here.”

You Are the Investigator

1. How many potential crime scenes can you identify in this scenario? Identify
each and the type of crime scene it is.
2. What kinds of evidence might you find on or in the offender’s possession
once he has been located?
3. Might you need the services of any special forensic expert? If so, what type?
 Sex Crimes ◾ 251

their duties at the incident location. Other threats may result from the incident you are
responding to being gang related; while you are attempting to sort things out, you could
discover yourself in the midst of a retaliatory drive-by shooting. First responders must
be able to control their emotions, handle sudden rushes of adrenaline, work calmly and
proficiently through extreme stress, and multitask, all while fulfilling their RESPOND
responsibilities.

CRIME SCENE INVESTIGATIONS

When investigating a sex crime, think like the offender. Ask yourself questions like these:

• When and what route would I take and how would I identify, wait for, and approach
a victim?
• Where, how, and following what path would I take the victim to make sure we
were not interrupted?
• How would I deal with potential physical evidence?
• When, where, and in what state would I leave the victim, and how would I prevent
her from reporting the crime and identifying me?
• When, how, and following what path would I take to make sure I got away without
being noticed or identified?
• What would I do with damaged or soiled clothing, and how would I secure a
change of clothing?
• What would I do about any injuries that I might have, and how could I explain
these?
• Where would I go following the attack to establish an alibi, and how and when
would I get there?
• Who would I likely encounter after leaving the scene?

Physical evidence must be properly identified, collected, processed, and analyzed to be

accepted in court. All officers, not just crime scene technicians, should be able to properly
identify, collect, and process basic crime scene evidence. To make sure that proper analysis
is conducted, all officers must be aware of the capabilities of the crime laboratory serving
their agency.
In cases of sexual assault, the investigator is responsible for evidence contained at the
physical location where the crime took place and the evidence present on the bodies and
clothing of the victim and offender. Most sexual assaults involve a relationship between
the victim and attacker, which the attacker will use as a basis to claim that the attack was
consensual. In these cases, it is imperative that the investigator document any evidence
that supports the victim’s statement to the contrary. For this reason, any signs of a struggle
at the physical location should be photographed, videotaped, and documented. Signs of a
struggle include broken or overturned furniture, broken dishes or glasses, items scattered
around the room (especially if other areas in the home are neat and organized), and items
from adjacent areas appearing to be thrown into the scene. Signs of a struggle evident on
252 ◾ John Padgett

the victim’s body, typically, injuries or torn or bloodied clothing, and on the attacker’s
body or clothing should be photographed and documented. Physical signs of the struggle
will typically be photographed by medical personnel at the hospital or jail. Clothing will
be collected and processed as evidence.

CRIME SCENE SEARCH

What is a crime scene? A crime scene is any location that is being investigated by law
enforcement as a result of a criminal act and comprises that area where evidence may be
located. The primary crime scene is where the initial crime or primary event takes place
and where evidence of the criminal act may be located. If the offender or victim leaves the
primary scene and travels to another location, that location would be referred to as the sec-
ondary crime scene. Secondary crime scenes are related to the primary crime scene by way
of evidence from the initial crime but are not the original location of the primary event.
Many times while investigating sex crimes you will discover that the primary incident
occurred in one location and the offender then dropped off the victim at a secondary loca-
tion, drove to another location where he threw some of the victim’s personal items away,
and drove home, where he parked his vehicle in the garage and then changed the clothes he
was wearing at the time of the assault. The locations following the secondary crime scene
are known as tertiary crime scenes. Tertiary crime scenes are other (sometimes multiple)
locations that have become affixed to the primary event as a result of multiple moves on the
part of the offender or victim where evidence of the primary event may be located.
How are primary, secondary, and tertiary crime scenes handled? All crime scenes are
handled as though they are a primary crime scene. All evidentiary, legal, and scientific
concepts and procedures that directly impact the value or usefulness of evidence in a court
of law are applied equally to each of these scenes.
No two crime scenes are the same whether large or small; however, the procedures for
processing crime scenes is standardized and must be followed. Investigators or crime scene
investigators, through education, training, and experience, will develop individually stra-
tegic methods for applying the procedures that best fit the crime scene location and their
needs at the crime scene. In doing so, these professionals exercise great caution to ensure
that all evidence is located and identified without being altered or destroyed. The security
and integrity of the scene are never to be compromised to make the procedures for process-
ing the crime scene easier for investigators.
Once at the crime scene, investigators must determine the best method for processing
the crime scene and what search pattern is best suited to assist them in accomplishing
their goal. Many search patterns are used in the law enforcement profession, including
grid searches, spiral searches, strip searches, wheel searches, and zone searches. Following
standardized procedures for processing crime scenes fulfills the main goal of investigators,
which is to successfully complete a thorough crime scene investigation with all evidence
collected, documented, identified, marked, and submitted for processing so they will be
able to accurately reconstruct the crime scene at a later date.
 Sex Crimes ◾ 253

NATURE OF SEX CRIME EVIDENCE

Historically, investigating sexual assault cases has provided law enforcement with chal-
lenges inherently unique to sexual crimes. These crimes are often not immediately reported
following their occurrence, which results in delays in evidence location and collection, ini-
tial and tertiary crime scene identification, witness location, and offender location. Each of
these issues individually can raise some perplexing issues for investigators, but as a whole
they have the ability to jeopardize the successful prosecution of the case and the offender.
Other pertinent challenges involve first responders. Often, the initial response to a report
of sexual assault is not to the location where the offense took place. The first responder may
be dispatched to the home of a relative or friend where the sexual assault was reported. As a
result of their training, the first responder immediately seeks medical attention for the vic-
tim and calls for an investigator, leaving them with the responsibility of asking the victim
basic fundamental questions. This scene is played out in much the same fashion when first
responders are dispatched to a hospital, urgent-care, or emergency clinic where the victim
is receiving medical care for an alleged sexual assault. In this case, the first responder calls
for an investigator and ceases all questioning of the victim regarding the offense. This
occurs most often as the result of training where they are told that due to the nature of the
offense and the delicate state of the victim they are to gather only pertinent information
and leave all other questioning for the investigator. It would, however, seem elementary to
collect basic pertinent information from the victim:

• At what time did the incident occur?

• Where did the initial incident occur? (Inquire as to whether there were tertiary
incident locations.)
• Did you know the offender?
• Did anyone see or hear what happened? Did you see or hear anyone during or
immediately following the assault?
• Can you provide a description of the offender, the offender’s vehicle, etc?
• Have you taken a bath, shower, or douched since the offense?
• Are you pregnant or could you have been pregnant prior to your assault?
• Are these the same clothes you were wearing at the time of the sexual assault? If
not, where are they?

These basic questions can provide the investigator with crucial information that may
result in the preservation of evidence, crime scenes, and even the accidental abortion of an
already developing fetus unrelated to the assault.
Keep in mind that sexual assault victims and their offenders are also crime scenes and
must be properly processed. The processing of victims begins at the hospital with admin-
istration of a Sexual Assault Evidence Kit (SAEK), more popularly known as a “rape kit.”
The collection of evidence via these kits is an extremely invasive procedure, even though
it is performed by medical professionals. Investigators must be cognizant of the emotional
trauma the victim has sustained prior to collecting rape evidence. The victim has already
254 ◾ John Padgett

been violated by the offender and is now suffering the discomfort, humiliation, and indig-
nation associated with the evidence collection procedure. Following collection, the evi-
dence is properly bagged, tagged, and sealed, and a chain-of-custody transfer is made to
forward the evidence to the crime lab for processing.
Once the victim has been identified and a search warrant obtained, the suspect will be
processed at the hospital with a medically collected Suspect Evidence Collection Kit and
possibly a Buccal Swab Kit for DNA comparison. Again, this is an invasive procedure that
may result in some discomfort for the offender. Following collection, the evidence is prop-
erly bagged, tagged, and sealed, and the chain-of-custody transfer is made to forward the
evidence to the crime lab for processing.
The types of physical evidence found at the scene of a sex crime are not that dissimilar
to what you might find at any other crime scene, but it is associative evidence that connects
the offender to the victim to the crime scene. Such associative evidence might include
(Savino and Turvey, 2005):

• A used condom containing the offender’s seminal fluid on the interior and the
vaginal cells of the victim on the exterior
• The offender’s seminal fluid in the victim’s rectum
• Pubic hair of the victim intertwined in the pubic hairs of the offender
• Paint residue from the offender’s workplace on the victim’s clothing
• The offender’s fingerprints on a glass in the sink of the victim’s home
• The offender’s saliva on a cigarette butt put out on the victim’s abdomen

According to a study by the Georgia Supreme Court Commission on Equality (2003),

in order to detect GHB in the blood, tests must be conducted within 2 to 6 hours using a
urine sample; because of its slow metabolism rate, Rohypnol can be detected in the urine
for up to 72 hours. Urine testing should still be performed for up to 4 days and blood tests
up to 24 hours following assaults because trace amounts of these date rape drugs may still
be detected (LeBeau et al., 1999). This problem again emphasizes the vital role played by
first responders as it relates to response and recovery of evidence in the successful pros-
ecution of sexual assaults, as a significant amount of time might have already passed by
the time the victim realizes that an assault has taken place and reports the incident to law
enforcement.

PHOTOGRAPHIC AND VIDEO EVIDENCE

Documenting evidence at crime scenes is a core component of an investigator’s job. Unlike
pleasure photography or videography, investigators cannot just snap photographs or video
indiscriminately. Investigators must take their time, choose the best angle and the best
lens, decide whether to use existing light or employ external light sources, or whether
macro-photography, 1-to-1 photography, or standard photography is required. Each shot
is taken with the goal of capturing every detail of the object being photographed; simply
walking around snapping pictures is not an option. Investigators are required to keep a
 Sex Crimes ◾ 255

detailed log of each photograph and each video shot. This log notes various aspects of each
photograph taken, such as a description of the photograph, whether polarization filters
were used, whether a tripod or stand was used, which lens was used, whether a flash was
used, the direction the photographer was facing at the time of the photograph, the f/stop
and shutter speed used, and the distance to the object photographed. This photographic
evidence log becomes a component of the chain of custody and is turned over to the crime
lab with the investigator’s photographs or video.
The use of photography in sex crime investigations is not limited to documenting the
crime scene or visible injuries. Normal photography uses visible light to illuminate the
subject and capture the subject on the film. Using visible light to photograph facial bruis-
ing around a victim’s eye will produce an image resembling what could be viewed with the
normal eye; however, employing the use of ultraviolet photography with specialized filter-
ing will allow the camera to capture the full extent of the bruising, even that not visible to
the normal eye or captured by the use of visible light photography. If the victim’s injuries
have completely healed and are no longer visible, reflected ultraviolet light photography
has the ability to penetrate the skin and reveal bruising, scarring, impact marks, and bite
marks not visible for up to 6 months or longer afterward (Robinson, 2010; Weiss, 2008).

TYPES OF EVIDENCE ENCOUNTERED AT SEX CRIME SCENES

Because sex crimes can occur virtually anywhere—indoors or outdoors, on land or in the
water or in the air—crime scenes, too, can be anywhere—residence, storage shed, tent,
workplace, school, restaurant, movie theater, library, park, alley, pool, junkyard, beach,
restroom, classroom, crack house, church, or even in a theater of war during active mili-
tary duty. They can occur in conveyances such as automobiles, trains, aircraft, watercraft,
or military vehicles. Sex crimes can be committed by anyone, male or female. They can be
from any walk of life, a member of any socioeconomic level. The crimes are committed by
husbands, wives, brothers, sisters, mothers, fathers, uncles, aunts, grandmothers, grandfa-
thers, babysitters, coaches, employers, coworkers, religious leaders, public service workers,
school teachers, lawmakers. When investigating sex crimes, an investigator will quickly
discover that there is no limit to the locations, types of offenders, or sources of evidence
encountered.
Common evidence indicative of sex crimes includes blood, seminal fluid, saliva, vagi-
nal secretions, urine, fecal matter, hair, condoms, vomit, bruising, bite marks, syringes,
needles, razor blades, alcohol, and drugs. Care, caution, and preventative protection must
be used whenever dealing with bodily fluids and bloodborne pathogens, as these may be
infected with acquired immunodeficiency syndrome (AIDS); hepatitis types A, B, or C;
human immunodeficiency virus (HIV); or tuberculosis. Be aware that there are no known
cures for AIDS, HIV, or hepatitis C, and treatments for hepatitis A and B and tubercu-
losis are long term, lasting up to a year and a half. When encountering blood or bodily
fluids, always consider it to be infected and employ all necessary precautions, as infec-
tious organisms can live for several days outside of the body. It is also important for those
involved in crime scene searches to wear disposable protective gloves, eye protection, shoe
256 ◾ John Padgett

protectors, and hazmat coveralls to protect themselves from sharp objects penetrating
the skin and to prevent blood and bloodborne pathogens from being transferred to their
shoes or clothing. There have been many instances of emergency responders becoming
infected away from the crime scene when they took off their shoes and had their hand
penetrated by an infected needle, razor, or piece of glass trapped in the tread of the shoe
at the crime scene.
Investigators must keep in mind that we live in the technology-rich 21st century, where
low-cost, everyday technologies (e.g., flash memory cards, CDs, DVDs) capable of holding
vast amounts of digital evidence are available in almost any retail store. Technology has
also witnessed the creation of affordable cellular telephones, digital cameras, and digi-
tal video recorders that are pocket size with the ability to record, play, and transfer data
in vast amounts in milliseconds. Computers, laptops, and netbooks come complete with
editing software and webcams to produce and share information literally across the globe.
When charged with conducting searches for evidence at locations controlled by suspects
or offenders, investigators must be aware of these technologies, as well as internal and
external hard drives, peripheral devices, and computer networks, and their capabilities
when applying for search warrants. Sex offenders often take photographs or videotaped
recordings of their victims during the crime to keep on hand so they can relive the event
at a later date (Dutelle, 2011).

PROTOCOL OF A SEX CRIME SCENE SEARCH

The investigator’s first responsibility at the crime scene is to verify that the scene was prop-
erly secured and that any evidence identified has been properly collected and processed
with the chain of custody maintained. Do not shortchange or limit your crime scene
search. Remember, the scene is not just the location where the penetration or other sexual
act took place, but also includes all locations to which the offender and victim traveled,
including the entry and exit paths of each party. When determining the boundaries of
the crime scene, consider the information provided by the victim and witnesses, as well
as your own perceptions of what the perpetrator was thinking when planning the attack,
conducting the assault, and fleeing the area. The following procedures should be followed
when conducting a crime scene search in a case of sexual assault or violent crime:

• Respond to the scene using due care.

• Provide medical emergency medical assistance to those in need.
• Evaluate your needs and possible problems.
• Secure the crime scene by establishing an outer and inner perimeter of the crime
scene and begin a crime scene log for all persons entering or exiting the scene.
• Assign nonessential personal to perimeter security of the crime scene.
• Observe the crime scene and the surroundings, making notes of what and who
you see.
• Make necessary notifications (e.g., supervisors, investigators, members of sexual
assault or child abuse teams).
 Sex Crimes ◾ 257

• Identify, photograph or videotape, document, and collect evidence of the crime

and actions taking place before and after the crime. Collection of evidence is cru-
cial and should include all evidence collected at the primary, secondary, and ter-
tiary crime scenes; evidence collected from the victim; evidence collected from the
offender; and statements or evidence collected from witnesses.
• Identify and locate all potential witnesses.
• Reconstruct the actions of all parties before, during, and after the crime was
committed.
• Link the victim, perpetrator, and any known witnesses to the scene.
• Identify and take into custody the offender.
• Complete the district attorney’s case file and prepare to reconstruct the crime
scene for the court if required.
• Remember to Respond, Evaluate, Secure, Protect, Observe, Notify, and Document.

GLOSSARY
Chain of custody—The movement and location of real evidence, and the history of those
persons who had it in their custody, from the time it is obtained to the time it is
presented in court (Garner, 2009).
Child molestation—Any indecent or sexual activity on, involving, or surrounding a
child; usually under the age of 14 (Garner, 2009).
Child pornography—Material depicting a person under the age of 18 engaged in sexual
activity. Child pornography is not protected by the First Amendment, even if it falls
short of the legal standard for obscenity (Garner, 2009).
Crime scene—Any location that is being investigated by law enforcement as a result of a
criminal act; it is comprised of that area where evidence may be located.
Forensic odontology—A branch of forensic medicine that, in the interests of justice, deals
with the proper examination, handling, and presentation of dental evidence in a
court of law; it includes the identification of human remains, bite mark evaluations,
postmortem identification, and dental profiling.
Habitual sex offender—A person who has been convicted of, or has pleaded guilty to,
committing multiple sexually oriented offenses (Garner, 2009).
Incest—Sexual relations between family members or close relatives, including children
related by adoption (Garner, 2009).
Indecent exposure—An offensive display of one’s body in public, especially of the geni-
tals (West, 2009).
Necrophilia—Sexual intercourse with dead bodies. The three types are pseudo necro-
philes, regular necrophiles, and homicidal necrophiles (Hickey, 2005; Holmes,
2009; Terry, 2006).
Opportunistic sexual offender—Offenders described as exhibiting adventure-seeking,
impulsive, or delinquent lifestyles; also referred to as “recreational” or “situational”
offenders, as they tend to commit offenses while involved in carrying out another
crime (e.g., burglary, kidnapping, robbery) (Terry, 2006).
258 ◾ John Padgett

Pedophile—An individual who is sexually attracted to prepubescent children, generally

age 13 or younger. Pedophilia is defined by mental health professionals as a men-
tal disorder, but the American legal system defines acting on a pedophilic urge as
a criminal act. The focus of pedophilia is sexual activity with a child (APA, 1994,
2004).
Peeping Tom—A person who spies on another without consent, such as through a win-
dow usually for sexual pleasure; also termed peeper (Garner, 2009).
Primary crime scene—Location where the initial crime or primary event took place and
where evidence of the criminal act may be located.
Rape—Forced sexual intercourse, including both psychological coercion as well as phys-
ical force. Forced sexual intercourse means vaginal, anal, or oral penetration by
the offender. This category also includes incidents where the penetration is from a
foreign object such as a bottle. Includes attempted rape, with male or female vic-
tims, and both heterosexual and homosexual rape. Attempted rape includes verbal
threats of rape (BJS, 2010).
Secondary crime scene—Location related to the primary crime scene by way of evidence
from the initial crime scene but is not the original location of the primary event.
Sexual predator—A person who has committed many violent sexual acts or who has a
propensity for committing violent sexual acts; also termed predator, sexually dan-
gerous person, sexually violent predator (Garner, 2009).
Sexual sadist—One who performs sadistic acts (real, not simulated) to derive sexual
excitement from the psychological or physical suffering of the victim. Sadistic fan-
tasies or acts may involve activities that indicate the dominance of the person over
the victim. They may also involve restraint, fear, pain, humiliation, beating, burn-
ing, electrical shocks, rape, cutting, stabbing, strangulation, torture, mutilation, or
killing. Sadistic sexual fantasies are likely to be present in childhood. Sexual sadism
is usually chronic and is usually repeated until the offender is apprehended. The sex-
ual sadist exhibits antisocial and violent behaviors that make outside therapy and
treatment outside of institutional confinement unsuccessful (APA, 1994, 2004).
Sodomy—Oral or anal copulation between humans, especially those of the same sex
(Garner, 2009).
Stalking—The act or an instance of following another by stealth. The offense of follow-
ing or loitering near another, often surreptitiously, to annoy or harass that person
or to commit a further crime such as assault or battery. Some statutory definitions
include an element that the person being stalked must reasonably feel harassed,
alarmed, or distressed about personal safety or the safety of one or more persons for
whom that person is responsible. Some definitions include acts such as telephoning
another and remaining silent during the call (Garner, 2009).
Statutory rape—When a person, male or female, engages in sexual intercourse with any
person under the age of consent (usually 16) and not his or her spouse. Statutory
rape differs from forcible rape in that overt force or threat need not be present for
the violation to occur (Georgia General Assembly, 2009).
 Sex Crimes ◾ 259

Tertiary crime scene—A location not deemed the primary or secondary crime scene;
instead, it is another location (or multiple locations) that has become affixed to the
primary event as a result of multiple moves on the part of the offender or victim and
where evidence of the primary event may be located.

QUESTIONS FOR DISCUSSION

1. What impacts of sexual assault may interfere with your investigation and how will
you handle this?
2. Using the scenario provided in the chapter, how well was the case handled? What
would you do differently and why?
3. What constitutes a properly protected crime scene?
4. An ambulance took the victim to the hospital before law enforcement arrived.
Her clothing and person contained vital evidence. Has the chain of custody been
broken?
5. What can blood stains, a blood-splatter pattern and trail, palm prints and marks
on the hood of a victim’s car, scuff marks on a garage floor and stoop, partial
sneaker prints, a blood trail leading inside, or a discarded soda cup tell us? Can any
of this link a rapist to the victim or to a crime scene?
6. How important is crime scene photography? Video recording? Crime scene
sketches?
7. What can analysis of rape-kit evidence taken by the doctor from the victim tell us?
Can sperm or blood be used for DNA analysis to identify the age, sex, or race of the
rapist?
8. What differences exist in the investigation of sexual assault with a child victim and
an adult victim?
9. Where do you draw the line between achieving a conviction and secondary
victimization?
10. What types of continuing education do law enforcement officers need to become
specialized in investigations of sexual assault?

BIBLIOGRAPHY
APA. (1994). Diagnostic and Statistical Manual of Mental Disorders, 4th ed. Washington, D.C.:
American Psychiatric Association.
APA. (2004). Diagnostic and Statistical Manual of Mental Disorders, 4th ed., rev. Washington, D.C.:
American Psychiatric Association.
BJS. (2010). Rape and Sexual Assault. Washington, D.C.: Bureau of Justice Statistics, Office of Justice
Programs, (http://bjs.ojp.usdoj.gov/index.cfm?ty=tp&tid=317).
Dutelle, A.W. (2011). An Introduction to Crime Scene Investigation. Mississauga, Ontario, Canada:
Jones & Bartlett.
FBI. (2009a). Table 1: Crime in the United States by Volume and Rate per 100,000 Inhabitants, 1989–
2008. In 2008 Crime in the United States. Washington, D.C.: Federal Bureau of Investigation
(http://www2.fbi.gov/ucr/cius2008/data/table_01.html).
260 ◾ John Padgett

FBI. (2009b). Uniform Crime Reports. Washington, D.C.: Federal Bureau of Investigation (http://
www.fbi.gov/ucr/ucr.htm#cius).
FBI. (2010). Table 1: Crime in the United States by Volume and Rate per 100,000 Inhabitants, 1990–
2009. In 2009 Crime in the United States. Washington, D.C.: Federal Bureau of Investigation
(http://www2.fbi.gov/ucr/cius2009/data/table_01.html).
Finkelhor, D., Ormrod, R., and Chaffin, M. (2009). Juveniles Who Commit Sex Offenses Against
Minors. Juvenile Justice Bulletin, December (http://www.ncjrs.gov/pdffiles1/ojjdp/227763.pdf).
Garner, B.A., Ed. (2009). Black’s Law Dictionary, 9th ed. New York: West.
Georgia General Assembly. (2009). Official Code of Georgia, http://www.lexis-nexis.com/hottopics/
gacode/Default.asp.
Georgia Supreme Court Commission on Equality. (2003). The Georgia Justice System’s Treatment of
Adult Victims of Sexual Violence: Some Problems and Some Proposed Solutions. Atlanta: Georgia
State University College of Law.
Golding, J.M. (1999). Sexual Assault History and Long-Term Physical Health Problems: Evidence
from Clinical and Population Epidemiology. Current Directions in Psychological Science,
8(6):191–194.
Hickey, E.W. (2005). Sex Crimes and Paraphilia. Upper Saddle River, NJ: Prentice Hall.
Hill, G.N. and Hill, K.T. (2002). The People’s Law Dictionary: Taking the Mystery Out of Legal Language.
New York: MJF Books.
Holmes, R.M. (2009). Sex Crimes: Patterns and Behavior, 3rd ed. Thousand Oaks, CA: Sage.
LeBeau, M.A., Andollo, W., Hearn, W.L. et al. (1999). Recommendations for toxicological investiga-
tions of drug-facilitated sexual assaults. Journal of Forensic Sciences, 44:227–230.
LPD Forensic Identification Laboratory. (1998). First Responder Crime Scene Training [PowerPoint
presentation]. Lincoln, NE: Lincoln Police Department.
NCVC. (2008). Male Rape. Washington, D.C.: National Center for Victims of Crime (http://www.
ncvc.org/ncvc/main.aspx?dbName=DocumentViewer&DocumentID=32361).
RAINN. (2011). Rape, Abuse, and Incest National Network, Washington, D.C. (http:www.rainn.
org/).
Robinson, E.M. (2010). Crime Scene Photography, 2nd ed. Burlington, MA: Elsevier.
Savion, J.O. and Turvey, B.E., Eds. (2005). Rape Investigation Handbook. Burlington, MA: Elsevier.
Terry, K.J. (2006). Sexual Offenses and Offenders: Theory, Practice, and Policy. Belmont, CA:
Wadsworth.
Twain, M. (1909). Letters from Earth. New York: Harper & Row.
Weiss, S.L. (2008). Forensic Photography: The Importance of Accuracy. Upper Saddle River, NJ:
Prentice Hall.
 Chapter 15

Robbery
J. Harrison Watts
Washburn University

CHAPTER OBJECTIVES
After reading this chapter, you should be able to do the following:

1. Identify the criminal elements of robbery.

2. Differentiate the different categories of robbery.
3. Identify the actors and accomplices in a robbery.
4. Comprehend the various methods used to investigate robberies.

Chapter Outline
• Robbery Defined
• Categories of Robbery
• Robbery Target Selection
• Parties to the Crime
• Investigating Robberies
• Prosecuting Robberies
• Summary

ROBBERY DEFINED
Robbery is oftentimes confused with burglary. A typical scenario in Anytown, USA, is
upon returning home from vacation a family finds that their residence has been broken
into. They call the police department and report that they have been robbed. In actuality
they have not been robbed; rather, they have been burglarized. There is a distinct difference
between burglary and robbery. So what is robbery? Robbery is defined as using force or the
threat of force to commit theft from an individual. More specifically, according to the Texas
Penal Code (§29.02), a person commits a robbery if, in the course of committing theft and

261
262 ◾ J. Harrison Watts

with intent to obtain or maintain control of the property, he intentionally, knowingly, or

recklessly causes bodily injury to another or intentionally or knowingly threatens or places
another in fear of imminent bodily injury or death. The family that returned home from
vacation to find that their home was broken into was not robbed because the theft was not
committed against their person but rather by stealth while they were away.
Each of the 50 states has a variation of the definition of robbery; however, the main ele-
ments remain the same: theft from a person and the use or threat of force. Many states have
enhancements for robbery. This generally occurs when a victim is injured during the rob-
bery or the offender brandishes a lethal weapon in the course of the robbery. An example
of an enhanced robbery is reflected in the Texas statute for aggravated robbery: A per-
son commits an aggravated robbery if he causes serious bodily injury to another; uses or
exhibits a deadly weapon; or causes bodily injury to another person or threatens or places
another person in fear of imminent bodily injury or death, if the other person is 65 years of
age or older or a disabled person (Texas Penal Code §29.03). Some states differentiate rob-
bery in the first degree from robbery in the second degree, depending on the circumstances
surrounding the robbery. In California, every robbery of a person who is performing his or
her duties as an operator of public transportation (e.g., taxi cab driver), robbery of any pas-
senger that is perpetrated on public transportation, and every robbery that is perpetrated
in a home, boat, trailer coach, or the inhabited portion of any other building is robbery of
the first degree (California Penal Code §212(a)).
A second-degree robbery involves a robbery where no weapons were exhibited and
where only the threat of force was used to commit the theft from an individual. When
a weapon is used in a robbery, 43.5% of the time it is a firearm. Strong-armed robberies
account for 40% of robberies, and a higher percentage of strong-armed robberies occur in
the northeast United States as compared to the rest of the nation. The south reports more
armed robberies with weapons than the rest of the nation (FBI, 2008f).
In all states, robbery is defined as a felony crime. Felony crimes are punishable by con-
finement in a state penitentiary for more than one year. Enhanced or aggravated charges of
robbery result in a harsher punishment. The typical punishment for a robbery in Texas is
any time in a state penitentiary from 2 to 20 years. For aggravated or first-degree robbery,
the punishment is from 5 to 99 years, or life in prison.
Robbery is considered an index crime within the Uniform Crime Reporting (UCR)
Program, which was operationalized in 1930 by the International Association of Chiefs of
Police to meet the need for accurate, uniform crime statistics for the nation. The Federal
Bureau of Investigation (FBI) is the federal agency that collects crime data from over 17,000
law enforcement agencies across the United States. Robbery is considered a violent crime
by the UCR. Violent crimes are defined in the UCR Program as those offenses that involve
force or threat of force. Surprisingly, the 2008 estimated robbery rate (145.3 per 100,000
inhabitants) showed a decrease of 1.5% compared to the 2007 rate (FBI, 2008a,b); however,
over a 5-year period (2004 data compared with 2008 data), robbery showed an increase of
10.1%. The average dollar loss per robbery offense was $1315. The highest average dollar
loss was for banks, which lost $4854 per offense (FBI, 2008a,g).
 Robbery ◾ 263

ATTEMPTED ROBBERY
Criminal attempt statutes generally designate that the punishment for an attempted crime
would be one degree lower than if the crime was completed. In other words, in California,
if an individual plans a robbery, puts on a mask, walks into a convenience store, and
demands money, but the clerk brandishes a weapon from behind the counter and scares
off the robber, then an attempted robbery has occurred. The California statute for criminal
attempt specifies that, if the crime attempted is punishable by imprisonment in the state
prison (which in this case it is), then the person guilty of the attempt shall be punished by
imprisonment in the state prison for one-half the term of imprisonment prescribed upon a
conviction of the offense attempted. The punishment for this type of robbery in California
is a second-degree felony with a possibility to serve up to 5 years in prison, but in a crimi-
nal attempt half of that sentence would be mitigated by the fact that the robbery was an
attempt.

CATEGORIES OF ROBBERY
BANK ROBBERIES
Bank robberies are unique in that a person who commits a bank robbery actually violates
both state and federal statutes as they relate to robbery. Title 18, Section 2113, of the United
States Code (18 USC §2113) is the federal criminal bank robbery statute. Subsection (a)
of this code prohibits the taking or attempted taking by force, intimidation, or extortion
of any property, money, or any other thing of value belonging to, or in the care, custody,
control, management, or possession of, any bank, credit union, or savings and loan asso-
ciation, which are defined in federal statutes. Generally, the FBI is the lead agency in the
investigation of bank robberies; however, local police departments respond to emergency
calls or silent alarms in the initial response to a bank robbery. Typically, the local law
enforcement agency will be the initial responding agency but will call the local office of the
FBI to respond, and both agencies will work together in the investigation of the crime. If a
suspect is identified, the FBI will pursue the case through the federal court system rather
than the state system. There are exceptions to the rules, and one can find cases where a
bank robber has been prosecuted through state courts rather than federal courts, but this
would be an exception rather than the rule.
Local law enforcement agencies are considered the first responders to bank robber-
ies, and they have special procedures that they generally follow. Police departments put
into place policies that deal with the handling of the initial reporting of bank robberies in
progress. Generally, the police want the robbers to get out of the bank believing that they
have not been detected by the police. Most banks have silent alarms that notify the police
dispatch. Officers are then dispatched to the location of the bank. Contrary to police tele-
vision shows, the police may not be running with lights and sirens to the scene of a bank
robbery; rather, the police prefer to use stealth to catch the robbers once they are away
from the bank and innocent civilians. Local police may have predetermined hidden areas
264 ◾ J. Harrison Watts

away from the bank but within eyesight of the bank entrance. When the police respond to
a silent alarm in one of these areas, they wait for the robbers to come out of the bank, at
which time they are taken down.

CONVENIENCE STORE ROBBERIES

Common targets of robberies are convenience stores. These stores are generally open 24
hours, which provides opportunities for robbers. The modus operandi or method of opera-
tion for the robber is to scope out the store and then strike quickly when the store does not
have any customers in it. Most store clerks go through robbery training prior to taking a
position as a clerk. The 7-Eleven Corporation implemented specific loss-prevention train-
ing, and, according to research conducted by Lins and Ericson (1998), the training imple-
mentation contributed to a 70% reduction in robberies over 20 years.

HOME INVASIONS
Home invasions are incidents where robbers make entry into a habitation while the resi-
dents are at home. The robbers generally display weapons and threaten the homeowners
with violence unless they tell the robbers where their valuables and cash are located. Home
invasions have been prevalent in the Asian community, as many Asian immigrants tend to
keep cash in their homes rather than depositing it in banks. Kidnapping or false imprison-
ment charges may accompany a robbery charge in the case of a home invasion. The 2002
movie Panic Room is centered around a secure room built in a residence in case of a home
invasion.

MUGGING
Muggings are also called street robberies. These types of robberies are likely to occur in
parking lots, outside of shopping malls, on city sidewalks, in alleyways, and in places
where people might be carrying a purse or wallet. A mugging is usually a very quick action;
the victim is caught by surprise and usually offers a minimal amount of resistance. In a
mugging, victims may be injured when they are pushed to the ground by their assail-
ants. The elderly are targeted for muggings due to their perceived slow reaction time, and
they typically offer little resistance. Automated teller machines (ATMs) also provide rob-
bers with targets who have cash in hand. In fact, robberies at ATMs are such a concern
that the Credit Card Accountability, Responsibility, and Disclosure Act of 2009 includes a
provision for the Federal Trade Commission to study and report to Congress on the cost
effectiveness of making available ATM emergency PIN technology that would enable bank
customers under duress to electronically alert a local law enforcement agency. The Federal
Trade Commission is researching emergency PINs or reverse PINs and alarm button tech-
nologies as a potential response to ATM robbery.
 Robbery ◾ 265

2.6 2
5.5

13.8 Bank
Street/highway
Misc.
43.1 Residence
16.3 Commercial
Convenience store
Gas station

16.7

FIGURE 15.1 Robbery by location. (Adapted from FBI, 2008 Crime in the United States,
Federal Bureau of Investigation, Washington, D.C., 2008; http://www2.fbi.gov/ucr/
cius2008/data/table_23.html.)

CARJACKING
California Penal Code §215(a) defines carjacking as the felonious taking of a motor vehicle
in the possession of another, from his or her person or immediate presence, or from the
person or immediate presence of a passenger of the motor vehicle, against his or her will
and with the intent to either permanently or temporarily deprive the person in posses-
sion of the motor vehicle of his or her possession, accomplished by means of force or fear.
California Penal Code §215(b) further stipulates that carjacking is punishable by impris-
onment in the state prison for a term of 3, 5, or 9 years. Carjackers look for opportunities
to gain control of a vehicle. This could be at a stop light or in a parking lot when the victim
is just getting into the vehicle. Carjackers tend to forcibly remove the victim and take the
vehicle, or they will push the victim into the passenger seat while forcing their way into
control of the vehicle. The typical carjacker seeks to gain control of the vehicle rather than
kidnap the victim. Victims may also be robbed of valuables, such as their jewelry, wallet, or
purse, and anything that the robber can secure quickly that may be valuable.

ROBBERY TARGET SELECTION

Highway or street robberies make up the majority of all robberies. The UCR data revealed
that highway robberies in 2008 accounted for 43.1% of all robberies, followed by miscel-
laneous robberies at 16.7% and residential robberies at 16.3% (FBI, 2008c) (Figure 15.1).
Highway or street robberies are generally crimes of opportunity rather than planned rob-
beries. The victims in this type of robbery are in the wrong place at the wrong time. They
look weak, old, young, or less likely to put up resistance. Street robbers may cruise certain
areas of a city looking for weak targets. Planned robberies include detailed preparations to
commit robbery without being caught by the authorities. Some robberies require complex
266 ◾ J. Harrison Watts

planning, but others do not. Bank robberies provide a good example of a planned robbery.
Generally speaking, bank robbers watch the bank for weeks and sometimes even months in
advance. They go into the bank prior to the robbery to get a feel for the layout and security.
After casing the bank, a decision is made as to the suitability of the bank for a robbery.

PARTIES TO THE CRIME

Robbery is often committed by a group of individuals working together. As the complexity
of the robbery increases, so does the need for accomplices. An accomplice is someone who
knowingly, voluntarily, and with common interest participates in the commission of a crime
and can be charged with the same crime(s) for which the accused will be tried (O’Connor,
2006). Complicity is association with a wrongful act; individuals who share in the guilt even
though they do not engage in the criminal act are accomplices to the crime. A principal is
anyone involved in committing a crime. A principal in the first degree is one who perpetrates
a crime either through his or her own act or by the use of inanimate objects or innocent peo-
ple. A principal in the second degree incites or abets the commission of a crime and is present
actually or constructively. A person is present constructively when, without being present, he
or she assists the principal of the first degree at the moment the crime is being committed. An
accessory before the fact gives support to, rouses, or assists but is not actually there; an acces-
sory after the fact receives, relieves, harbors, or assists a felon to evade arrest and conviction
(O’Connor, 2006). Complicity, principal, accessory before the fact, and accessory after the fact
are all different terms, each with its own distinct meaning. In accomplice law or complicity,
the statutory law has evolved beyond the common law, and the case law is broad and perplex-
ing about precisely where the lines are drawn. Complicity is a theory that can be misused
by prosecutors. Only a few basic restrictions exist: First, the law does not recognize accom-
plices to any misdemeanor or the crime of treason. Second, an accomplice must normally be
physically present during commission of the crime, but advice or words of encouragement
beforehand as well as providing material assistance afterwards will create a liability. Third,
no one can be convicted on the uncorroborated testimony of an accomplice alone. Finally,
persons giving post-crime aid are punished less severely than those furnishing pre-crime aid.
Getaway drivers are considered principal actors in the crime. Many robbers utilize getaway
drivers who specialize in high-speed driving. The driver waits and acts as a lookout while the
robbery is occurring. When the crime is completed, the getaway driver takes all the partici-
pants away from the crime scene. There may be witnesses outside of a location that is robbed
who can describe the getaway driver and provide vehicle information.

INVESTIGATING ROBBERIES
IDENTIFYING SUSPECTS
In 2010, according to FBI statistics, 6753 persons were known to be involved in bank rob-
bery, bank burglary, or bank larceny; Table 15.1 breaks them down by race and sex. FBI
investigations had resulted in the identification of 3325 (49%) of these 6753 persons. Of
 Robbery ◾ 267

TABLE 15.1 Number, Race, and Sex of Perpetrators

White Black Hispanic Other Unknown Total
Male 2681 2738 479 67 232 6197

Female 255 182 15 10 10 472

Total 2936 2920 494 77 242 6669

Note: The number of persons known to be involved in the 5628 robberies, burglar-
ies, and larcenies in 2010 was 6753. In a small number of cases (84), the use
of a full disguise made determination of race and sex impossible.
Source: FBI, Bank Crime Statistics 2010, Federal Bureau of Investigation,
Washington, D.C., 2010 (http://www.fbi.gov/stats-services/publications/
bank-crime-statistics-2010/bank-crime-statistics-2010).

these 3325 identified persons, 1173 (35%) were determined to be users of narcotics and 557
(17%) were found to have been previously convicted in either federal or state court for bank
robbery, bank burglary, or bank larceny.

INTERVIEWING WITNESSES AND VICTIMS

At the scene of the robbery one of the key elements to identifying suspects is to inter-
view witnesses who may have observed essential details of the robbers. The interviews may
take a considerable amount of time depending on the number of witnesses to the crime.
Typically in a robbery investigation, the interviews are conducted at the scene of the crime.
Many police departments have standardized witnesses statements to expedite the process.
This is not the rule, however, and depending on the number of witnesses and the exact
details of the crime it is not uncommon to have the witnesses accompany the investigators
to the police department for interviewing.
Prior to interviewing it is important to separate the witnesses so they do not influence
each other. Many times what one witness may have observed is not what a separate witness
may have observed. The investigator will want to ascertain all the information and receive
that information independent of any other witnesses. Details such as physical descriptions,
weapon characteristics, the method in which the robber conducted the robbery, and words
that the robber used are all important. When a suspect description is obtained and within
a short period of time after the robbery a suspect matching that description is located in
close proximity to the crime scene, that suspect can be directly transported back to the
crime scene for identification by the witnesses. This process is called a show-up. Show-ups
have been debated as they do not provide suspects with the protection of legal counsel
(Kirby v. Illinois, 1972). In addition, the reliability of a show-up has been questioned by
researchers (Steblay et al., 2003). In some cases, a suspect could be falsely identified because
the clothing he or she is wearing matches the description given by witnesses. It is impor-
tant to corroborate the suspect’s recent path prior to the report of the robbery.
The collection of physical evidence should proceed as soon as possible. A note the robber
used during the hold up would be a critical piece of evidence. Many bank robberies are exe-
cuted by the robber casually entering the bank and handing a note to the teller demanding
268 ◾ J. Harrison Watts

money. Generally, robbery suspects do not leave much physical evidence at the scene of the
crime; however, robbers may leave fingerprints or footprints, or they may discard some-
thing that could be valuable in the investigation. It is the responsibility of the responding
police officers to secure the crime scene, making sure that any physical evidence that was
left at the scene is not disturbed until the investigators arrive.

CLOSED-CIRCUIT TELEVISION
In an attempt to deter robberies, many businesses utilize closed-circuit television (CCTV).
The video from CCTV has improved remarkably over the past several years. Banking insti-
tutions utilize heavy video surveillance. Much of this video surveillance is now in digital
form, which provides a high-quality images for police. Robbers attempt to defeat video
surveillance by wearing disguises. These disguises can be quite elaborate or may be very
simple. In 2005, in Tucson, AZ, three women and one man were arrested in connection
with a string of robberies dubbed the “clown robbers” due to the clown disguises they
wore. The break in the case came when reviews of outside surveillance videos from the
robbery locations led police to the vehicle the group was using.

PROSECUTING ROBBERIES
LEVEL OF PROOF
Since larceny is an element of robbery, all the issues that exist in defining larceny are also
issues in defining robbery. The common law rules that prevent the taking of real property
or services from being larceny, for instance, may also prevent the forcible taking of these
things from being robbery. Likewise, since the taking that results from a mistaken but hon-
est claim of ownership is not a theft because there is no intent to deprive the rightful owner,
such taking with force is not a robbery in most states because there is no theft. Hall of Fame
football star Orenthal James Simpson, known commonly as O.J. Simpson, was convicted of
armed robbery and ten other charges for gathering together five other men and raiding a
hotel room, where they seized several game balls, photographs, and plaques. Mr. Simpson
and his lawyers argued, unsuccessfully, that the incident was not a robbery but an attempt
to reclaim mementos that had been stolen from him (Associated Press, 2008).
After meeting all the elements of larceny the prosecutor must then meet the requirement
of force or intimidation. This element is what distinguishes robbery from larceny or theft.
Purse snatchings or muggings happen so quickly that sometimes victims do not know that
they have lost their property. If this is the case, the crime may be a larceny rather than a
robbery. When victims do recognize the act of someone attempting to take property from
them and struggle, and the perpetrator uses force to remove the property, these cases are
classified as robbery. The threat of violence qualifies as force in the sense of the definition
of robbery. The threat must be of an immediate nature and be specific.
 Robbery ◾ 269

SUMMARY
Robbery is defined as using force or the threat of force to commit theft from an individual.
Burglary is often mistakenly referred to as robbery. Robbery is more closely aligned with
theft or larceny as larceny is an element of robbery. In all states, robbery is a felony crime
and punishable by incarceration in a penitentiary. Robbery is classified as being in the first
degree or second degree. Some states refer to first-degree robbery as aggravated robbery.
Robberies occur most often as street crimes or muggings. Robberies can be planned, such
as robberies of a bank or jewelry store, or they can be opportunistic, such as convenience
store robberies. Robbery is not limited to businesses and people walking on the street,
as some robberies occur when perpetrators forcibly enter homes while the occupants are
inside and hold the occupants hostage while taking their valuables. These robberies are
classified as home invasions. Robbery is a crime that may have more than one offender per
offense. An accomplice is someone who knowingly, voluntarily, and with common inter-
est, participates in the commission of a crime and can be charged with the same crime for
which the accused will be tried. In addition, an individual who assists in the planning of
the robbery or aids in the concealment of the robbery after the fact could be considered
complicit in the wrongful act.
Investigating robberies involves identifying suspects, collecting physical evidence, and
interviewing witnesses and victims. One technology that has assisted investigators in the
investigation of robberies is closed-circuit television. Proving the elements of robbery is
accomplished through the testimony of witnesses and victims, as well as examining physi-
cal evidence. All of the elements of larceny plus the use or threat of the use of force to
accomplish the larceny must be proven beyond a reasonable doubt.

QUESTIONS FOR DISCUSSION

1. What differentiates robbery from theft and burglary?
2. Explain the concept of complicity.
3. What are the different levels of accomplices?
4. What are the steps that a police officer should take when arriving at a robbery
crime scene?
5. Explain the breakdown of robbery by location.

BIBLIOGRAPHY
Anon. (2010). Robbery—Particular Requirements. Law Library–American Law and Legal Information,
http://law.jrank.org/pages/1982/Robbery-Particular-requirements.html.
Associated Press. (2008). O.J. Simpson Found Guilty on All Charges in Robbery–Kidnapping Trial.
FoxNews.com, http://www.foxnews.com/story/0,2933,432663,00.html.
FBI. (2008a). Table 1, Crime in the United States by Volume and Rate per 100,000 Inhabitants, 1989–
2008. In 2008 Crime in the United States. Washington, D.C.: Federal Bureau of Investigation
(http://www2.fbi.gov/ucr/cius2008/data/table_01.html).
270 ◾ J. Harrison Watts

FBI. (2008b). Table 1a, Crime in the United States: Percent Change in Volume and Rate per 100,000
Inhabitants for 2 years, 5 years, and 10 years. In 2008 Crime in the United States. Washington,
D.C.: Federal Bureau of Investigation (http://www2.fbi.gov/ucr/cius2008/data/table_01a.
html).
FBI. (2008c). Table 2, Crime in the United States by Community Type, 2008. In 2008 Crime in the
United States. Washington, D.C.: Federal Bureau of Investigation (http://www2.fbi.gov/ucr/
cius2008/data/table_02.html).
FBI. (2008d). Table 3, Crime in the United States: Offense and Population Percent Distribution
by Region, 2008. In 2008 Crime in the United States. Washington, D.C.: Federal Bureau of
Investigation (http://www2.fbi.gov/ucr/cius2008/data/table_03.html).
FBI. (2008e). Table 12, Crime Trends by Population Group, 2007–2008. In 2008 Crime in the United
States. Washington, D.C.: Federal Bureau of Investigation (http://www2.fbi.gov/ucr/cius2008/
data/table_12.html).
FBI. (2008f). Table 21, Robbery, by State, Types of Weapons, 2008. In 2008 Crime in the United
States. Washington, D.C.: Federal Bureau of Investigation (http://www2.fbi.gov/ucr/cius2008/
data/table_21.html).
FBI. (2008g). Table 23, Offense Analysis: Number and Percent Change, 2007–2008. In 2008 Crime in
the United States. Washington, D.C.: Federal Bureau of Investigation (http://www2.fbi.gov/ucr/
cius2008/data/table_23.html).
Kirby v. Illinois, 406 U.S. 682 (1972).
Lins, S. and Erickson, R.J. (1998). Stores Learn to Inconvenience Robbers. Security Management,
42(11):49–53.
O’Connor, T. (2006). Accomplice Law, http://www.drtomoconnor.com/3010/3010lect03.htm.
Steblay, N., Dysart, J., Fulero, S., and Lindsay, R.C.L. (2003). Eyewitness Accuracy Rates in Police
Show Up and Line Up Presentations: A Meta-Analytic Comparison. Law and Human Behavior,
27(5):523.
 5
Specialized Investigations

Chapter 16 ■ Narcotics Investigation

Chapter 17 ■ Cybercrimes

Chapter 18 ■ Gang Investigation

271
 Chapter 16

Narcotics Investigation
Donald F. Vespa
U.S. Drug Enforcement Administration (Retired)

CHAPTER OBJECTIVES
After reading this chapter you should be able to do the following:

1. Describe the nature of narcotics investigations.

2. List and describe the steps in a narcotics investigation.
3. Explain the role of the case agent in a narcotics investigation.
4. Identify the various types of street narcotics.
5. Explain the role of the undercover agent.
6. Explain the role and importance of confidential informants.

Chapter Outline
• Introduction
• Case Initiation and Preparation
• Drugs of Abuse
• Surveillance
• Informants
• Undercover
• Undercover Purchase
• Operational Safety Plan

INTRODUCTION
Drug trafficking, illegal drug use, drug abuse, and violent drug-related crimes are just a
few of the enormous challenges a narcotics investigator faces. In order for the narcotics
investigator to be efficient and successful at fighting drug traffickers, the investigator must
be creative, innovative, and dedicated to developing a basic investigative strategy to combat
drug traffickers and drug organizations. The investigator must utilize all of the available
273
274 ◾ Donald F. Vespa

resources at hand to identify, target, and eventually arrest drug traffickers. Today’s drug
traffickers and drug trafficking organizations are equally creative, innovative, and dedi-
cated in their determination to distribute illegal drugs throughout our country and the
world. Experience has repeatedly demonstrated that, when inadequate planning, tactics,
and resources are used, deaths and injuries may result needlessly among innocent civil-
ians, drug violators, and law enforcement personnel; therefore, it is very important that
every narcotics enforcement activity be thoroughly planned by a supervisor, case agent,
and participating personnel.
In the planning and execution of all narcotics enforcement operations (e.g., arrests,
search warrants, undercover activity), the first priority should be given to the safety of par-
ticipating personnel and the public, the second priority to the security of the money, and
the third priority to the achievement of investigative objectives. It is essential that an oper-
ational safety plan be prepared for all enforcement activities. In any narcotics enforcement
operation, safety should be paramount. When narcotics operations are properly planned
and executed with safety in mind, the probability of injury and death are minimized.
The success of a narcotics investigation or narcotics enforcement operation is depen-
dent in part upon reliable intelligence information. Today, drug trafficking organizations
have become highly sophisticated in guarding their illegal operations from law enforce-
ment authorities. These organizations are extremely violent, adaptable, and resourceful, so
mutual law enforcement cooperation is essential in combating these sophisticated violent
drug traffickers. It should be noted that, because of a single initial tip or lead, many suc-
cessful large-scale drug dealers and trafficking organizations have been dismantled and
put out of business. For this reason, it is very important for investigators to methodically
follow all leads and tips, regardless of how trivial they seem.
One of the main goals of a drug enforcement operation is to arrest the highest level of
drug violators and seize the largest quantity of illicit drugs before they reach the street.
This at times can be a very daunting task due to a lack of complaining witnesses; there are
only drug sellers and drug buyers. The drug investigator must develop a narcotics case
based on fundamental principles of drug investigation that involve intelligence, surveil-
lance, informants, and undercover operations. These fundamental resources are the key
components in any successful narcotics investigation. The successful end result of these
investigations is a reflection of the hard work and dedication to the law enforcement per-
sonnel assigned to the cases.
It is important to realize that many drug trafficking cases overlap jurisdictional boundar-
ies; thus, it is important to develop a good cooperative relationship with other law enforce-
ment agencies. In addition, it is equally important to work closely with the prosecutor in
a narcotics investigation. The success or failure of your investigation often is determined
by small procedural and legal details, all of which should be discussed with the prosecutor
during the initial stages of case development. In other words, if it is at all possible, have the
prosecutor on board from the beginning of your investigation to minimize potential legal
problems. In this chapter, we discuss and describe some of the basic fundamental methods,
principals, and techniques involved in a narcotics investigation.
 Narcotics Investigation ◾ 275

CASE INITIATION AND PREPARATION

The first step in initiating a narcotics case by the narcotics investigator involves the verifi-
cation of intelligence information concerning a violation of the controlled substance laws
or related laws. This information may be received from a multitude of sources of informa-
tion (SOIs), who are individuals or organizations providing occasional information with-
out compensation. These SOIs may include law enforcement elements, both within and
outside the narcotics investigator’s parent agency; criminals and criminal associates; and
concerned citizens. The information may also be provided by an informant, often referred
to as a cooperating source or cooperating individual, who is an individual operating under
the specific direction of law enforcement, with or without the expectation of payment or
valuable consideration. This category also includes defendant informants, who are individ-
uals subject to arrest and prosecution for a narcotics offense. These individuals can provide
valuable information to the narcotics investigator when they have direct knowledge of the
criminal activity and personal contact with the investigators.
In general, the investigator must maintain an open mind toward all information received
from any source. In particular, informant assistance can be extremely valuable in narcotics
cases because the informant in many cases has inside information on the criminal activities.
During the initial debriefing, the investigator should establish whether or not the source has
direct knowledge of the information or activities that the source is describing. If the source
has no direct knowledge, the source should explain how he or she obtained the information.
Every time the source names an individual, the investigator should obtain as much identi-
fying information as possible about the individual. This should include a complete physical
description and any other identifying characteristics. If the source indicates a location of
criminal activity, the investigator should get as much information as possible, including
addresses, geographical landmarks, and maps. The source should be asked specific ques-
tions about the drug trafficking methods, including type and quantity of drugs, smuggling
routes, transportation methods, storage locations, payment amounts, clandestine drug lab-
oratories, money movement, communications, financial assets, and narco-terrorism.
The investigator should never ask a question that compromises a law enforcement
source, ongoing operation, or technical capabilities. Drug dealers are frequently aware of
other criminal activities in a given area, such as robberies, burglaries, auto thefts, drive-by
shootings, or homicides; therefore, the investigator should always ask the source about any
other types of criminal activity for later referral to the appropriate departments or agen-
cies. Many times a narcotics investigator has much narcotics-related information available,
but it takes training and many years of experience to determine its relevancy and impor-
tance in the case. The astute investigator should evaluate the information received relative
to the type of source and the circumstances of its receipt. In this process, the motivation of
the cooperating individual must be scrutinized carefully.
Regardless of the source of the information, the investigator must make every effort to
independently verify and corroborate the information received. This can be accomplished
in several ways, one of which is surveillance of the suspected individual in question. The
276 ◾ Donald F. Vespa

investigator can learn a lot of valuable information about a suspected individual by closely
observing his daily activities. In addition, criminal history checks, police offense reports,
traffic records, court records, public utilities, telephone records, public records, motor
vehicle registration records, subsequent interviews, and informant development can all
help to corroborate the information received. After the preliminary information indicat-
ing possible drug law violations or other law violations has been verified by independent
sources, it is time to develop a case strategy on how best to further the investigation. It is
important to remember that the overall objective of a drug case is to arrest, prosecute, and
incarcerate drug traffickers to reduce drug availability in the community. In addition, the
narcotics investigator should be aware of the asset forfeiture laws concerning drug traffick-
ers and of the financial component in any drug investigation.
Regardless of whether you are investigating a low-level street dealer or a large-scale drug
trafficking organization, a drug dealer’s primary objective is to make a profit. Drug traf-
fickers need cash to operate, buy silence from witnesses, pay bribes, pay legal expenses,
establish stash houses, and obtain new drug sources of supply. For this reason, the assets,
the financial component, are a major factor in any criminal drug organization that must
be addressed by the investigator. Today’s drug investigators should focus not only on the
traditional objectives of arresting the drug dealer and seizing large amounts of drugs but
also on identifying and locating all of the illegally obtained assets of a drug dealer or drug
organization for possible seizure and forfeiture.
Proper planning of a drug investigation is crucial to whether or not the investigation
will be successful. The target of the investigation and available law enforcement resources
will determine the investigative response. For example, the level at which the dealer is
distributing drugs is important in the planning stages of the investigation. Whether the
dealer is a low-level street dealer or a large-scale multijurisdictional source of supply will
determine the type of investigation initiated. All of these factors will affect the length of
the investigation, type of arrests, and the amount of resources dedicated to the case. If the
dealer is a low-level dealer, it might be more prudent to conduct a “buy–bust” instead of a
“buy–walk,” which has the potential to turn the suspect into a valuable informant or CS
early on in the investigation. Remember, in many cases it takes investigative acumen to
determine the credibility and value of a good CS. A narcotics investigator should not take
everything a CS says at face value.
In many cases, a CS will try to embellish the information provided to the investigator.
Whether the narcotics investigator chooses to conduct an undercover (U/C) agent buy or
an informant (CS) buy or simply to pursue a drug possession case will depend on all of the
aforementioned factors. The overall success of an investigation in part is determined by
how the investigator obtains information and prepares the criminal case. To ensure suc-
cessful prosecution of a case, it is wise to establish a close working relationship with the
prosecutor. It would be futile to conduct an extensive complex narcotics investigation if the
prosecutor refuses to present the case in court. It is always advisable to seek legal assistance
early in any investigation to prevent legal problems that could negate weeks’ or months’
worth of investigative effort. If there is ever any question about the legality of any action,
the prosecutor should be contacted before any action is taken.
 Narcotics Investigation ◾ 277

In every narcotics investigation, documentation and corroboration are paramount;

therefore, it is advisable to have a second investigator present as a witness during all debrief-
ings of sources of information and confidential sources. In every narcotics investigation,
a case initiation report should be submitted by the case agent or officer; this report should
include details of the initial basis of the case, the major targets, and the overall objectives of
the investigation. The scope of the investigation will be determined by the available intel-
ligence information gathered on the targets of the investigation and the law enforcement
resources available to conduct the investigation. Remember, technically, a narcotics case
begins with the case initiation; however, in many cases, much of the investigative work
begins after the arrest is made. The mere arrest of a subject is but a small part of the entire
investigative process of exposing the defendant to the criminal justice system. This is espe-
cially true if the subjects arrested agree to cooperate with the authorities and additional
relevant information is uncovered, which must be verified and corroborated.
Preparing a case for court requires documenting everything of importance that occurs
during an investigation that leads to an arrest, as well as all subsequent post-arrest investi-
gative efforts and procedures. All of this documentation is contained in the case file, which
the case agent or officer is responsible for maintaining, updating, and periodically review-
ing for completeness and accuracy. In essence, the case file is a complete chronological
record of the entire investigation from case initiation to the case closing. The prosecutor
may have the responsibility for the interpretation and presentation of all of the relevant
evidence in court, but the investigator is tasked with the initial collection of evidentiary
material to help prove the defendant’s guilt. The evidence as well as the method or means
by which it was obtained must not violate the laws of admissibility. The admissibility of
evidence in a court of law is dependent on the manner in which the evidence was collected,
processed, identified, and secured. In addition, the chain of custody of the evidence sub-
mitted must be documented. In conclusion, a drug investigator is only limited by experi-
ence, resources, ability, and hard work.

DRUGS OF ABUSE
Cocaine is a drug listed under Schedule II of the Controlled Substance Act. It is described
as a white crystalline substance, chemically known as benzoylmethylecgonine, which orig-
inates from the coca plant (Erythroxylon coca), grown chiefly in Bolivia and Peru in the
Andes Region of South America. It is considered a powerful central nervous system stimu-
lant or “upper” and has both physical and psychological addictive properties. Known on
the street as coke, flake, or snow, cocaine can be inhaled or injected into the body. It has a
high melting point, so before it can be smoked it must be converted to base or crack, which
has a much lower melting point. Crack, the street name for the smokable form of cocaine,
resembles tiny chunks or rocks. Users smoke crack cocaine in small pipes or in tobacco
and marijuana cigarettes.
When users smoke crack, they get high very quickly. Both physical and psychological
dependence develops very quickly with continued crack use. Illicit cocaine is distributed
as a white crystalline powder, frequently diluted by a wide variety of ingredients, including
278 ◾ Donald F. Vespa

sugars such as lactose, mannitol, and inositol, as well as lidocaine, a local anesthetic. As a
result of the high cost of cocaine, there is a proclivity to adulterate the substance at each level
of drug distribution. The most common method of administering cocaine is by snorting
the product through the nose. Large-scale cocaine dealers usually sell cocaine in kilogram
quantities, whereas low-level street dealers deal in ounces or lesser gram amounts. The
price of cocaine varies depending on the demand, availability, and quantity purchased.
Ecstasy (3,4-methylenedioxymethamphetamine, or MDMA) is what is commonly
referred to as a synthetic or designer drug. Manufactured in clandestine laboratories,
Ecstasy is a stimulant with mild hallucinogenic properties, similar in chemical compo-
sition to both 3,4-methylenedioxyamphetamine (MDA) and methamphetamine. Most
MDMA seized in the United States originates in Europe. Even though the natural sub-
stance starts out in powder form, the normal dosage unit for Ecstasy or MDMA is a tablet.
The tablets usually have unique designs imprinted on them. Most MDMA tablets are white
to off-white in color, although some tablets are green, blue, or yellow. Ecstasy is referred to
as the “love drug” or “hug drug”; on the street, Ecstasy is known simply as E or X. MDMA
is frequently sold retail for $10 to $60 per tablet at all-night dance clubs known as “rave
clubs.” It is a Schedule I drug under the Controlled Substances Act. (Schedule I drugs have
no legitimate medical purpose.)
There is a tremendous mark-up between the wholesale and retail price on MDMA.
Producers of MDMA usually sell it to wholesale distributors in 10,000-tablet lots, typically
charging between $1.50 and $5.00 per tablet. Subsequently, the wholesale dealers smuggle
the drug into the United States via couriers. Wholesale MDMA dealers then sell the MDMA
in lots of 1000 tablets to mid-level distributors, who in turn sell the drug to retail distributors.
Ecstasy is popular with young adults and adolescents at rave parties because it increases the
sensitivity to touch. Some of the physical effects are muscle tension, hyperthermia, blurred
vision, rapid eye movements, faintness, involuntary teeth clenching, sweating, and tremors.
As a result of the increase in energy, young people at rave parties dance and party continu-
ously, resulting in dehydration, exhaustion, and high blood pressure.
Another Schedule 1 drug under the Controlled Substance Act is gamma-hydroxybu-
tyrate (GHB), a powerful central nervous system depressant that is frequently used illicitly
for its sedative and euphoric effects. Adolescents and young adults appear to be the pre-
dominant users of GHB. GHB is one of the drugs most commonly used in drug-facilitated
sexual assaults due to its powerful sedative characteristics. Prior to such a sexual assault,
the drug is usually covertly mixed into the intended victim’s drink to mask its salty taste. It
is quickly absorbed and metabolized by the body. The onset of the drug’s effects normally
occurs within 15 to 30 minutes of ingestion, and the effects generally last for 3 to 6 hours
depending on the potency and amount of GHB administered. Vomiting is a common result
of GHB consumption. An overdose of GHB can lead to respiratory depression and death.
Heroin is produced by a chemical process from raw opium obtained from the opium
poppy. It is known on the street as horse or smack. It is listed under Schedule I of the
Controlled Substance Act and varies in color from white to dark brown because of impuri-
ties left from the manufacturing process or the presence of additives such as cocoa, food
coloring, or brown sugar. Pure heroin is a white powdery substance that is bitter in taste;
 Narcotics Investigation ◾ 279

it is rarely sold on the streets. Street heroin is often sold to street addicts in a single dosage
unit called a “bag,” which is heavily diluted and mixed with powdered milk, sugar, starch,
and quinine. Historically, heroin use in the United States has varied over periods of rising
and falling demand. The demand for heroin ranges from traditional inner cities to wealth-
ier affluent suburbs. The combination of higher purity, greater availability, and lower cost
has made heroin use more appealing to young people. The new higher purity heroin can be
snorted or smoked instead of being injected. Heroin comes from Mexico, Asia, and South
America. The financial incentive for heroin trafficking is high. Heroin can be purchased
relatively inexpensively outside the United States, but the price increases greatly after
reaching this country. Mexican drug trafficking organizations using established marijuana
networks have expanded their product line to include black tar and brown heroin.
Ketamine hydrochloride is a Schedule III drug under the Controlled Substance Act.
Common street names for ketamine are special K, K, vitamin K, cat valium, lady K, and
super K. It is a dissociative anesthetic that has a combination of stimulant, hallucinogenic,
depressant, and analgesic properties. Ketamine is legally used as a preoperative veterinary
anesthetic and is abused for the aforementioned properties. It is illegally used to facilitate
sexual assault and often is distributed at raves, nightclubs, and private parties. Most of the
ketamine illegally distributed in the United States is diverted or stolen from legitimate
sources or smuggled into the United States. It can be taken orally in tablet or capsule form
or snorted as a powder.
Lysergic acid diethylamide (LSD) is listed under Schedule I of the Controlled Substance
Act. LSD is a hallucinogenic drug that became popular during the drug culture of the
1960s. LSD can cause delusions and hallucinations and a poor perception of time and dis-
tance. It is usually sold in the form of tablets, as thin squares of gelatin, or as impregnated
paper (referred to as “blotter acid”). It is often referred to on the street as microdot or acid.
All forms of LSD are sold by the dose and are normally taken orally.
Marijuana is a term that refers to the Cannabis plant and to any part or extract of it
that produces somatic or psychic changes in an individual. Marijuana is a tobacco-like
substance produced by drying the leaves and flowering tops of the plant. It varies in its
potency, depending on the source and selectivity of the plant, and is commonly smoked
in a variety of ways. The potency of the marijuana plant depends on its concentration of
the psychoactive agent THC. The higher the concentration of THC in the marijuana plant,
the higher the potency level. Sinsemilla is prepared from unpollinated female Cannabis
plants and has an extremely high THC concentration. Marijuana price ranges vary con-
siderable, depending on the quality and geographic location of the country. Marijuana is
often referred to as pot, grass, sinsemilla, reefer, or weed. Marijuana prices fluctuate greatly
depending on the geographic location and quantity purchased. It is usually sold in ounce
and pound quantities.
Methamphetamine is listed under Schedule II of the Controlled Substance Act and
is commonly referred to on the street as speed, crank, glass, meth, ice, or crystal. It is a
synthetically produced central nervous system stimulant that induces effects similar to
those of cocaine; however, it metabolizes much more slowly in the body than cocaine
and thus has longer lasting effects. Ice, named for its appearance, is a smokable form of
280 ◾ Donald F. Vespa

methamphetamine. Illicit methamphetamine is sold in tablets, ice, and powder forms.

Powder methamphetamine can be injected, orally ingested, snorted, or smoked. It is bitter
tasting and water soluble, and it ranges in color from white to reddish brown. The variations
of color can be attributed to differences in the manufacturing process. Powder metham-
phetamine is usually snorted or injected depending on the geographic area; however, it can
also be smoked or orally administered. Users experience increased alertness and a sense of
euphoria along with increases in respiration, heart rate, blood pressure, and body tempera-
ture. Chronic use and abuse result in hypertension, hallucinations, memory loss, paranoid
delusions, and violent behavior. The adverse consequences of methamphetamine abuse
include the risk of heart failure, stroke, and prolonged psychosis. Withdrawal from the
drug can result in severe depression. Historically, powder methamphetamine was chiefly
made and sold by outlaw motorcycle gangs; however, large-scale Mexican drug traffick-
ing organizations now dominate the market. These Mexico-based criminal organizations
manufacture methamphetamine in large clandestine laboratories in Mexico and then dis-
tribute the methamphetamine throughout the United States via drug couriers. In addition
to the Mexican methamphetamine drug laboratories, domestic “cooks” within the United
States produce powder methamphetamine in small makeshift, independent mom-and-pop
clandestine laboratories. Due to aggressive domestic enforcement measures and restrictions
on the chemical precursors required to manufacture methamphetamine, there has been a
reduction in the number of clandestine methamphetamine labs in some Midwestern states.
Methamphetamine is sold by the gram, ounce, pound, or kilogram, depending on the geo-
graphic area. The price varies considerably, depending on the purity of the product.

SURVEILLANCE
Surveillance in modern-day law enforcement is a valuable and effective procedure that
produces viable intelligence when all else fails. It is used for a variety of reasons and has
multiple applications in the field, although the primary purpose of surveillance is to obtain
information. In addition, it is frequently used to verify and corroborate information previ-
ously obtained. This also includes updating existing intelligence information to prevent it
from becoming stale and ineffective. It can also be used to provide security for ongoing
undercover operations, to obtain probable cause for a search warrant, to identify drug
violator associates, and to provide an avenue for apprehending drug dealers in the act of
committing crimes. The methods used to conduct surveillance are only limited by one’s
imagination and creativity. Surveillance can be by foot, motor vehicle, boat, or aircraft,
or it can take place in a fixed location. A multitude of equipment is available to aid the
investigator in these activities, including radios, cell phones, cameras, special surveillance
vehicles, aircraft, video equipment, binoculars, high-powered telescopes, and sophisticated
electronic tracking and listening equipment.
Many sophisticated large-scale drug trafficking organizations have been disrupted, dis-
mantled, and put out of business as a result of information obtained during basic surveil-
lance operations; therefore, it would be wise for any drug investigator to work hard at
becoming proficient in the various methods, adaptations, and techniques of surveillance.
 Narcotics Investigation ◾ 281

A successful surveillance is no easy task and can be a very difficult process for the inex-
perienced investigator. This task is compounded if the subject under surveillance is sus-
picious, which is often the case with paranoid drug dealers. This is the reason why basic
surveillance practices and principles must be followed and implemented. Good judgment
and common sense go a long way in the field of surveillance. Generally speaking, the more
practice and experience an investigator has in surveillance operations, the more efficient
and successful those operations will be.
Surveillance is an investigative technique that requires patience and perseverance
from the investigator. Patience can be developed through practice and determination.
Surveillance is a proven established investigative technique that an investigator utilizes to
develop additional pertinent information to proceed with an investigation. It is one of the
most valuable investigative measures that a criminal investigator can develop and use, if
done correctly.
The American Heritage Dictionary of the English Language defines “surveillance” as the
close observation of a person or group, especially of one under suspicion. In a concise law
enforcement context, it simply refers to watching the bad guy without the bad guy know-
ing you are doing so. In a sense, the surveillance team must appear as if they are invisible
to the suspect or target being observed. Maintaining this cloak of invisibility in a surveil-
lance operation can be very difficult. Many drug violators are extremely street smart and
conscious of surveillance; as a result, they are constantly looking around for indicators of
police surveillance.
There are a number of terms used by surveillance members that should be defined here.
The suspect or target is the person being observed. The surveillant is the person doing the
observing. Burned is a term used to indicate that the surveillance has been recognized by
the suspect or target. Eye-ball or simply eye refers to the law enforcement agent or officer
who is the closest observer to the suspect or target. Tail refers to a surveillance agent or
officer. Trip means to travel from one location to another. Loose refers to maintaining a
discreet distance between the target and the closest surveillant. Tight refers to maintaining
a close distance between the target and the closest law enforcement tail. A neutral vehicle
is a non-law enforcement vehicle. A take-away refers to the intended direction in which a
surveillance unit will follow the target.
Obviously, it is important that members of the surveillance team be in good physical
condition in order to be effective. Surveillance assignments can often be very stressful and
prolonged, extending over a long period of time. In addition, these assignments often occur
under difficult conditions and in dangerous environments.
Surveillance team members need to be alert and have quick reflexes, keen perception,
good judgment, and a good memory. Good driving skills are a must, along with keeping
detailed chronological surveillance notes. All of these attributes come into play in a sur-
veillance operation. It is very important for the team members to understand the signifi-
cance of the target’s actions and the relevancy of those actions in the context of the overall
investigation. In many cases, though, this is not discerned until later on in the investiga-
tion. This is why it is important to keep complete and accurate notes of all details and facts
during an ongoing surveillance operation.
282 ◾ Donald F. Vespa

The details and facts recorded by the surveillance officer become the basis for the con-
tent of the subsequent surveillance report, which is submitted as part of the overall inves-
tigative case file. A simple factual observance by a surveillance team member might not
seem to be significant at the time, but it can be a vital bit of key information later in the
investigation. It is futile to conduct a lengthy intense surveillance operation and not be able
to remember important details because you forgot to take notes.
The proper attitude toward surveillance is critical. All members of the surveillance team
should understand the reasons for and objectives of the surveillance assignment. This in
itself is often all that is required to establish the proper attitude or mindset within the sur-
veillance team. A surveillance operation can often be mentally and physically demanding
on all members of the team as a result of long hours and little sleep. A surveillance assign-
ment can last hours, days, weeks, or even months depending on the level and complexity
of the investigation. As a result, it is crucial that all members of the team be thoroughly
briefed by the supervisor and surveillance leader prior to conducting the surveillance.
All members of the team should be provided with relevant target information, including
physical descriptions, vehicle descriptions, aliases, criminal history, telephone numbers,
license numbers, girlfriend addresses, criminal associate addresses, and photographs of
the intended targets and associates. Intelligence information on a target’s daily routine,
individual habits, and interests should be addressed in the briefing. This information can
be invaluable during a surveillance operation, especially if the team loses the target dur-
ing the surveillance and needs to reestablish contact with the target. Generally speaking,
the more information the team has about the target, the better the chances of success. It is
important to remember that a moving surveillance can at times be compared to a fast and
furious roller coaster ride. Once the operation begins, you never know when and where
it will end. Members of the surveillance team are frequently confronted with unexpected
conditions in the field, and the situation can change instantly. The surveillance team should
always anticipate the unexpected and be prepared for the worst.
All members of the surveillance team should be equipped with the basic equipment
necessary to conduct the surveillance. Some of the items and basic equipment include bin-
oculars, maps, notepads, portable radio, extra batteries, cellular phone, GPS if available,
extra clothing, and an overnight bag. In addition, the surveillance team members should
all have their vehicle fuel tanks topped off. All of the vehicles should be in good working
order, and the surveillance team members should always try to plan for the unexpected in
any surveillance operation. Many times, the target has unexpectedly ended up driving a
long distance and the surveillance team was caught off guard, assuming the subject was
only running a short errand in the neighborhood. As a result, the surveillance team needs
to plan ahead to be prepared for any contingency. It should be noted that prior planning
can prevent or minimize many of the possible problems.
A reconnaissance of the intended area where the surveillance will begin is a vital first
step in initiating a successful surveillance. This could be the target’s residence, a stash
house, a girlfriend’s apartment, or the target’s place of business. The surveillance team
leader or designee should note the type of area, safety and security concerns, traffic pat-
terns, dead-end streets, road construction, location of street lights, street names and
 Narcotics Investigation ◾ 283

directions, access highways, and, most importantly, good observation locations or vantage
points in the immediate area. Important vantage points could be parking lots, roofs of
parking garages, vacant apartments, offices, and houses. In addition, the surveillance team
leader should obtain photographs of the location and the subject’s vehicle, along with a
sketch of the location. After this information is obtained, surveillance personnel will be
better informed on how best to initiate the surveillance.
All enforcement personnel involved in the upcoming surveillance operation should be
briefed and provided with all of the relevant intelligence information on the target. All
equipment should be checked for proper functioning prior to departure of the team. A
primary and secondary communication channel should be established in the event that
a second target is developed during the surveillance, requiring dividing the surveillance
team into two groups. Designated surveillance team leaders should be established prior
to the surveillance operation. Some neighborhoods or locations are extremely difficult to
establish surveillance in without being burned by the bad guys; therefore, to establish a
covert eyeball on the target subject, it may be necessary to position a surveillance van or
undercover surveillance officer on foot some distance from the target. Other ways to avoid
detection would be to use various ruses; for example, a surveillance officer could feign
engine trouble or could pretend to be a service repairman or maintenance worker on a job
in the area. Ruse techniques are limited only by one’s imagination and ability, but they may
require some props to be convincing.
During night-time surveillance activities, it is important to wear dark clothing and stay
out of brightly lit areas. The surveillance member, who has the eyeball, is responsible for
notifying the other surveillance units when the target moves and the target’s direction of
travel. The surveillance member who establishes the initial eyeball in this case would not
immediately be involved in the moving surveillance. In some cases, a surveillance unit
will be assigned to maintain a fixed surveillance position on a given target area and will
not be part of the mobile surveillance. This technique can be utilized in a number of target
locations, depending on the manpower resources available. It is especially effective when
the target travels or returns to an area that is extremely difficult to follow, such as a dead-
end street or a long rural road leading to the target’s residence. Once the target is on the
move, the remaining surveillance units, which were originally pre-positioned in strategic
take-away locations, are free to engage in the surveillance operation. They should key off
of the surveillance leader’s instructions, but if no instructions are forthcoming in a timely
manner, the closest surveillance unit will take the point and the eyeball. The remaining
units will establish positions to the rear of the point vehicle appropriately spaced at varying
distances, depending on traffic conditions and the time of day or night.
Some surveillance units may also parallel the target vehicle on nearby streets. It is the
responsibility of the lead or point surveillance unit to call out the location, direction of
travel, lane of travel, and speed of the target vehicle. This information must be relayed to
the other units in the surveillance team on a fairly frequent basis. The other members of
the surveillance team should not have to ask the location of the target vehicle in a mobile
surveillance if the lead surveillance unit is properly calling out the target vehicle location.
Also, it is not necessary for the other surveillance team members to transmit their location
284 ◾ Donald F. Vespa

during the surveillance operation. The lead surveillance unit should have radio commu-
nications priority, and surveillance team members should keep radio communications to
a minimum. All members of the surveillance team should be aware of the approximate
location of the target at all times. To avoid detection, the lead surveillance unit must rotate
the lead or eyeball position periodically with other surveillance units, usually beginning
with the number two unit in the surveillance caravan. If the number two surveillance unit
is not able to immediately pick up the target vehicle and establish contact, then the lead or
point vehicle should never relinquish the eyeball and risk compromising the entire surveil-
lance operation by losing the target. For this reason, the change in the lead vehicle must be
delayed until the number two vehicle or a substitute surveillance vehicle can come up and
assume the point position. A good example of this would be when the target vehicle makes
it through an intersection but the second vehicle is too far away to do so.
Timing is everything in this process, and when to change the eyeball is based on common
sense, experience, and the immediate circumstances. The important thing to remember is
that the eyeball or point position must be changed frequently in any successful surveillance
operation; otherwise, the surveillance-conscious target will burn the surveillance opera-
tion. Visual contact must be maintained with the target vehicle until the number two sur-
veillance vehicle is in a position to assume the number one position and take the point.
During a mobile surveillance, the target vehicle may turn either left or right or make a
U-turn in the middle of the street. Some of these turns may be legal, others not. The illegal
turns may be used for the specific reason of detecting or losing a surveillance tail. If the
corresponding surveillance units follow the target and make such a turn, there is a good
chance the target will realize that he or she is under surveillance. A wise rule of thumb
in these types of cases is that, when the target vehicle turns, the lead vehicle continues
straight ahead. This practice should be followed whenever possible. The number two vehi-
cle or another surveillance vehicle would be responsible for establishing the eyeball. If the
target makes a U-turn, the lead vehicle needs to continue straight ahead and immediately
notify the other units of the target’s evasive actions. The rear surveillance units could pull
off the road, out of sight of the target vehicle, and be set up to intercept the target in the
opposite direction. If the target vehicle stops beyond a hill or curve in the road, the point
vehicle should notify the number two vehicle of the target’s status and simply drive past the
stationary target vehicle. If possible, the number two vehicle should stop before arriving at
that location and the observer from the number two vehicle should exit the vehicle to get
a visual on the target. Additionally, the point vehicle should also stop out of view of the
target vehicle and have the observer exit the vehicle to determine what the target is doing.
In a moving surveillance, it is also important to have at least one neutral cover vehicle
between the target vehicle and the closest surveillance vehicle. In many cases, the number
of cover vehicles may vary considerably due, for example, to changing traffic conditions.
The more cover vehicles, the less chance the bad guy is going to burn the surveillance.
If there are too many cover vehicles between the target vehicle and the lead vehicle, the
chance of losing the target increases. This is always a concern of surveillance team mem-
bers. Generally speaking, one or two cover vehicles in heavy traffic would suffice, but more
would be suitable on an open highway. This is where experience comes into play.
 Narcotics Investigation ◾ 285

The distance between the vehicles may change frequently due to visibility, weather, and
traffic conditions. The most likely times the target vehicle will attempt an evasive burn
maneuver is upon leaving the initial location with contraband or upon arriving at the
intended destination with an illegal substance. Surveillance activity is most crucial at these
times. Be aware, though, that this does not preclude the suspect from randomly pulling
off the highway onto the shoulder to determine if anyone is tailing him or her. This is not
uncommon for experienced drug traffickers; it is simply a matter of habit.
One other important factor to always consider in any field surveillance operation is
countersurveillance measures taken by the bad guys against law enforcement. Suspects
involved in illegal drug trafficking have become more aggressive and violent over the
years. As a result, these drug traffickers and drug trafficking organizations use some of
the same surveillance methods and techniques against law enforcement officers that are
being utilized against them. All surveillance personnel should be advised of the possibility
of countersurveillance measures by the target and take the necessary precautions for their
safety and the safety of the surveillance team. This is especially crucial after the surveil-
lance is terminated and the surveillance team is returning to their offsite office or resi-
dence. Subsequent to the surveillance operation, the surveillance team leader or supervisor
should conduct a surveillance team meeting to compare notes and discuss various aspects
of the surveillance with fellow surveillance team participants in order to get a comprehen-
sive overview of the target’s activities for the final surveillance report. It is also important
for the surveillance team to objectively critique their operation and make the appropriate
and necessary changes in the future. There is always room for improvement in the surveil-
lance process.
It is important to understand that there are many things to remember when conducting
a moving vehicular surveillance. First and foremost, all of the surveillance vehicles should
be in good mechanical condition and suited for the surveillance assignment. Brightly col-
ored vehicles tend to stand out and are more likely to be noticed by the target than neu-
tral-colored vehicles. The vehicles should fit the area and be as inconspicuous as possible.
None of the contents of the vehicles, such as emergency lights, handcuffs, official papers,
or police-related equipment, should be in view. If the vehicle is parked in a residential area,
it is important to keep the police radio volume turned down low and the windows in the
upright position. Many good surveillance operations have been burned by neglecting to
do so.
A surveillance vehicle occupied by two officers has a number of advantages over a one-
officer surveillance unit. In a two-officer unit, the observer checks locations on the map,
takes detailed surveillance notes, and operates the radio. It is best if the driver can concen-
trate fully on operating the vehicle. The observer also has the option of exiting the surveil-
lance vehicle for foot surveillance or to seek a better vantage point to observe the activities
of the target. It is vital that the second officer maintain communications with the driver
and surveillance units during this period and to keep a low profile. Additionally, if the sur-
veillance is prolonged over an extended period of time or distance, the second officer can
relieve the driver for some needed rest. Remember, it is very important to maintain surveil-
lance eyes on the bad guy from start to finish; otherwise, key information may be missed.
286 ◾ Donald F. Vespa

Many unexpected problems and situations can develop during a foot and vehicle sur-
veillance. Many of these problems and situations require a quick decision to be made by the
surveillance team. Following are some common problems encountered and possible solu-
tions: If the subject enters a restaurant for a meal or meeting, one or preferably two surveil-
lance officers should enter the restaurant and take a seat near the subject, depending on the
number of customers in the establishment. The surveillance officers should position them-
selves to the rear of the subject so the subject is not facing them directly and should try to
overhear the target’s conversation. If the subject meets with a second individual, it is very
important to later identify that person and obtain a surveillance photograph. Particular
attention should be given to any exchange of items such as a key, package, envelope, paper
sack, cell phone, or briefcase. In addition, the surveillance team needs to try to identify the
second subject’s vehicle. The remaining surveillance units should be positioned to cover
the exits of the restaurant and all routes of departure from the location. Depending on the
developing circumstances at the time and the significance of the second subject, the sur-
veillance team may have to divide into two teams to cover both subjects upon their depar-
ture from the location. This, of course, would only be necessary if they depart the meeting
location in different directions.
In another scenario, the target subject might enter a movie theater, sporting event,
casino, race track, or other public place. In this case, surveillance should be maintained on
the subject’s vehicle, and a number of surveillance officers should enter the public place to
determine if the subject meets with anyone to make an exchange. As previously mentioned,
the surveillance officers should try to identify the second subject and determine if any type
of exchange occurred. It is important to have adequate surveillance units on the subject’s
parked vehicle in case the subject suddenly returns to his vehicle and quickly departs. Some
very sophisticated criminals like to use decoys during the critical phases of their drug-deal-
ing activities. This usually involves a criminal associate or unwitting subject driving the
main target vehicle or a similar decoy vehicle prior to the drug transaction. As a result, the
surveillance units mistakenly follow the wrong vehicle from the surveillance area, and the
correct target drives off in another direction free of surveillance to do a drug transaction.
The surveillance team needs to be alert at all times and take nothing for granted during
an active surveillance. If there is any doubt about the correct target vehicle and occupants,
the surveillance team should visually verify that they are following the correct vehicle.
Additionally, these drug criminals have been known to utilize surveillance detection meth-
ods or evasive tactics such as driving the wrong way down a one-way street, driving down
a dead-end street or alley, suddenly stopping in the street, conducting erratic U-turns, or
simply pulling over on the shoulder of the highway at night and turning their lights out.
The surveillance team members should be aware of all of the detection and evasive meth-
ods used by the drug violators and plan accordingly; however, they must not automatically
assume that all detection and evasive actions by the bad guys are indications that the sur-
veillance has been compromised or burned. Some seasoned drug dealers routinely, almost
out of habit, drive erratically and evasively due to their constant state of paranoia. If the
covert surveillance team is certain that they have been compromised, though, then the
surveillance operation must be terminated and continued at a later time.
 Narcotics Investigation ◾ 287

When the surveillance team is operating in an unfamiliar geographic area, it is accept-

able to use landmarks as points of reference instead of street names. Landmarks can be
buildings, bridges, railroad tracks, or places of business. Landmark reference points are
also frequently utilized in aerial surveillance. Aerial surveillance capability is a luxury not
all departments can afford, but if your department or agency has access to an aircraft your
success at physical surveillance is greatly increased. A small fixed-wing aircraft or heli-
copter is an excellent aerial surveillance tool. Each type of aircraft has its advantages and
disadvantages; however, either will usually suffice. Normally, a helicopter generates a little
more noise than a fixed-wing aircraft, which becomes more of a factor when dealing with
surveillance-conscious subjects. The main limitation of either type of aircraft is the length
of time the aircraft can stay airborne before it has to refuel. It is good to have at least two
individuals in the aircraft, one being an experienced pilot and the other an experienced
observer who is familiar with the geographic area. As a result of having aerial surveillance,
the ground surveillance units are less conspicuous and can follow the target vehicle from
a much greater distance without fear of detection. The aircraft maintains the eyeball on
the target vehicle and calls out the location, direction of travel, and approximate speed to
the ground surveillance units. Another advantage of having this capability is the fact that
the ground surveillance can consist of a fewer number of officers or agents. Aerial surveil-
lance has a greater success rate, offers less chance of detection, and is more efficient than
traditional ground surveillance. In dealing with sophisticated surveillance-conscious drug
traffickers, it is the way to go.
A stationary surveillance can be a valuable investigative tool in any long-term narcotics
investigation. This type of surveillance is reminiscent of the traditional police stake-outs
portrayed in movies and on television. In reality, most stationary or static surveillances
can be very boring and time consuming due to the long hours required and the mundane
activities associated with this investigative endeavor. This type of surveillance can last days,
weeks, or even months, depending on the level of investigative intelligence being obtained.
If there is very little suspicious activity, it is difficult to try to stay alert and enthusiastic.
A protracted static surveillance will try the patience and endurance of both the neo-
phyte and seasoned narcotics officer, although this type of surveillance can be especially
rewarding and has its advantages, despite its difficulties. The stationary surveillance loca-
tion must be suitable to observe significant illegal narcotics-related activity without being
compromised or burned. The observation post may be in a small town, large metropolitan
city, or remote rural area. It must provide the surveillance officers with a clear view of
the subjects and the area to be observed. In addition, the entrance and exit routes to the
observation post must offer the necessary safety and security for the surveillance person-
nel. The observation post can be a vacant apartment, house, motor home, or motel room.
In rural areas, it simply might be a heavily wooded area or secluded rocky area providing
cover for the covert observers. An operational safety plan must be prepared prior to any
stationary surveillance deployment. It should address all of the requirements required
of a mobile surveillance, and it should be on a need-to-know basis to minimize any
inadvertent compromise of the operation. It should include observation post personnel
assignments, relief assignments, equipment requirements, and observation post contact
288 ◾ Donald F. Vespa

information. If it is at all possible, depending on the type of enforcement operation, it is a

good practice to have a mobile surveillance team available in case the subject goes mobile.
The ability to act naturally or blend into the environment unnoticed during a surveillance
operation is a prized asset for any surveillance team. This is where training and experi-
ence pay off in preventing the surveillance team from being detected or burned by the
target. The type of clothing, facial features, mannerisms, vehicles, and race all are factors
that reflect on the appearance of the surveillance team. In order not to be compromised,
the surveillance team must be able to go in stealth mode during critical phases of the sur-
veillance operation. In many cases, this is easier said than done. The surveillance officer
must not show any abnormal reaction to the target of the surveillance if the target comes
close. This can be difficult because of the stress factor and the adrenaline rush. Regardless,
any abnormal reaction can draw attention to the surveillance officer and jeopardize the
entire surveillance operation. In other words, the surveillance officer must be cool, calm,
and collected when a target is encountered up close. This is a key factor in achieving a
successful surveillance outcome. The million-dollar question is how to accomplish this
feat and not blow the operation.
It is important to avoid looking the target directly in the eye. Direct eye contact between
two individuals under these circumstances often results in a form of nonverbal communi-
cation that the target will notice and cause him to take evasive action. The second thing to
avoid is not to be overly self-conscious about being a law enforcement officer. This problem
is easily solved if the surveillance officer is aware of it and consciously makes an effort
not to be preoccupied with this thought while conducting surveillance. The surveillance
officer should act or appear no different than anyone else in the area, and there should be
nothing about the surveillance officer’s physical appearance that reveals the purpose of the
officer’s presence in the area. These are points that neophyte surveillance officers need to
continuously be reminded of until assuming the proper demeanor becomes second nature.
It is a common problem for inexperienced surveillance officers to prematurely assume that
they have been burned by the target, although in most circumstances this is not usually
the case. If the surveillance has, in fact, been compromised, though, it should be terminate
and resumed at a later date.

INFORMANTS
There is an old adage in the world of narcotics investigation that informants can be your
greatest investigative asset as well as your greatest liability nightmare. This adage should
be remembered and not forgotten when working with informants. The term informant can
be construed as a derogatory term when used in the presence of an informant. It is recom-
mended to avoid using such derogatory terms when in the presence of an informant, as
doing so could be a sign of disrespect and could hamper the ability of the controlling law
enforcement personnel to maintain a professional relationship. For these reasons, an infor-
mant is often referred to as a confidential informant (CI) or a confidential source (CS). A CI
or CS is an individual operating under the specific direction of law enforcement authority
with or without the expectation of compensation.
 Narcotics Investigation ◾ 289

The informant provides information on drug traffickers or provides a lawful service

pursuant to the investigation of drug-related criminal acts. A defendant informant is a per-
son meeting the above criteria but is also subject to arrest and prosecution for a criminal
offense. In other words, a criminal informant is a criminally focused person with a ques-
tionable sense of loyalty acting under conflicting motives for judicial consideration. Great
care needs to be exercised by law enforcement when dealing with this type of person. For
our purposes here, the title informant does not have the same meaning as source of infor-
mation (SOI), which is a person or business not specifically working for any law enforce-
ment official who occasionally furnishes information to law enforcement officials without
compensation. The general classification of informants can basically be divided into the
following categories: average citizen, law enforcement officers, troubled or disturbed per-
sons, criminals, and criminal associates.
Like all people, informants must be motivated to perform and apply themselves to the
objective or mission. Motivation is the psychological carrot that stimulates a person to
action. Understanding the motivation of any type of informant is always important in
obtaining the desired results. The more motivated an informant, the more likely the infor-
mant is committed to the overall success of the required objective or mission; however, the
motivation of any type of informant, especially the criminal or criminal associate infor-
mant, should be scrutinized carefully in the establishment process.
Some of the motivations of a prospective informant include fear, revenge, financial gain,
ego, repentance, and perverse disposition. The prospective informant might fear criminal
associates or going to prison and thus decides to cooperate with law enforcement authorities.
The potential informant may be jealous of his criminal associates or may be seeking revenge
due to a botched drug transaction, or he may be driven by greed. Some potential informants
are simply egotistical police buffs or wannabe cops, seeking excitement and police approval.
The perverse informant will try to learn police undercover methods, identify undercover offi-
cers, and try to eliminate rival drug dealer competition. This type of informant is extremely
dangerous and problematic and should be avoided if possible. The truly repentant informant
seldom emerges, but many informants initially claim that this is their motivating factor.
The ability to identify the real motivation of the informant will greatly increase an officer’s
ability to successfully manage the informant. The true motivational factor ultimately will
prove to be the strongest incentive for the informant’s actions. When the controlling officer
fails to determine the actual motives of an informant, serious control problems will develop.
Successful drug investigators must be able to recognize and develop productive informants.
Informants have been recruited from a multitude of sources, including referrals from other
officers and agencies, arrested subjects, police intelligence units, walk-ins, call-ins, and dis-
gruntled girlfriends, spouses, and business partners. All documented informants should
be considered assets of the law enforcement department or agency, not the individual law
enforcement agent or officer. Thus, the informants should be accountable not only to the
controlling agent or officer but also to the department or agency.
Informants can provide independent surveillance; conduct controlled undercover nego-
tiations; conduct controlled undercover buys; testify in court; and gather vital drug-related
intelligence information. When debriefing prospective informants, investigators should
290 ◾ Donald F. Vespa

first and foremost always try to determine the motivation, reliability, and intelligence level
of an informant; the informant’s source of knowledge about the criminal activity; and any
personal interests. In addition, drug investigators should try to determine if the informant
has direct or indirect knowledge of the illegal activity, has a personal vendetta involving
the drug violator, was ever previously an informant, or previously falsified information.
This is not an all-inclusive list, but it does cover some of the major points that investigators
must address with potential informants. The past reliability of the informant or prospec-
tive informant is very important for the controlling investigator to determine. If the person
has a poor track record with another department or agency and has provided false or mis-
leading information, it might be advisable not to establish the person as an informant. The
controlling officer or agent needs to try to verify all of the important drug-related infor-
mation that the potential informant provides and carefully document the facts. In dealing
with informants, the drug investigator should be truthful, fair, tactful, and confident, and
most importantly he must maintain control. The documented informant needs to be aware
of the fact that he may be required to testify in court, although all lawful means will be
used to protect the informant’s confidentiality. If the controlling investigator cannot con-
trol the actions of the informant, serious problems can arise and the entire investigation
could be compromised. Control is very important, and the controlling investigator must
establish control early on in the relationship. A rogue informant can be the investigator’s
worst nightmare. This is where experience dealing with informants becomes important in
avoiding some of the problem areas.
When interviewing or dealing with a prospective informant, it is advisable to always
have at least two law enforcement agents or officers present. Once the informant is estab-
lished, he should always be able to contact at least two controlling officers. The controlling
agent or officer should never meet an informant alone. All contact with the informant
involving establishment, debriefing, and use should be conducted in strict confidential-
ity. All the information concerning the informant should be on a need-to-know basis,
and all documents and reports concerning the informant’s identity should be kept in a
secured, limited-access location. Failure to provide confidentiality regarding the infor-
mant’s identity and status might result in death, injury, or intimidation of the informant
and the informant’s family. The informant should be advised not to violate any criminal
law in furtherance of gathering intelligence information or providing services to the law
enforcement agency. In addition, informants should have no official status, implied or oth-
erwise, as law enforcement officers or employees. Meetings with the informant outside the
office should be in neutral or low-profile locations. The duration of relationships between
controlling law enforcement officials and informants can be a matter of weeks, months,
or even years. This process can create a bonding relationship that may lead to the loss of
objectivity if a number of safeguards are not followed. It is a good practice to document
all procedures and agreements involving informants or confidential sources with a law
enforcement witness and supervisory concurrence.
Prior to establishment of a confidential source, a detailed CS debriefing report, crimi-
nal history checks, CS statement, fingerprints, photographs, and CS agreement should be
completed. It is always important to verify the true identity of your prospective CS before
 Narcotics Investigation ◾ 291

utilization. It would be very embarrassing if the CS was wanted in another jurisdiction or

provided you with a false name. All contact with the CS after establishment should be of a
professional nature and documented for the record. There should not be any social, finan-
cial, or business contacts outside of the job between the CS and the controlling officers.
Law enforcement officers should never place themselves in a vulnerable position with
a CS such that potential allegations of wrongdoing could be alleged; an example would be
paying a CS alone without a witness. The CS will be your friend only as long as it benefits
the CS. As a result, investigators should never put themselves in a position to compromise
their professional reputation, ethics, and integrity when dealing with a CS. It is strongly
suggested that a controlling investigator never meet a CS alone in the field without benefit
of backup. Always remember that confidential sources are not to be trusted, and their
knowledge of law enforcement operations, activities, and personnel should be kept to the
minimum necessary for their successful completion of the assigned mission. In addition,
statements should always be obtained from a CS whenever the CS has contact with the tar-
gets of the investigation outside the presence of the controlling officers. During the initial
stages of informant establishment and utilization, informants should clearly understand
their role and their relationship with the controlling law enforcement agents or officers.
The informants must thoroughly understand their role and specifically follow instructions;
otherwise, problems can quickly develop. The controlling agent or officer has to always be
conscious of the fact that the informant may try to manipulate or control the controlling
agent or officer. One example would be when a CS decides to set up a drug deal on a specific
day without first checking with the controlling agent or officer. This type of irresponsible
action on the part of the CS is totally unacceptable and dangerous. It establishes a bad
precedent and should be strongly opposed. In addition, all informant financial transac-
tions should be clearly documented and always witnessed by a second law enforcement
individual. Close supervision of an informant demonstrates that the informant is a valued
asset not only to the controlling agents or officers but also to the department or agency.
If an individual was recently arrested and is a defendant in the investigation, the drug
investigator should try to obtain the defendant’s cooperation immediately after the subject’s
arrest. No promises regarding charges against the defendant should be made; however, if
the defendant decides to cooperate with the law enforcement authorities, the defendant’s
cooperation will be made known to the prosecutor in the case. If the defendant decides to
cooperate, a thorough debriefing should be conducted for all narcotics- and non-narcotics-
related information as soon as possible.
Regardless of the information the subject provides, all information should be corrobo-
rated and verified through other sources. Subsequent to a drug arrest, time is of the essence;
if the defendant agrees to cooperate, there is a good chance additional drugs and money
can be seized, along with additional arrests of drug violators. Sometimes this can result
from a simple controlled telephone call from the cooperating defendant to other criminal
associates in the investigation.
A good informant is an extremely valuable tool in providing critical information to law
enforcement authorities, especially if the informant is directed and controlled correctly.
In many cases, the most successful informants are individuals who have inside knowledge
292 ◾ Donald F. Vespa

about drug violators or their close criminal associates. These subjects can provide the nar-
cotics investigator with vital inside information on a drug organization by detailing and
describing the clandestine smuggling/transportation methods, load vehicles, storage facil-
ities, distribution locations, and command/control structure.
The element of trust with the informant is very important and must be established prior
to any field operational activity. Trust is usually developed over a period of time in small
incremental steps; therefore, the investigator must convince the informant of the impor-
tance of trust and the benefits of cooperation. Once the CS is convinced to cooperate, the
investigator needs to establish the ground rules for the informant’s cooperation. The confi-
dentiality of informants is always a main concern for the informant as well as the control-
ling agent or officer. The ability to protect the identity and safety of the informant is a major
determining factor in the informant’s cooperation.
In summary, the investigator needs to identify the potential informant, obtain the infor-
mant’s cooperation, establish the informant, develop the informant for maximum perfor-
mance, maintain the confidentiality of the informant, utilize the informant to maintain
credibility, and, most importantly, control the informant. The controlling agent or officer
should always be honest, respectful, and ethical when dealing with informants.

UNDERCOVER
Most successful narcotics investigations rely on undercover (U/C) operations to obtain vital
intelligence, conduct seizures involving drug-related assets, and arrest drug violators. The
undercover process is an investigative technique that has been extremely successful over the
years in narcotics law enforcement operations. Undercover work is a complicated form of
drug investigation in which the investigator assumes the role of another person to obtain
information on the drug-related activities of the drug traffickers. As a result, the U/C agent
or officer can glean considerable intelligence information, not only about the individual drug
trafficker but also about the entire drug distribution organization. Such information includes
sources of supply, locations of major stash houses, distribution methods, key distributors,
quantities and quality of drugs, drug-related assets, smuggling routes, load vehicles, and
security measures utilized by the drug traffickers. There is no limit to the amount of vital
intelligence information an experienced U/C agent or officer can develop, once accepted by
the criminal element. Being accepted by the criminal element, though, is the hard part, and
it requires skill and knowledge of the inner workings of the criminal element.
The extent of the U/C process in part is related to the scope and magnitude of the crimi-
nal element under investigation. Obviously, it would make no sense to conduct a massive
extended U/C drug investigation on a small street dealer unless intelligence information
connected the street dealer to a much larger scale drug distributor or organization. Thus,
the scope of a particular U/C assignment often depends on how significant and connected
the drug violator is. The U/C process is often used when all other traditional investigative
avenues have failed to produce results. If done correctly, the U/C investigative process can
reduce investigative manhours and expenses during a drug investigation. The U/C pro-
cess should be well thought out in advance by all of the law enforcement participants. The
 Narcotics Investigation ◾ 293

length of time involved in the U/C operation, the potential end results, the complexity of
the criminal organization, the propensity for violence of the drug violators, and the dif-
ficulty of introducing an undercover agent or officer to the criminal targets should all be
considered in the initial planning phases of the investigation.
The prospective U/C agent or officer should first and foremost want to do the U/C
assignment. It is not advisable to pressure anyone into an U/C role. The success rate in
an U/C assignment in part depends on the desire and motivation of the individual agent
or officer. Undercover personnel must have self-confidence, adaptability, patience, good
temperament, fortitude, and courage. In many cases, all of these qualities will be needed to
successfully accomplish the U/C assignment. The U/C agent or officer needs to be a quick
study at times and should be able to think quickly in potentially dangerous situations.
The ability to remain cool, calm, and collected is essential in any U/C assignment. There
is a degree of excitement and adventure in undercover work, but it can also be very stress-
ful and dangerous; therefore, the undercover agent’s supervisor should first evaluate the
strengths and weaknesses of any potential U/C investigator to determine if the individual
is suited for the U/C assignment. When assessing the suitability for an U/C assignment,
the stability and overall maturity of the agent or officer must be considered, along with any
special skills and talents. It would be dangerous and foolish for any supervisor to do other-
wise. In reality, a successful U/C investigator should have a high degree of dramatic profi-
ciency and a good working knowledge of the criminal world of drug dealers to successfully
play the role of a criminal drug trafficker. In essence, the U/C investigator is an actor in
a real life drama, on the dangerous and deadly stage of reality in the often violent world
of drug dealers. The U/C investigator needs to carefully study the script (the assignment),
determine the background story, assume an identity, obtain intelligence information on
the violator, and establish a method to contact the target. All of this should be completed
prior to any contact with the intended target.
Criminals involved in drug dealing are by nature extremely secretive, suspicious, and
paranoid. As a result, it may be extremely difficult for the U/C investigator to make con-
tact with the intended criminal target. Many times, law enforcement authorities utilize
an informant to set up an U/C introduction. The informant does not have to know that
the individual to be introduced to the target is a U/C operative. The other option is to use
a documented informant. Obviously, the utilization of a previously reliable documented
informant would be a better approach, because of the control and reliability factors. In
most cases, if the informant has a trusting relationship with the target and vouches for the
U/C investigator, the target will accept and be willing to do business with that person. If no
informants are available, another possible approach would be for the U/C investigator to
frequent places the target is known to visit in an attempt to contact the target under a ruse.
This procedure requires considerable experience, a little luck, and a lot of careful planning.
It is known as a cold hit and is more difficult to execute. It is usually done as a last-ditch
effort when all previous attempts have failed.
The higher the level of drug violator, the more preparation and effort should be exer-
cised. The propensity for violence should always be a critical factor in evaluating the under-
cover initiative, regardless of the amount of drugs being distributed. First and foremost,
294 ◾ Donald F. Vespa

the safety of the U/C operative should be paramount in any U/C operation. The U/C inves-
tigator should try to learn as much about the target suspect as possible, including character,
criminal history, history of violence, business assets, hobbies, likes and dislikes, girlfriends,
favorite hangouts, and criminal associates. The more knowledge the U/C investigator has
about the target, the better the agent will be equipped to deal with unexpected develop-
ments that may pop up. The other major concern is to establish a fictitious background
and corresponding personal history for the U/C investigator that will pass scrutiny from
a canny drug violator. The cover story and fictitious identity should have some element of
truth to make them believable. If the cover story indicates that the U/C investigator is from
Chicago, then it would be advisable for the agent to be familiar with that particular city
and able to discuss various aspects of the area with the target. If the U/C investigator is
going undercover as a laborer, it would be advisable for the agent to have some direct expe-
rience in that field of employment in case the target questions the agent about his skills.
The role should fit the investigator’s personality, physical characteristics, and background
experience. Race, sex, language, dialect, mannerism, type of clothing, and drug knowledge
can all be important factors contributing to whether or not the U/C investigator will be
accepted and successful in the assignment.
Normally, the cover story does not need to be too lengthy or elaborate. In fact, it is bet-
ter to keep the cover story short and simple. The less information the U/C investigator has
to remember, the less chance of making a mistake in a stressful situation. In some shorter
investigations, the background story may involve only a few simple facts. In other cases,
if the assignment could potentially develop into a long-term investigation that requires
close association with the criminal target, the cover story should be carefully planned and
include specific detailed information, methods of verification, and documentary support
evidence. In addition, if the U/C investigator utilizes a documented informant, the agent
and the informant need to carefully rehearse the cover story prior to contact with the
intended target (e.g., when and where they met, how long they have known each other).
Often, the criminal target will subtly interrogate the informant and U/C investigator to
check for any discrepancies in the cover story; therefore, it is very critical for the investiga-
tor and informant to be on the same page when meeting with the target. The informant
literally holds the life of the U/C investigator in his or her hands.
A good informant can save time, money, and effort in making a solid contact with the
target drug violator; yet, a simple mistake made by an informant can also endanger the
entire operation. In order not to compromise the cover story, U/C investigators should
remove all evidence of their law enforcement status prior to contacting criminal targets.
This includes removing all traces of law enforcement equipment from the investigator’s
vehicle. A search of the investigator’s vehicle should always be made prior to the under-
cover meet. This also applies to any alternative meet locations, such as motel rooms, apart-
ments, or residences. A criminal target or associate may actually do a cursory search of a
motel room, apartment, or residence before discussing business.
If the U/C investigator is planning on contacting the target through the use of a docu-
mented informant (CS), it would be advisable to understand the informant’s motivation
and prior reliability. The cover story is only as strong as its weakest link, and in many cases
 Narcotics Investigation ◾ 295

the weakest link is the informant. All bases must be covered with the informant prior to
the U/C meeting. Informants must be advised on legal entrapment issues and made aware
of the fact that they may be required to testify in a court of law in the case. Any U/C inves-
tigator who feels uncomfortable or uncertain about the motivation or sincerity of an infor-
mant should make those concerns known to their supervisors prior to the operation. All
concerns involving the safety and security of the entire U/C operation need to be addressed
prior to initiation of the field operation. Once all of the preliminary target intelligence
information, cover story, and U/C background history are developed, it is time to make
plans for an undercover meeting with the intended target.

UNDERCOVER PURCHASE
The undercover purchase of narcotics is one of the most complex and dangerous activities
encountered by law enforcement authorities in today’s violent world of drug trafficking;
therefore, it is very important for law enforcement authorities to take all the necessary
precautions and safety measures into consideration when planning and implementing an
operational safety plan involving an undercover meeting or purchase. The U/C meeting is
between the U/C investigator and the suspect for the purposes of negotiating the future
sale of an illegal substance.
At the meeting, the quantity of narcotics, purchase price, and location of the narcotics
transaction are usually discussed. The U/C investigator must try to establish some control
over the terms of the future U/C purchase. The investigator must play the role of a criminal,
and in essence think like a criminal when negotiating with the target. If the investigator
is too easy and agrees to the initial sale price without a little haggling, a wise drug dealer
will become suspicious. The price, amount, and location of the drug transaction are always
negotiable. In the initial undercover meeting, much can be learned about the suspect from
surveillance such as additional addresses, vehicles, potential stash houses, and criminal
associates. In an undercover purchase, illegal narcotics are purchased from a known sus-
pect or target by either an undercover agent or officer or a documented informant (CS). For
prosecution purposes it is always better to have an undercover investigator purchasing the
drugs than a CS. The credibility of the CS is always a concern in court; however, in many
cases this is not possible so a CS is utilized to make the controlled undercover purchase. In
essence, purchases made by a CS and those made by an undercover investigator are similar,
but with a few exceptions. First and foremost, the CS must always be thoroughly searched
along with his vehicle prior to the U/C purchase and subsequent to the U/C purchase. In
addition, surveillance should always be maintained on the CS from the beginning to the
completion of the transaction. This should all be documented in the relevant case reports.
Regardless of who makes the undercover purchase, all of the necessary security and safety
precautions need to be taken.
The two basic scenarios in an undercover purchase are the buy–walk and the buy–bust.
In a buy–walk, the suspect or target is arrested at a later date after selling illegal drugs to
the undercover. One obvious advantage of this is the fact that the identity of the under-
cover investigator or CS is not compromised at the time of arrest, and surveillance is
296 ◾ Donald F. Vespa

maintained on the target to obtain additional information about the target. Several small
undercover buy–walk purchases may be made before the target is arrested. This process
usually helps build a stronger criminal case and results in a larger quantity of drugs being
seized.
In a buy–bust, the target is arrested at the time of the narcotics sale. The location and
manner in which the target is arrested should be carefully planned. Crossfire issues, offi-
cer safety, and public safety should all be addressed in the operational safety plan. One
advantage in this scenario is the fact that the undercover investigator does not have to
give up the buy money. There are several other advantages and disadvantages, depend-
ing on the particular case and the law enforcement resources available. A small police
department that has a limited budget for the U/C purchases of narcotics is limited in
the amount, type, and quantity of illegal drugs it can purchase. In addition, the limited
resources may hamper the drug investigator’s use of a flash roll, which is money shown to
the drug dealer to convince the dealer to make the drug sale. Whenever a flash roll is to be
used, extreme caution should be exercised to prevent theft of the money by the criminal
element. The flash-roll should always be a surprise to the drug trafficker to reduce the risk
of such rip-offs. Once the money is shown, it should be removed quickly to an undisclosed
secure location.
There are some basic guidelines in narcotics work that are not set in concrete but would
be wise to follow. One of these is never front the buy money to the drug dealer; in other
words, do not give the drug dealer your money before you receive the drugs. This is a
bad idea for many reasons; for example, you may lose the money and you may never see
the drug dealer again. It is important to make a list or to photocopy the buy money and
include it in the case file. This provides a way to identify the money at a later date. It is also
a wise practice not to travel with the drug dealer to get the drugs. This raises major safety
concerns for the surveillance cover team and should be avoided whenever possible. It is
also a good practice not to do the drug deal in a location that is difficult for the surveil-
lance cover team to observe or reach in case there is a safety problem; for example, inside
a heavily fortified crack house with burglar bars and reinforced steel doors would not be
a good choice.
The safety and security of the U/C investigator should always be the highest priority in
an undercover operation. It is no secret that law enforcement personnel have been killed
during robberies or rip-offs by violent drug dealers. This is the reason why the undercover
investigator should carefully scrutinize the suspect’s criminal background and potential
for violence, such as robbery, assault, or murder. The drug dealer’s level of drug distribution
is also very important to analyze before an undercover transaction occurs to minimize the
chance of the undercover investigator purchasing sham or “turkey dope.” If the intelligence
information and criminal history indicate that the targeted suspect only deals in ounces of
cocaine and the informant indicates the suspect wants to sell several kilograms of cocaine
for a great price, the warning signs should be flashing in big red letters for a potential
rip-off. It is very important to do your investigative homework on the background of the
suspected drug trafficker and establish whether or not the individual is a bona fide drug
dealer or simply someone trying to pull a rip-off.
 Narcotics Investigation ◾ 297

OPERATIONAL SAFETY PLAN

Prior to any U/C operation, whether it is a simple buy–bust or a buy–walk, a detailed opera-
tional safety plan should be formulated by the case agent or officer. All members involved
in the U/C buy operation should be thoroughly briefed prior to the field operation and
provided with a copy of the plan. The U/C operation must maintain a low profile where
the deal is scheduled to take place to avoid being detected by the criminal element. This is
absolutely essential for the overall success of the operation as well as for the personal safety
of the U/C personnel.
The operational safety plan should be well thought out and carefully reviewed and
approved by supervisory personnel prior to the undercover operation. The operational
safety plan is usually the responsibility of the designated case agent or officer, but many
times the entire narcotics unit will be involved in formulating plans for the operation. In
essence, everyone has a dog in the hunt and, therefore, a voice in determining what the
game plan will be. Many departments and agencies have a designated form that covers
all of the required information, which should be provided in the operational safety plan.
This is good practice, because such forms minimize the chances of forgetting to include
important information. The operational safety plan is designed to be an operational guide
for all participating parties and should be used as a road map for what to expect in the U/C
operation or any enforcement action. The plan should address some alternative courses of
action depending on the circumstances and should have some reasonable flexibility built
into it. Many factors contribute to changes arising in a pending U/C narcotics buy. Some
are under the control of law enforcement, others are not. Changes should only be made if
they do not compromise the safety of the U/C personnel and if everyone can be advised of
the changes.
The operational safety plan should provide a brief background of the investigation and
note what is to take place, such as surveillance, U/C buy–walk, U/C buy–bust, arrest, search
warrant, or a clan lab operation. The plan should indicate the person who has the money
list, the amount of the flash roll, and the purchase price of the drugs. The operational plan
should include the date, time, and location of the operation; specific details of the enforce-
ment plan, such as meet location, locations to be searched, and subjects to be arrested; a
basic sketch or map of the site; any photographs of target suspects; and a brief narrative of
the mission instructions.
The radio communication channels should be designated along with an alternative
channel. All contact cell phone information for undercover personnel should be listed,
including vehicle descriptions and license numbers. The same information must also be
included if the operation involves a CS. The agents assigned to monitor the body wire
(kel) should be listed along with the radio channel. In addition, verbal and visual arrest
signals and a danger or distress signal should be incorporated into the operational plan. It
is extremely important for all law enforcement personnel involved in the operation to be
familiar with these signals. All of the criminal subject’s identifying information should be
incorporated in the plan, including specific information on vehicles, primary or alterna-
tive address, and criminal history. A list of all personnel assisting with the operation with
298 ◾ Donald F. Vespa

corresponding radio call signs, cell phone numbers, vehicle descriptions, and assignment
should also be included in the plan. It is also a good practice to include the name, address,
and phone number of the closest hospital or trauma unit in case there is a medical emer-
gency. Also, the police jurisdictions involved should be indicated in the plan; because a
drug deal can overlap various police jurisdictions, it is a good practice to coordinate your
law enforcement activities.
Finally, a checklist at the end of the operational safety plan should include the following
items: operational plan provided to communication center, communications check, cross-
check, portable radios, body wire receiver check, surveillance assignments, entry tools,
raid jackets/protective gear, and operational safety briefing. It is good practice to perform
a cross-check with other law enforcement departments and agencies to determine if they
are running any U/C operations in the area. It would be very embarrassing and dangerous
for all parties if the U/C buy unknowingly involved two law enforcement departments or
agencies.
Subsequent to the U/C purchase at a predetermined location, the U/C investigator should
meet with other members of the surveillance team and the field supervisor to secure the
drug evidence, perform a field test on the drug evidence, and obtain a quick briefing from
the U/C investigator on pertinent details of the transaction. This is always a good idea,
especially if the body-wire transmitter was malfunctioning and time-sensitive informa-
tion must be acted on. It is also advisable for surveillance to be maintained on the suspect
target after the U/C drug transaction in order to determine where the suspect travels. It is
not unusual for the suspect to “trip” with the buy money to the drug supplier or a “stash”
house where money and drugs are kept. It is always a good practice in drug-related investi-
gations to follow the money. This will ultimately lead to the next level in the drug distribu-
tion hierarchy.
A thorough debriefing of all the participants involved in the U/C operation should be
conducted after the operation has been completed. This can be a very productive time in
the investigative process, because many of the pieces of the puzzle involving the prior U/C
purchase can be gathered from all of the participating members. As a result, a complete
picture of the transpired U/C event emerges. The documented times of individual observa-
tions and what was observed are crucial in preparing an accurate and detailed surveillance
report to corroborate the U/C purchase. Descriptions of people, vehicles, and events con-
nected to the U/C deal are also very important, along with any surveillance photographs or
video evidence. Any U/C tape recording of the drug transaction is a key piece of evidence
and should be properly labeled, dated, and marked as evidence with an exhibit number.
All evidence obtained should be clearly marked, labeled, and witnessed prior to submis-
sion to the evidence custodian. The evidence should always be documented in an acquisition
report to indicate who acquired the evidence, where it was acquired, and who witnessed
the acquisition. There should always be a paper trail or chain of custody for the evidence,
and all the necessary documentation should be included in the investigative case file. The
U/C report should also document the U/C purchase and provide the necessary facts sur-
rounding the drug purchase. This should reflect the type and quantity of drug purchased,
the location, and total price paid for the drug, along with the identity of the seller. It is also
 Narcotics Investigation ◾ 299

advisable to document the fact that a presumptive drug field test was conducted on the
illicit drug and indicate the results in the relevant investigative report. Accurate and con-
cise documentation is very important in any narcotics investigation. All of the hard work
and long hours in the field can be worthless unless proper documentation is generated to
memorialize the events, activities, and enforcement actions in the field.

QUESTIONS FOR DISCUSSION

1. What is the first step to initiating a narcotics investigation? Discuss some of the
common problems associated with initiating a narcotics investigation.
2. Discuss some of the potential benefits of surveillance and the possible dangers
associated with street surveillance operations.
3. List some drugs of abuse and their qualities.
4. Discuss the role of the informant in a narcotics investigation and some of the law
enforcement concerns associated with working informants.
5. Discuss some of the motivating factors for informants.
6. What is the most important thing to remember when dealing with informants and
why?
7. Discuss the importance of an operational safety plan and what is involved in its
preparation and execution.
8. Discuss some of the personal and psychological qualities of a good undercover
investigator.
9. Discuss the importance of good documentation and evidence handling in a nar-
cotics case.
10. Discuss the importance of maintaining a good working relationship with the
prosecutor.
 Chapter 17

Cybercrime
Mark R. McCoy
University of Central Oklahoma

CHAPTER OBJECTIVES
After reading this chapter, you should be able to do the following:

1. Describe the nature of cybercrime and the various types of offenses committed
in cyberspace.
2. Define cybercrime.
3. Explain the various roles digital devices play in cybercrimes.
4. Understand the different profiles of cybercrime offenders.
5. Comprehend the unique legal aspects of cybercrime investigations.
6. Explain how to collect evidence and preserve digital evidence.
7. Describe the key aspects of a cybercrime investigation.

Chapter Outline
• Introduction to Cybercrime
• Cybercrime Classifications
• Cybercrime Offenders
• The Digital Crime Scene

INTRODUCTION TO CYBERCRIME
Changes in technology have resulted in corresponding changes in the way crime is com-
mitted. Computer crime was rare 30 years ago, but rapid advances in technology, the advent
of the personal computer, and easy access to the Internet have changed the way crimes are
committed and thus the way they are investigated. People use computers and handheld
digital devices every day to read e-mail, access the news, prepare reports, communicate with
each other, analyze data, or prepare graphic information. Access to the Internet is becoming
more accessible due to open Wi-Fi hotspots and easy access to broadband services. The U.S.
301
302 ◾ Mark R. McCoy

Census Bureau reported that in 2007 61.7% of households had Internet access, and of those
50.8% of the access was by means of high-speed broadband connections. The development
and growing popularity of affordable personal computers, netbooks, smart phones, and
tablet computers are presenting law enforcement with the growing challenge of computer
crime and abuse. The use of computer systems for all types of activities, both business and
personal, continues to grow, and the intricacy of these systems and our growing reliance on
them are increasing the risk of organizations having their systems compromised by both
intentional and unintentional acts (Haugen and Selin, 1999). Computer crime is a global law
enforcement problem. Domestic attempts to address the problem are insufficient because
cyberspace itself has no geographic or political boundaries. Countless computer systems
can be simply and surreptitiously accessed through the global telecommunications network
from anywhere in the world (Power, 2000). Today, terrorists and everyday criminals have
the aptitude to detonate explosives in another country by means of computers, to bounce
radio signals off satellites, and to disrupt computer systems controlling a country’s infra-
structure. Because the emerging information superhighway is without borders, computer
malware and other destructive programs can be targeted at businesses or government orga-
nizations from anywhere in the world (Gene, 1995). No state possesses defensible borders
when the threat is related to high technology, telecommunications, and cyberspace. The 21st
century will bring greater technological innovation, as well as a legal and law enforcement
community desperately battling to stay ahead of the cyberspace criminal (Krauss, 1997).

DEFINITION OF CYBERCRIME
It is difficult, at best, to come to an agreement about the definition of cybercrime. State and
federal criminal statutes differ in how computer crime is defined. Britz (2004) provided
some guidance: “Computer crime has been traditionally defined as any criminal act com-
mitted via computer. Cybercrime has traditionally encompassed abuses and misuses of
computer systems which result in direct and/or concomitant losses” (p. 4). For the purposes
of this chapter, we will define cybercrime as encompassing both of these definitions.

THE EXTENT OF CYBERCRIME LOSSES

Only a small portion of what we might call traditional computer crimes (e.g., network
intrusions, computer viruses) come to the attention of the law enforcement authori-
ties; however, many traditional crimes are now committed over computer networks and
with digital devices, and these come to the attention of law enforcement on a daily basis.
Although it is feasible to give an accurate description of the various types of computer
offenses committed, the difficulty arises when we attempt to give an accurate overview of
the extent of losses due to computer crime and the actual number of criminal offenses. The
number of verifiable computer crimes is not as high as reliable estimates indicate it should
be. In the results of their Computer Crime and Security survey, the Computer Security
Institute (CSI, 2009) reported that the average loss per business responding to the survey
from a security incident was $234,244 per year. The Uniform Crime Report (UCR) does not
 Cybercrime ◾ 303

track traditional computer crimes or those involving the Internet and computer networks.
Law enforcement officials indicate that, from their experience, recorded computer crime
statistics do not represent the actual number of offenses. Experience shows that the use of
sophisticated technology can actually be used to conceal a computer crime. The massive
but compact storage potential of computers and the speed at which computers function
ensure that computer crime is very difficult to detect, thus making it equally difficult to
investigate. Investigators often do not have sufficient training to deal with crimes commit-
ted using computers or computer networks even if they involve a traditional offense such as
fraud or threats. Many victims do not have a contingency plan for responding to incidents
of computer crime, and they may even fail to acknowledge that a security problem exists,
thus causing an underreporting of offenses.

CYBERCRIME CLASSIFICATIONS
COMPUTER AS TARGET OF CRIME
When the computer is the target, the intent of the offender is either to take information from
the computer or to intentionally damage hardware, programs, or data files. Either way the
offender must obtain unauthorized access to stored data using a network intrusion (hacking
or cracking), social engineering, or unauthorized direct access to the computer. According
to Carter and Katz (1997), these types of offenses may include the theft of intellectual prop-
erty, the destruction of data, or the unlawful access to or tampering with personal, business,
or government records. A national study of corporate security directors was conducted to
discover the degree to which they were affected by computer crime and to identify some
of the critical issues that will most likely be facing policymakers in the future. The survey
found that theft was the fastest growing computer-related crime. Respondents reported that
thieves most frequently targeted intellectual property, including such things as new product
plans, new product descriptions, research, marketing plans, prospective customer lists, and
similar information. When unauthorized access to computer networks and computers has
been discovered, it is sometimes difficult to ascertain whether a law was broken, a company
policy violated, or an ethical standard breached, or if the behavior simply stemmed from
poor judgment (Carter and Katz, 1997). Techno vandalism is another form of computer
crime that targets computers. It occurs when the unauthorized access of a computer results
in damage to files or programs. Much of the techno vandalism is performed for the challenge
and bragging rights rather than for profit. In these cases, the damage or loss may be either
intentional or accidental (Parker, 1998). Another area involving computers as the target of
crime is “hactivism.” This is the practice of hacking into the website of a person, group, gov-
ernment, organization, or business to advocate some particular cause or political agenda.
On February 7, 2000, the website of Yahoo!® was subjected to a hactivist attack that removed
the site from the Internet for several hours. It was a wakeup call for everyone to discover
that a website as prominent as Yahoo! could be breached and taken offline. Investigators
are going to face many new and highly technical challenges when called upon to investigate
crimes in which a computer or computer network is the target of the criminal activity.
304 ◾ Mark R. McCoy

COMPUTER AS INSTRUMENT OF CRIME

Some of the most common types of investigations involving cybercrime are those in which
the computer or some other digital device is used as an instrument to commit a crime.
In these cases, the digital device can be used as either an extremely sophisticated tool or
as a potentially devastating weapon. Crimes in this category include the fraudulent use
of automated teller machine (ATM) cards and accounts, conversion or transfer of bank
accounts, credit card fraud, fraud via computer transactions, and telecommunications
fraud. Computer-instrumental crimes depend on computers or digital devices. The Salami
technique, one of the most well-known types of such crimes, allows computer criminals
to take advantage of the small sums that are gained when thousands of transactions are
rounded up or down and then diverting fractions of a cent on each transaction. Over
time and many transactions, a large amount of money can be diverted to other accounts.
An example of this technique appeared in the Superman III (1983) movie when Richard
Pryor’s character, Gus Gorman, diverted small amounts of money so he could purchase an
expensive car.
Theft of service is another example of this type of computer crime. Violators commonly
justify theft of service by asserting that they do no harm because they use only the available
capacity and do not deprive legitimate users. Kevin Mitnick is a criminal hacker who was
able to obtain access to computer and telephone systems, using services and stealing data
at will. His history of computer fraud began when he was a high-school student and broke
into his school district’s computers. His actions eventually escalated to systematic software
theft, attacks on Internet service providers, hacks into business and educational institution
computers, and the theft of 20,000 credit card numbers over a 2-year period. Eventually,
with the help of a computer expert from Stanford University, Mitnick was caught and pled
guilty to computer and wire fraud. He was sentenced to 5 years in federal prison; upon his
release, he was prohibited from using a computer for the final 6 months of his probation
(Brenner, 2010).
The anonymity of the Internet has given rise to the need to investigate online fraud.
Cases include online auction fraud, credit card fraud, and securities fraud. Professional
thieves obtain credit cards via fake applications or by electronic theft and pass them around
among their peers for profit. These types of investigations are commonplace due to the
growing number of people conducting business on the Internet.
Stalking and the sexual exploitation of children have also been on the increase since
the advent of personal computers. Possibly the most disturbing of these criminals are
pedophiles who surf computer bulletin boards and chat rooms in search of children.
Using chat and e-mail, they develop a cyberspace relationship and then seek to meet the
child in person to pursue their sexual intentions. Already recognized as a serious prob-
lem, cyberstalking has produced a number of high-profile cases, such as the Megan Meir
case in 2006. Megan, a 13-year-old from Missouri, met who she assumed to be a 16-year-
old boy online. Megan and this boy became close online friends; he flattered Megan and
showered her with compliments. The boy was actually the creation of the mother of one
 Cybercrime ◾ 305

of Megan’s friends and another adult. The flattery turned to taunts and insults, leading
to Megan hanging herself in her bedroom closet. Megan’s story is become all too com-
mon, and law enforcement is being tasked with investigating all types of harassment and
threats in cyberspace.

COMPUTER AS REPOSITORY OF EVIDENCE

When the computer is not essential for the crime to occur, but it is related to the criminal
act, it is considered incidental to the crime (Carter and Katz, 1997). In these cases, the digi-
tal device can become a repository of evidence of the crime. The crime could occur without
the technology; however, computers help the crime to occur faster, permit the processing
of large amounts of data, allow for the storage of data related to criminal activity, and make
the crime difficult to identify and trace. Money laundering, child pornography, unlawful
banking transactions, counterfeit driver’s licenses, and identification cards are the most
common examples of this type of computer crime.
Money laundering is a type of computer crime where computers are incidental to the
crime. The movement of the money can be easily facilitated and be made anonymous
by using computer systems. Both banks and casinos are closely regulated and seriously
penalized for money laundering; however, the massive volume of monetary transactions
that take place in the United States makes it difficult for regulators to address every large
uncertain transaction. The number of such transactions is increasing as more businesses
and consumers use electronic funds transfer services, and much of today’s banking is con-
ducted online.
The manufacturing, collection, and distribution of child pornography on the Internet
are criminal activities that have precipitated a swift law enforcement response and new lev-
els of public–private sector cooperation. The exchange of child pornography through the
Internet is an unfortunate example of the actual human harm that can result from com-
puter technology. Moreover, technology not only facilitates but also encourages this heinous
crime. Computers are particularly advantageous to the distribution of child pornography
because the activity thrives on secrecy and anonymity. The fact that individuals can access
pornography and contact fellow users from their homes reduces their fear of detection. The
Internet provides a wide variety of opportunities for those who trade and distribute child
pornography to interact, including e-mail, websites, chat rooms, File Transfer Protocol
(FTP) sites, electronic bulletin boards, and online services (Shelly, 1998). These venues
allow pornographers to meet and exchange methods they have used to successfully sexu-
ally exploit children. Criminal investigations reveal that the Internet increases the ability
to access images and reduces the social stigma and risk for the perpetrators. Engaging in
this illicit activity on the Internet significantly reduces the chances of apprehension by
law enforcement because many agencies may not be prepared to investigate these types of
offenses. Technology offers offenders a double advantage through ease of access and lower
risk of detection (Shelly, 1998).
306 ◾ Mark R. McCoy

CRIMES ASSOCIATED WITH THE PREVALENCE OF COMPUTERS

The prevalence of computers naturally creates new crime targets. Software piracy, counter-
feiting, copyright violation of computer programs, black-market computer equipment and
programs, and theft of technological equipment are all examples of crime associated with
the prevalence of computers (Carter and Katz, 1997). Software piracy is one of the most
common crimes committed against intellectual property and is typically committed by
purchasing a single licensed copy of software and loading it onto several computers in vio-
lation of the licensing terms. Piracy also occurs when software is offered on a server avail-
able on the Internet that allows users to download popular software for a small fee. Original
equipment manufacturer (OEM) unbundling consists of selling software as a standalone
item that was intended to be sold packaged with specific accompanying hardware. It is not
unusual for law enforcement to be contacted by software manufactures requesting help
in the apprehension of someone selling pirated copies of their expensive and proprietary
software. Programs that took years and millions of dollars to develop can be counterfeited
in minutes with a touch of a button (Power, 2000). Although software manufactures have
made attempts to prevent piracy, a computer user can duplicate an otherwise expensive
product in bulk, sometimes for no more than the cost of a DVD. A study by the Business
Software Alliance (http://portal.bsa.org/globalpiracy2009/index.html) estimated that the
global software industry lost $51.4 billion due to software piracy in 2009. Losses in 1997
were estimated to be $11.4 billion. This dramatic increase in the cost of this type of crimi-
nal activity should signal to law enforcement the need to have investigators trained and
experiences in the investigation of cybercrime activity.

CYBERCRIME OFFENDERS
The advent of cybercrime has created a new type of criminal offender. In the 1970s, perpe-
trators generally were computer specialists: programmers, computer operators, data entry
personnel, system analysts, and computer managers or insiders. They were the only ones
who knew how to operate and use the technology, and they were the only ones able to gain
physical access to computer systems. In the 1980s, the type and frequency of high-technology
crime changed due to advancements in personal computers and telecommunication and the
advent of the Internet. External threats grew. Most information system security professionals
placed the threats to computer systems at approximately 80% internal and 20% external. Into
the 21st century, international crime and fraud developed and will continue to do so because
of increased international networking. Threats to computer systems will come increasingly
from the outside, committed by offenders across the country or around the world (Kovacich
and Boni, 2000). Parker (1998) described two types of computer criminals: outside hack-
ers, who attack others’ computers for pleasure, challenge, curiosity, or educational experi-
ence; and computer technology insiders, who are presumably motivated by greed. Threats to
information systems range from juvenile delinquents playing pranks to cruel hackers, white-
collar criminals, career criminals, members of organized gangs, and terrorists. Successful
computer criminals in many ways do not resemble the stereotype of criminals.
 Cybercrime ◾ 307

INSIDERS
Insiders still represent the most serious threat, and the highest risks are from the employ-
ees of a business or a government agency. These individuals have access to the physical
and intellectual property of their employers. Furthermore, they are trusted and have the
authority to gain access to many sensitive areas and sensitive information. When conduct-
ing a criminal investigation involving a computer-related crime, the investigation should
look closely at those inside the organization who have access to the computer systems. The
Computer Security Institute (CSI, 2009) reported that as much as 25% of the losses suf-
fered by businesses were due to insiders. Investigators should look to those on the inside
who have motive and opportunity to commit crimes against their employers. Security per-
sonnel are on the defensive frontline against high-technology crime, so they know where
security may be weakest and they know the security controls in place in all areas of the
business. Accountants and financial personnel have access to automated financial accounts
and financial analyses of the business that could be used for financial gain. Management
personnel generally have more access authority and can sometimes cover their crimes
from their position of power in the organization. Some possible motives for insider crime
could be financial gain, revenge, the challenge of getting away with it, or curiosity. Insiders
rationalize committing these crimes because they feel underpaid, they have been denied
a deserved promotion, or their work has gone unrecognized. In many cases, the victim
organization provides the opportunity to commit the crime because they lack audit trails,
access control systems, separation of duties, or methods of accountability.

OUTSIDERS
Following are six profiles of outsiders who commit computer-related crime (Parker, 1998):

1. Pranksters exploit others’ computer systems to gain the use of a more powerful
computer, gain respect from fellow hackers, build a reputation, or gain acceptance
as an expert without a formal education.
2. Malicious hackers, also called crackers, exploit computers systems with the intent
of causing loss or destruction to satisfy some antisocial motive.
3. Personal problem solvers often cause serious loss in their pursuit of a solution to
their own personal problems. They believe that the victim is rich enough to afford
the loss and would not miss what is taken or used.
4. Career criminals earn part or all of their income from crime; they use computers
and exploit computer systems for financial gain.
5. Extreme advocates are known to have strong social, political, and religious views,
and they intend to change a world situation by engaging in crime. Terrorist activ-
ity on the Internet fits into this category.
6. Malcontents, addicts, and irrational and incompetent people run the gamut from
the mentally ill, to drug or alcohol addicts, to those wishing to gain the attention
of others, to the criminally negligent.
308 ◾ Mark R. McCoy

External criminal hackers are one of the biggest challenges facing security personnel,
computer crime investigators, and law enforcement professionals today. Initially, hackers
were simply considered to be intelligent kids who experimented with computers, but even-
tually the term began to be used, incorrectly, to refer to those who illegally accessed com-
puters for their personal pleasure, vandalism, or criminal purposes (Steven, 1984).
Hackers can be categorized as the curious, the meddlers, and the criminals (Kovacich,
1994). The curious break into computers to learn more about them and do not mean to
cause harm to the computer system, although they sometimes do. They are the computer
trespassers. The meddlers break into computers because they are interested in the chal-
lenge of breaking in and looking for weaknesses in the system. They will brag about their
accomplishments to others in online chat rooms. These criminals break into computers to
commit a crime for personal gain, to destroy or steal information, or to damage system files.
Computer crackers choose their victims for different reasons, use a variety of methods of
approach and attack, and exhibit different needs and intents. Former employees break into
computers to damage them in retaliation for some perceived wrong. Technically proficient
individuals break into opportune targets to feel more powerful. Thieves and spies break
into computers to obtain valuable information. Malicious individuals break into medical
databases to, for example, change prescriptions such that an intended victim will overdose.
These types of criminals are becoming more prevalent and are creating a need for skilled
investigators equipped with procedures and tools to help them collect, process, and inter-
pret digital evidence (Casey et al., 1994).

THE DIGITAL CRIME SCENE

The investigation of some aspects of cybercrime will be the responsibility of all investiga-
tors, regardless of their assignment. We have seen that all types and manner of criminal
activities can be committed using a digital device, and evidence may be stored on a digital
device. Thus, burglary and homicide detectives are as likely to be involved in an investiga-
tion in cyberspace as computer crime investigators. Today, every crime scene may contain
digital evidence. First responders and investigators must be aware of the possible uses of
digital devices to hide evidence of a crime. The Federal Bureau of Investigation’s Digital
Evidence Field Guide lists five key facts a law enforcement officer should know about digital
evidence (FBI, 2007):

1. Many types of crime involve digital evidence. Computers, cell phones, personal
digital assistants, and other digital devices play a part in all types of crimes, from
violent crimes against persons to the traditional cybercrimes.
2. Every crime scene is a digital evidence crimes scene. Crime scene investigators
should always be alert to the possibility of digital evidence being present at a crime
scene.
3. Digital evidence can be fragile. This type of evidence must be handled with great
care to avoid altering or destroying evidence inadvertently. If not handled properly,
heat, cold, and magnetic fields can destroy evidence, as can dropping a device.
 Cybercrime ◾ 309

4. Digital evidence can be easily altered. Alterations of digital evidence may be as

simple as changing the file extension on a document to conceal its true identity
to altering the time on a computer to make documents appear to be created at a
different date and time. Investigators must be aware that some of the actions they
take could change evidence.
5. Never assume that digital evidence is destroyed. Although fragile at times, dam-
aged digital devices can sometimes yield evidence when handled properly. Digital
forensics examiners have extracted digital evidence from burned-out computers
and devices found submerged in water.

IDENTIFYING DIGITAL EVIDENCE

Investigators performing a search for digital evidence should be aware of the variety and
forms of digital devices that could hold evidence. Investigators may find the following cat-
egories of digital evidence at a crime scene (FBI, 2007):

• Commonplace—These are the traditional types of digital media that an investiga-

tor may find. This category includes USB thumb drives, DVD/CDs, MP3 players,
flash memory cards, digital cameras, and cell phones.
• Obscure—These are nontraditional items of digital media that are easily overlooked
by investigators as a possible source of evidence. This category includes answer-
ing machines, GPS receivers, digital voice recorders, printers, copy machines, and
game consoles.
• Protected—These nontraditional items of digital media are designed to conceal data
or prevent unauthorized access. This category includes biometric devices, such as
fingerprint readers, and mechanically protected devices, such as those requiring
an access card or USB dongle to gain access.
• Concealed—These are digital media designed to hide their true purpose. This cat-
egory includes USB drives disguised as pens, watches, or other everyday objects.
These concealed devices can be very small and easily missed by investigators dur-
ing a search.

LEGAL CONSIDERATIONS
Like other traditional crime scenes, the investigator must have the legal authority to con-
duct a search and seize evidence at a cybercrime scene; however, there are other legal con-
siderations when planning a cybercrime scene search. The Electronic Communications
Privacy Act (ECPA) of 1986 provides statutory procedures for intercepting wire, oral, and
electronic communications. It provides protection to stored communications, such as
e-mail stored on Internet service provider servers. Law enforcement conducting investiga-
tions in which there may be a need to intercept electronic communications or read e-mail
that has not been delivered to its intended recipient must obtain additional legal authority.
Also, the earlier Privacy Protection Act of 1980 (PPA) made it unlawful for local, state, or
310 ◾ Mark R. McCoy

federal law enforcement to search or seize materials that may be publishable. The Act pro-
tects the work product of individual author’s manuscripts, written conclusions, opinions,
and theories of the creating author. Law enforcement should carefully consider if the PPA
applies in cases where they may be searching and seizing documents of authors, publish-
ers, newspapers, or other individuals who may be involved in the publication of these types
of materials. The PPA does not apply to items considered to be contraband, such as child
pornography (Britz, 2004).

COLLECTION AND PRESERVATION OF DIGITAL EVIDENCE

The collection and preservation of digital evidence must be performed in a manner that
does not alter or destroy evidence and allows the proper forensic examination by trained
personnel. As with all other crime scenes, the cybercrime scene must be carefully photo-
graphed, sketched, and documented; however, the digital crime scene has a few special
requirements. First, crime scene investigators should never turn on a computer that is off
and should never browse the files on a computer at the scene. The mere act of opening a
file will alter date and time stamps that could be important to the investigation. If a com-
puter is still running, it is important to make sure it is properly shutdown or, if that is not
possible, that the power is disconnected from the system. Isolating the computer from
the Internet and a power source will prevent destructive programs from being run on the
machine without the investigators’ knowledge. When seizing a laptop, the battery should
be removed and then disconnected from any power source. Personal digital assistants and
cell phones should be left off if already off and should be isolated from radiofrequency sig-
nals when possible. All digital devices should be packaged to prevent damage and should
be kept away from all electromagnetic fields. Whenever possible, it is best to have a digital
forensic expert on scene when collecting digital evidence.

FORENSIC EXAMINATION OF DIGITAL EVIDENCE

Proper forensic examination of digital evidence can produce useful evidence in a criminal
investigation. Digital forensics has been described as an autopsy of sorts for digital media.
It requires a specially trained examiner using the proper hardware and software tools
to make a duplicate of the media and then analyzing data stored on the device. Forensic
examinations of digital media can involve the recovery of deleted files, user names, pass-
words, and images and the examination of unallocated space on the device. Examiners
may search for hidden files or recover encrypted documents, and they can sometimes pro-
vide an analysis of date and time stamps to establish evidentiary timelines. The proper
handling and examination of digital evidence provides a forensically sound process that
can be used to introduce evidence into court, along with expert testimony of the results
of the examination. These exams must be performed by a trained examiner and not be
attempted by crime scene investigators.
 Cybercrime ◾ 311

QUESTIONS FOR DISCUSSION

1. Why do you think cybercrime is so difficult to define?
2. What are the classifications of cybercrime? Provide examples of each.
3. What are the various motives of cybercrime offenders?
4. Explain the two unique legal aspects of cybercrime investigations.
5. Discuss the possible evidence that can be found in digital forensics analysis.

BIBLIOGRAPHY
Brenner, S.W. (2010). Cybercrime: Criminal Threats from Cyberspace. Santa Barbara, CA: Praeger.
Britz, M.T. (2004). Computer Forensics and Cyber Crime: An Introduction. Piscataway, NJ: Pearson
Education.
Carter, L. and Katz, J. (1997). Computer Crime: An Emerging Challenge for Law Enforcement. FBI
Law Enforcement Bulletin, 65(12):1–8.
Casey, E., Brandl, S.G., and Frank, J. (1994). The Relationship Between Evidence, Detective Effort,
and the Disposition of Burglary and Robbery Investigations. American Journal of Police,
8(3):149–168.
CSI. (2009). CSI Computer Crime and Security Survey 2009. New York: Computer Security Institute
(http://gocsi.com/survey_2009).
FBI. (2007). Digital Evidence Field Guide: What Every Peace Officer Must Know, Continuing Education
Series 1.1. Washington, D.C.: Federal Bureau of Investigation (http://www.rcfl.gov/downloads/
documents/FieldGuide_sc.pdf).
Gene, S. (1995). Crime in Cyberspace: The Digital Underworld. The Futurist, 29(5):24–28.
Haugen S. and Selin J.R. (1999). Identifying and Controlling Computer Crime and Employee Fraud.
Industrial Management & Data Systems, 8:340–344.
Kovacich, G.L. (1994). Hackers: From Curiosity to Criminal. Austin, TX: Association of Certified
Fraud Examiners.
Kovacich, G.L. and Boni, W.C. (2000). High-Technology Crime Investigator’s Handbook: Working in
the Global Information Environment. Boston: Butterworth-Heineman.
Krauss, C. (1997). 8 Countries Join in an Effort to Catch Computer Criminals. The New York Times,
December, 11, p. A12.
Lange, L. (1996). Trust a Hacker Under 30? You’d Better. Electronic Engineering Times, August 19.
Parker, D.B. (1998). Fighting Computer Crime. New York: Wiley.
Power, R. (2000). Tangled Web: Tales of Digital Crime from the Shadows of Cyberspace. Indianapolis,
IN: Que.
Shelley, L.I. (1998). Crime and Corruption in the Digital Age. Journal of International Affairs,
51(2):607–620.
Steven, L. (1984). Hackers: Heroes of the Computer Revolution. New York: Anchor Press.
 Chapter 18

Gang Investigation
Gregg W. Etter
University of Central Missouri

CHAPTER OBJECTIVES
After reading this chapter, you should be able to do the following:
1. Identify cultural characteristics of gangs.
2. Identify the primary and secondary crimes that gangs commit.
3. Explain motivations for gang crimes.
4. List and describe effective gang investigation techniques.
5. Identify some effective anti-gang programs and explain how they work.

Chapter Outline
• Nature of the Gang Problem
• Common Cultural Characteristics of Gangs
• Los Angeles-Based Street Gangs
• Chicago-Based Street Gangs
• Changing Nature of Hispanic Street Gangs
• Skinheads and Other White Gangs
• Asian Gangs
• Outlaw Motorcycle Gangs
• Female Gangs
• Gang Investigation Techniques
• Anti-Gang Tactics
• Anti-Gang Legislation

NATURE OF THE GANG PROBLEM

The gang problem in the United States is not new. Urban street gangs have existed in the
United States since the 1820s. Gangs such as the Forty Thieves, Bowery Boys, Dead Rabbits,
Roach Guards, and Pug Uglies battled in the early 1800s to gain control of their territories
313
314 ◾ Gregg W. Etter

in the Five Points district of New York City. The Forty Thieves gang even had a pee-wee
gang of youngsters called the Little Forty Thieves (Asbury, 1927). Gangs are a function
of urban criminality. The street and motorcycle gangs of today have developed many of
their customs and traditions from the street gangs of yesteryear. Many of the gangs still in
operation today have existed for several decades, including outlaw motorcycle clubs, which
date back to 1946; the Folk Nation and People Nation alliances; and the Crips and Bloods.
These gangs have evolved into an almost tribal type of society. The director of the National
Gang Crime Research Center in Chicago defined a gang as (Knox, 2006):

A group is a gang when it exists for or benefits substantially from the continuing
criminal activity of its members. Some element of crime must exist as a definitive
feature of the organization for it to be classified as a gang. That need not be income-
producing crime because it could also be crime of violence.

Anderson et al. (2009) reported the following:

The National Youth Gang Center estimates that there were approximately 778,000
gang members and 27,000 gangs active in more than 3,500 jurisdictions served by
city and county law enforcement agencies in 2007.

Modern street gangs can be described as the new urban tribes. Holmes (1971) observed
that a tribe consists of a group of people who possess a common language, culture, or ter-
ritory. He also noted that bonds that hold the group together revolve around the attitudes
that the members of the tribe hold toward each other and the behavior patterns of coopera-
tion and mutual assistance that act as a tangible demonstration of those attitudes. Thus,
tribes work toward a common self-interest.
Criminals combine themselves into self-affiliated tribal structures to help them conduct
their criminal enterprises and to avoid the police (Etter, 1998). These groups exhibit all
of the characteristics of tribalism when reacting to their environment and governmen-
tal control of the territory that they occupy (Fried, 1975). Thus, in their effort to further
their criminal enterprises and to avoid capture by the police, some criminals have banded
together into gangs. These gangs have developed over the years into the sociological phe-
nomenon that Fried (1975) described as secondary tribes.
Gangs have adopted a pseudo-warrior culture to facilitate their criminal society. In this
pseudo-warrior culture, gang members view themselves as street warriors, race warriors,
or road warriors. Violence is seen as a legitimate tactic to achieve ends, and gang members
will use violence to achieve their desired ends or goals (Elder, 1997). Objectives of violence
include: warnings, intimidation, control of turf, control of trade, control of personnel,
revenge, etc. In addition, the use of violence increases the member’s warrior status within
the gang (Etter, 1998).
Gang members can gain status for themselves by exhibiting antisocial traits. They pick
street names for themselves that enhance this violent image. Jackson and McBride (1986)
observed that
 Gang Investigation ◾ 315

… a lack of self-discipline and a violent temper are unacceptable traits in the non-
gang society, but in the gang system he can turn these “liabilities” to his advantage
by letting go completely and building a reputation as a vato loco (“crazy guy”).

They further suggested that the pseudo-warrior culture practiced by gangs promotes vio-
lence and bravery by its members in support of the goals of the gang:

Similarly, the gang member knows that if he is killed by a rival gang during a fight,
he will be viewed as a fallen hero by his home boys. His name will appear for years
to come painted in gang graffiti throughout the barrio, and his exploits will be told
again until reality is forgotten and a legend created.

COMMON CULTURAL CHARACTERISTICS OF GANGS

Gangs can be a strictly local affair with no national gang affiliation or alliances, but many
gangs choose to affiliate with a nationwide brand-name gang, such as the Latin Kings from
the People Nation. Although this occurs, no central gang structure exists in the United
States. Each gang operates somewhat independently, often driven more by their cultural
affiliation with their chosen group than a broader formal alliance. Sometimes sets of the
same gang may even fight each other. Gangs in this country often operate somewhat like
fast-food franchises, each bearing the corporate logo of Crips or Latin Kings but inde-
pendently owned and operated. Although each gang is somewhat different, modern gangs
exhibit several common cultural characteristics.

SELECTIVE MEMBERSHIP
One of the ways that gang members protect themselves from law enforcement is by selec-
tive membership. You can’t just run out and join an urban street gang. The fact that the
Mafia is not an equal-opportunity employer is well known (Gage, 1971). Prospective gang
members are often screened by race, sex, religion, language, ethnicity, and other cultural
factors (Asbury, 1927; Etter, 1998; Knox, 2006; Thrasher, 1936; Yablonsky, 1962). Racial and
ethnic homogeneity has become the norm among gang members (Nadel, 1996), although
this is changing somewhat in the center of the country (e.g., Omaha, NE; Davenport, IA;
Little Rock, AR; Memphis, TN), where whites and females are likely to be incorporated
into more traditional Los Angeles- or Chicago-based street gangs than they would be in
Chicago or on the coast. One of the simplest and most effective tools in this screening pro-
cess is vouching. This means that someone has to nominate someone for membership in a
gang. That member is then responsible for that person’s conduct within the gang. If that
conduct is unsatisfactory, the gang may impose negative sanctions on both the offender
and the person who proposed the offender. Language has been another screening tool, as
it offers a means of protection and a means of communication. How many police officers
speak Sicilian, Vietnamese, Chinese, Japanese, Russian, or Spanish fluently enough to con-
duct a legal interrogation under Miranda v. Arizona, much less infiltrate and be able to pass
316 ◾ Gregg W. Etter

as a member of the group? Even when officers do speak the language, gang members often
use a subdialect (e.g., Spanish speakers will use Calo or Spanglish) or street language to
confuse the issue (Jackson and McBride, 1986). The average age of gang members is tradi-
tionally believed to be 12 to 25, but some groups have admitted members as young as 7 or
8, and some older members tend to hang on.

INITIATION RITES ARE OFTEN VIOLENT

Every tribe has a rite of passage that allows young people to transcend from childhood into
full adult membership in the group. Gangs are no exception, and they often have elaborate
initiation rites for anyone who becomes a member of the gang. In the inner city, the gang
has replaced society in the lives of its members. In these rites of passage, a prospective
member of the group is required to prove their worth to the group and their skills as a
warrior who is willing to fight and die for the tribe or gang. In the most common of these
initiation rites, gangs may “beat in” a new member. This involves the prospective member
being physically attacked and beaten by several gang members for a period of time. This
proves the new member’s worth in combat to the gang and affirms that person’s warrior
status in the group. It also adds to the oft-repeated gang custom of “blood in, blood out.”
The initiate is often required to commit a crime in front of witnesses. This virtually elimi-
nates most police informants or undercover police officers, as their agencies will not allow
them to undertake such conduct. The crimes might be as simple as stealing something in
front of witnesses to participating in a robbery or drive-by shooting. The object of this type
of initiation is to impress upon prospective gang members that they are now criminals and
there is no turning back. Most gangs are not a co-ed operation. As a general rule, females
are not allowed to join the gang or have any say in its operations; however, as previously
noted, some gangs are beginning to allow female members to become full members of
the gang. In areas where this is occurring, female members often have the option of being
“sexed in.” This involves having sex with either every member of the gang or a set number
of gang members (often determined by a roll of the dice). Female members who choose this
option are not as highly thought of as those who choose to be beat in. Because of the lon-
gevity of many of these street gangs (some have lasted over 50 years), another option, being
“blessed in,” is sometimes available to prospective members who are relatives of existing
members (e.g., son, daughter, grandchild); however, many still choose to be beat in out of
tradition. This is especially true for Hispanic gangs.

GANG FUNERAL RITES ARE OFTEN OBSERVED

Just as a group member is given a formal rite of passage into the group, that member is also
given a formal rite of passage into the next world. Members of the group gather as a show
of unity to mourn their deceased member. The deceased is usually buried in the full colors
or uniform of the group. Mourners from the group also attend in full colors or uniform.
Group affiliation is often listed on the funeral program. Retaliatory drive-by shootings or
other acts of violence often occur in close proximity to the funeral rites.
 Gang Investigation ◾ 317

GANGS HAVE A CODE OF CONDUCT FOR THEIR MEMBERS

Just as in any tribal structure, gangs have rules. These rules are made by the elders of the
tribe, or gang. Rules among criminal groups are not new. The Mafia’s code of behavior,
called Omertà (“manliness”), has been around since 1282 (Arlacchi, 1987; Gage, 1971).
Thrasher (1936) noted that youth street gangs adopt codes of conduct that reflect their
environment. Typically these rules represent a type of situational morality that exists only
within the gang; for example, if you are a Disciple, it is okay to shoot at a Latin King,
but leave the Folk alone. Sometimes these rules are very formal and contained in writ-
ten constitutions; sometimes the rules are passed on as oral history to new members. The
rules are rigidly enforced, and rule breakers are punished. Most of the punishments are
physical in nature and sometimes include the death of the violator or the violator’s fam-
ily. Typical of the rules and oaths taken by gang members is the following example from
Kansas Department of Corrections Sergeant Terry Dunn, who seized this handwritten
example from a gang member at the Hutchinson Correctional Facility in 1997:

Westside 2 Lincoln Block Gangsta Disciples

1. I solemnly swear myself into the Lincoln Block Gangsta Disciples.
2. I will represent part of this organization in life & death.
3. I swear never to disrespect myself or a member of the Gangsta Disciple Nation.
4. I swear to accept all orders from the King of Kings & appointed chiefs & chosen
ones.
5. I will not affiliate myself with no other organization, set, or abide by any of their
laws or ways, except Gangsta Disciples.
6. I swear to assist all members mentally & physically as well as I can!
7. I will never disrespect my organization by any means.
8. I swear to never disrespect, scandalize, or conspire against the organization.
9. I will always greet each member of the Gangsta Disciples with the closing of the
fists and the uprising of the pitchforks.
10. It will be death before dishonor of my organization Gangsta Disciples (Westside
L.B.G.D.)
11. I swear to keep all doings of the organization under a code of silence.
12. I solemnly swear myself into the Gangsta Disciples–Westside Lincoln Block
Gangsta Disciples—til death do us part!

In a gang, absolute and unquestioned loyalty to the group is demanded above all else.
This loyalty supersedes any family ties, religious beliefs, friendship ties, or other loyalties.
The gang becomes the gang member’s family and tribe. The gang members, as a group,
often have no respect for the law or fear of going to jail. Going to jail is often considered as
just the cost of doing business. Sometimes incarceration can build a member’s status in a
gang, making them a loyal veteran of the group. Jail is a good place to train gang members
in how to commit new criminal acts. Jail is also a good place to recruit new members into
the gang.
318 ◾ Gregg W. Etter

GANGS OFTEN CLAIM TERRITORY

Gangs, like tribes, claim and defend their territories, often to the death. Gangs mark their
turf with graffiti to show ownership and to warn rival gangs against trespassing. Hispanic
gangs are the most territorial, although this is changing as some of these gangs (e.g., MS-13
and La-18) have gone transnational. Asian gangs are the most mobile and therefore the
least territorial. White gangs often make political proclamations about “white homelands,”
and their territorial claims are largely symbolic. Outlaw motorcycle gangs are known to
enforce the “100-mile” rule and demand payment of a street tax or permission to operate
in their area.

GANGS MAINTAIN AN INTERNAL ORGANIZATION AND STRUCTURE

Many modern urban street gangs pattern their customs, habits, and internal organizations
after the Mafia, in light of the organizational success of the Mafia in its progression from a
neighborhood street gang in New Orleans and New York in the late 1800s to the present-
day Mafia operations that extend over Europe and the United States (Gage, 1971). By oper-
ating as a series of families and as a commission, the Mafia has an organization and chain
of command capable of supporting global-scale operations. In short, the Mafia has gone
from retail to wholesale. Mafia members do not sell individual dosage units of drugs on the
street corners. Street gang members still do. Gangs in the United States have adopted either
a formal or informal structure for their operations.
A more formal gang organizational structure has been adopted by Chicago-based street
gangs, outlaw motorcycle gangs, Mara Salvatrucha 13 (MS-13), and most Asian street gangs.
In a formal organizational structure, each gang member has a designated position within
the gang with specific duties and responsibilities. Although a formal organizational chart
may not be hanging on the wall of the gang’s clubhouse, gang members know their place
within the gang’s organizational structure and what is expected of them as gang members of
that particular group. As in any other group, there may be infighting to see who will be the
boss or leader. The organizational structure may be based along business or military lines.
Many gangs follow the Mafia’s organizational structure, but Asian gangs are more likely to
model themselves after the Chinese Triads or the Tongs from California. The larger a gang
becomes, the more likely that they will adopt a more formal organizational structure.
An informal organizational structure has been adopted by Los Angles-based street gangs,
skinheads, and various Hispanic street gangs. Gangs organized with an informal structure
believe in the concept of a “leaderless resistance.” It is their belief that any leader would be
targeted and probably killed or captured by enemies of the gang (police or other gangs);
therefore, they attempt to decide things by group consensus. In this type of group, they
might, and often do, acknowledge senior members of the group as OGs, or “original gang-
sters” (a type of senior advisor), but the OGs do not always have command capability.
 Gang Investigation ◾ 319

GANGS MAINTAIN AN INTERNAL AND EXTERNAL

MEANS OF COMMUNICATION

Gangs rely on oral histories to pass on the history, traditions, rules, and folklore of the gang.
This is a secure way to pass information as documents can be seized and used as evidence
of gang membership in court. Thus, the exploits of Folk Nation Disciple leader “King Larry
Hoover” are passed on mostly by word of mouth to new members of the Black Gangster
Disciples, and knowing the meaning of each point of the Folk Nation’s six-pointed star
(love, life, loyalty, wisdom, knowledge, understanding) is required of new members. The
culture of the gang is passed in this way from generation to generation.
In gangs, the use of graffiti or tagging is a time-honored tradition. Often called the news-
paper of the streets, graffiti marks turf, declares war, mourns the dead, shows disrespect for
rival gangs, sings the praises of gang members, and is used to issue challenges. Crossing out
or putting upside down another gang’s symbols or graffiti shows disrespect. Hispanic gangs
call their gang graffiti plaqueso (“places”). The slang term plaquesos is derived from the
Spanish placa, meaning a “sign” or “plaque.” When Hispanic gang members talk of writing
graffiti on a wall they refer to it as throwing a placa on the wall. It is not just graffiti. It pro-
claims to the world the status of the gang and offers a challenge to rivals. Moreover, graffiti
writing is a skill, an acquired skill, that requires a great deal of time and practice to perfect
(Jackson and McBride, 1986).
Hand signs are used by gang members for identification, intimidation, challenges, and
general communication. Whenever a gang member flashes a hand sign at a person, he
in effect is saying, “Here’s who I am. Who are you?” Los Angeles-based gang members
talk of throwing a sign, while Chicago-based gang members speak of representing. Hand
signs provide a definite statement as to the identity and often intentions of gang members;
for example, when a witness is testifying in court during the trial of a gang member, a
gang member flashing a hand sign could be considered an act of intimidation toward that
witness.
Language is used to exclude non-members of the group. Most police do not speak
Spanish, Sicilian, or Vietnamese, for example, fluently enough to understand what is going
on. Slang or street language is liberally inserted into conversations to exclude those who
would not understand. The use of street names or aliases is common, as is the use of code
in communications, drug tallies, and other communications.
Gang members are Internet savvy, and many of the gangs now have websites. These
websites are used as a means of communication and require password access to some areas
of the website. They are also used as a means of recruitment, and interested parties can
inquire about gang activities. They are graffiti in an electronic format. Gang members
also make extensive usage of cellular communications. Texting is prevalent. Prepaid cell
phones are popular because they are almost untraceable and are thrown away after a par-
ticular time period.
320 ◾ Gregg W. Etter

GANG MEMBERS ARE FOND OF TOTEMS OR

PARAPHERNALIA TO SHOW MEMBERSHIP
Symbols contained on or within tattoos, clothing, or jewelry often are used by gang mem-
bers as totems to identify themselves as members of the group and to show loyalty to the
group. Identification with the group is a primary reason for tattoos. Not everyone who has
a tattoo is a gang member, certainly, but gang members, supremacists, and biker group
members often have tattoos showing affiliation with their group. A tattoo is a permanent
mark on the body and therefore symbolizes a lasting commitment to the group. It is not
something done lightly or without thought. The group member who places a tattoo on
his body makes a visible public statement about his acceptance of the group into his life
forever.
Criminals have long used tattoos to identify themselves to each other and to show their
contempt for the rules of society. Tattoos fall into three basic categories: (1) alphanumeric
(numbers and letters that spell out the intended message, often in code); (2) symbolic/
pictorial (symbols and pictures that identify the gang or religious affiliation); or (3) a com-
bination of both alphanumeric and symbolic/pictorial. Knowledge of these symbols can
be useful to law enforcement officers investigating gang activity and in identifying gang
members.
Similar to tattoos among gang members is the practice of branding or applying burn
marks with, for example, a lit cigarette. A gang member will either place such marks on his
own body or allow another gang member to do so. Many investigators believe that burn
marks reflect a willingness to engage in criminal activity or an individual’s toughness.
Three burn marks generally refer to “my crazy life,” or the gang life. They are normally
arranged in a triangle (also seen as a tattoo).
Clothing is more than a fashion statement with gang members. Outlaw motorcycle
gang members wear sleeveless jackets bearing the logo or colors of their groups. Patches
denote various rankings, crimes, or sexual exploits of the biker. In street gangs, expensive
athletic clothing in the gang colors is favored by many gang members. The fancy clothing
not only exhibits economic success to observers but also provides a means of instant iden-
tification. The University of North Carolina (UNC), for example, has the colors of light
blue and white. The Neighborhood Crips have adopted this team as their own because
their color is light blue, and they feel that the NC in the university’s logo could stand for
“Neighborhood Crips”! Also, the ram that is used as a mascot by the university is consid-
ered by the gang to be a symbol of strength and power. Thus, a 14-year-old gang member
will be viewed with respect and envy by his peers if he wears a starter jacket with the gang
totem that cost $150, a $30 baseball cap with a logo, and a pair of athletic shoes with laces
in the gang colors that cost another $150.
Local tee-shirt companies print up special runs of shirts with gang logos upon request.
Gang-related jewelry showing logos, drug symbols, or weapons is also popular among
street gang members. African American street gang members began a custom referred
to as sagging, where they wear their pants down low. Sagging has been adopted by most
other street gangs, as well.
 Gang Investigation ◾ 321

GANGS ENGAGE IN CRIMES TO MAKE MONEY

Although gangs receive some financial support from their members in the form of dues,
their primary means of financial support is through the commission of crimes. The differ-
ential opportunity theory, proposed by Cloward and Olin (1960), suggests that a criminal
subculture develops when youths see no legitimate means of achieving economic success,
and the members of the group use criminal acts as a means of achieving economic success.
In his research of the gang as an American enterprise, Padilla (1993) confirmed this view
and observed that

Similar to other business organizations, the gang’s survival is heavily dependent

on its capacity to develop and maintain a sound financial base. Funds are needed
for meeting a wide range of organizational needs, such as the purchase of weapons,
making rent payments, bailing members out of jail, and paying attorney’s fees.

Thus, the crimes of drug trafficking, prostitution, weapons dealing, gambling, theft/fenc-
ing, extortion/loan sharking, and arson are committed by gang members to make money.
Related crimes, such as pornography, homicide/assaults, rape, robbery, burglary, and polit-
ical corruption, often are committed to support the primary crimes.
The sale of illegal drugs is a primary source of income for most gangs. Most gangs only
deal in one or two drugs. They view this as a business and often refer to drugs as the “prod-
uct.” Drugs are also used as an alternative currency. Gang employees such as prostitutes
and street-level drug dealers are often paid in drugs. A few gangs do not sell drugs at all,
but most do because it is the quickest and most efficient way to raise money for the gang.
Not only is prostitution the world’s oldest profession but it has also been a very reliable
money maker for gangs. Prostitutes may be either male or female; both female and male
prostitutes service male clients. Generally, gang members are not prostitutes themselves.
The prostitutes are often drug addicts and become de facto employees of the gang due to
their addiction. The gang members act as their pimps and pay them off in drugs.
Gangs by their very nature have weapons because of the violent nature of the business
that they are in. They also often deal in weapons illegally. Weapons are acquired through
legal purchases, smuggling, theft, or fencing operations. They are sometimes sold to raise
cash. In the gang pseudo-warrior culture, the possession of a weapon raises the gang mem-
ber’s warrior status in the gang.
Gambling operations such as running the numbers and off-track betting have been
traditional mainstays of gangs. Floating crap games are also common. Asian gangs favor
high-stakes card games such as Pai Gow. Legalization of gambling, lotto, parimutuel bet-
ting, etc., has shifted revenues from the gangs to the state in many areas.
Gang members are not above stealing something; in fact, it may be required as a part of
initiation rites. But, where you have dope, you have junkies, so why take the risk? Have the
junkies steal for their daily fix, then act as the fence and pay the junkie off in drugs. “Steal-
to-order” burglary rings are formed when gangs use junkies to steal merchandise that will
be sold to raise money for the gang. Weapons are often acquired in this way.
322 ◾ Gregg W. Etter

One of the most traditional ways for a gang to exercise control over a region is to collect
“tributes” from the residents or businessmen in the neighborhood. The protection racket
is one of the oldest scams used by the gangs that is still in operation. Tributes are paid to
gangs for permission to do business in their territories. Businessmen are approached by
gang members who offer to help them keep their businesses “safe” in this high-crime area.
Businesses that pay come under the protection of the gang that controls that turf. Any
other criminal who attacks that business or patrons of that business has to answer to the
local gang. If a business owner refuses, gang members will break windows, knees, etc.,
until the owner relents. This is sometimes called a street tax. Also, other drug dealers have
to pay a fee to the gang to sell dope on their corner.
Extortion is common when a gang discovers a secret (e.g., embezzlement, adultery,
pedophilia) and uses that knowledge to blackmail the victim into payment or cooperation;
for example, a high school principal who visits a gang-controlled prostitute for an evening
of pleasure may get more than he bargained for. He might be blackmailed into allowing
that gang to either deal or recruit in his school.
One way that gangs acquire merchandise, cars, and businesses is through the practice
of loan sharking. Loan sharking is popular among gangs dealing with a population of poor
people who do not use banks; desperate and poor people have little access to the formal
banking system. Gangs loan them money at outrageous interest rates that sometimes are
compounded hourly. Failure to repay such loans can be fatal. Gangs often acquire an inter-
est in a legitimate business in this way.
Arson to collect insurance is another time-honored way to make money. In fact, many
Asian gangs and outlaw motorcycle gangs specialize in arson; however, arsonists don’t stay
bought (see discussion on extortion). Arson is sometimes used by a gang for retaliation or
intimidation.

GANGS WILL BUY OR INVEST IN LEGITIMATE BUSINESSES

Gangs often acquire an interest in or outright possession of businesses inside of their terri-
tory. This type of hostile takeover is often facilitated by a businessman’s default on a debt to
a loan shark or drug dealer. Sometimes a gang buys a business to invest their profits from
other enterprises. Business ownership has many advantages for a gang. It provides employ-
ment for gang members (thus keeping their parole officers happy); it acts as a front to com-
mit other crimes; it gives the gang a base from which to recruit; and it allows the gang to
launder illicitly earned money back into the legitimate business community.
Businesses are often used by gangs and other criminals as a convenient means of laun-
dering proceeds from other criminal activities. Gangs tend to acquire businesses that are
cash heavy, such as restaurants, game rooms, catering services, escort services, vending
machines, or automobile repair shops. Al Capone went to jail not for his gang-related mur-
ders or crimes but for income tax evasion. This point has not been lost on the current crop
of gangsters. Strandberg (1997) observed that
 Gang Investigation ◾ 323

Any retail business that accepts cash can be used as a money laundering operation.
According to John R. Kingston, special supervisory agent with the FBI’s Economic
Crimes Unit, a crook can buy the business and take it over, and all he has to do is
increase his profits by ten or twenty percent by adding cash to it.

LOS ANGELES-BASED STREET GANGS

A discussion about Los Angeles-based street gangs is primarily one about two major
groups: Crips or Bloods. They are sworn enemies, but they have several things in common.
Both groups were started by high school students in the Compton/Los Angeles area in the
late 1960s. Both groups combined some existing youth gangs into the new groups. The
subunits of both groups are called sets. Sets run from about 10 to about 40 members each.
The sets are usually named after streets in Los Angeles, but sometimes local street names
are also used. Both groups have now expanded from coast to coast. They use violence for
the sake of violence, as a show of toughness, and they view themselves as street warriors.
Initially, both groups were composed largely of African Americans and Hispanics. This
has changed somewhat as the gangs have expand across the United States.

CRIPS
The Crips were formed around 1968 in the Compton/Los Angeles area by combining sev-
eral smaller local street gangs. One of the original gangsters was Raymond Lee Washington
(1953–1979). He was one of the founders of the Baby Avenues gang, which morphed into
the Crips, and was killed by a rival gang member. Another of the early founders of the
Crips was Stanley “Tookie” Williams (1953–2005). Williams helped to expand the Crips in
Los Angeles during the early 1970s. He was arrested for a quadruple murder in 1979 and
convicted. He attempted to reform in prison and was the author of a children’s book, but
he was executed for his crimes.
The Crips membership originally consisted largely of blacks and Hispanic males. The
Crips began expanding across the United States in the 1980s as a result of drug wars. As
this expansion occurred, in some areas (e.g., Omaha, Davenport, Little Rock, Memphis)
whites, Native Americans, and Asians began to be admitted, as well as females. Crips have
a loose organization that does not openly acknowledge a single leader. They do recognize
OGs in some sets. An individual Crips set usually ranges in membership from 10 to 40.
Sometimes the Crips sets are allies, but sometimes they fight among themselves. The Crips
are loosely allied with the Folk Nation in Chicago. In some areas of the country, they com-
pete for drug trade turf.
The Crips’ primary color is blue, which can be traced to the Washington High School
colors in South Los Angeles; however, the Grape Street Crips favor purple, the Spooktown
Crips use brown, and the Asian Boy Crips wear yellow. Crips often wear blue bandannas
and do-rags or other articles of blue clothing. They use the letter “C” in place of “B” in
324 ◾ Gregg W. Etter

writing to disrespect the Bloods. Crips are fond of calling each other “Cuzz” and calling
themselves “Blood Killas” (BKs). A sign of disrespect toward Crips is use of the word
“Crabs.”

BLOODS
The Bloods were formed around 1968 in the Compton/Los Angeles area. It is believed that
the Bloods arose as a reaction to formation of the Crips. Drug trafficking led to their quick
expansion across the United States in the 1980s. Originally, membership was restricted to
blacks and Hispanics, but others are allowed to join today. Bloods favor the color red; they
wear red bandannas or do-rags and other articles of red clothing when they “flame up.” The
Bloods often require that initiates receive a dog-paw mark, often burned in with a cigarette,
on their right shoulder. Bloods members may also sport a tattoo of a dog (usually Mack
truck logo) or a tattoo or burn scar of MOB (Member of Blood or Money over Bitches).
Bloods will often refer to the Pirus, who were one of the original Blood gangs. Bloods use a
crossed-out “c” in words in a show of disrespect for Crips. A term of disrespect for Blood is
“Slobs.” Blood sets, typically 10 to 40 members each, initially had a loose organization with
no defined leader. Today, the Bloods are allied with the People Nation, and they recognize
OGs. Blood sets may not like each other, but they seldom fight among each other. In 1993,
the United Blood Nation was formed in the New York City jail system. It has rapidly spread
down the East Coast of the United States. It has breathed new life into the Bloods across
the United States as the reformation spread back to the west coast. As a result, the Bloods
nationwide have begun to adopt a more formal organizational structure.

CHICAGO-BASED STREET GANGS

Chicago-based street gangs are divided into Folk and People Nations. They usually favor
a structured organization and even carry business cards. War sweaters were originally
popular among these groups and were worn like high-school letter sweaters. They main-
tain websites and other Internet communications.

FOLK NATION
The Folk Nation is a loose alliance of 28 gangs that originated in Chicago-area jails in the
late 1950s and early 1960s. They now operate from east of the Rocky Mountains to the East
Coast. The gangs in the Folk Nation generally have a paramilitary structure and organiza-
tion. They favor formal constitutions and oaths. Early founders include the three “kings,”
David Barksdale, Jerome “Shorty” Freeman, and Larry Hoover.
Folk Nation gang members generally align to the right in dress and symbols. They pre-
fer to use two or more colors to represent their gang, and the way in which the colors are
worn denotes the particular set. The Gangster Disciples like to wear blue and black as their
colors, and their preferred symbol is the six-pointed star representing “King David” (David
Barksdale, 1947–1974), who was one of the founders of the group (Petrone, 1994).
 Gang Investigation ◾ 325

The Folk Nation is involved in political movements as well as criminal acts. Their politi-
cal organization in the Chicago area is called 21st Century VOTE. The Folk are very ter-
ritorial and have been known to engage in turf wars. Membership is largely black and
Hispanic in the Chicago area, but it varies elsewhere. Some Folk sets are highly mobile,
while others have been on the same few blocks for 50 years. Although originating in the
Chicago area, the Folk Nation has spread into over 35 states. They are even beginning to
move to the West Coast in small numbers. They are loose allies with the Los Angeles-based
Crips. Their criminal and political empire is also attempting to expand (Knox, 2006).

PEOPLE NATION
The People Nation is a loose alliance of 28 gangs that originated in Chicago-area jails in
the late 1950s and early 1960s. The People Nation now operates from east of the Rocky
Mountains to the East Coast, although smaller groups are beginning to migrate to the
west coast. The gangs of the People Nation have a paramilitary structure and organization.
Several of the gangs are affiliated with the Nation of Islam religious movement. The People
Nation favors formal constitutions and oaths.
Founder Jeff Fort is credited with uniting the members of 50 Chicago street gangs into
the Black P Stone Nation, which evolved into the People Nation (Knox, 2006). The original
group was ruled by 21 person commission called the Main 21. The largest of these People
Nation gangs are the Black P Stones, Cobra Stone, El Rukn, Gaylords, Latin Counts, Latin
Kings, and Vice Lords. These groups have a multistate presence. Other smaller People
Nation gangs may not have an area of operation that is very far outside of their neighbor-
hood, but they have managed to exist for over 50 years.
A People Nation gang member generally aligns to the left in dress and symbols. Many
of the People Nation gangs use a five-pointed star as a symbol to honor one of the origi-
nal founders, Jeff Fort, who is Muslim. People Nation gangs are identified by the two or
more colors they wear and their arrangement. The El Rukn usually wear black, red, and
green, but sometimes blue and red. The Vice Lords favor black and gold or black and yellow
(Petrone, 1994).
The People Nation is involved in political movements as well as criminal acts. Their
political organization in the Chicago area is known as PUSH. They are very territorial
and engage in turf wars. People Nation members represent a variety of Muslims, black,
Hispanics, and whites. Although originating in the Chicago area, the People Nation has
spread into over 35 states. They are loose allies with the Los Angeles-based bloods. Their
criminal and political empire is also attempting to expand (Knox, 2006).

CHANGING NATURE OF HISPANIC STREET GANGS

Traditional Hispanic street gangs are largely a local affair. They may have existed for gen-
erations, with older members sliding into a less active veterano status. Young people join
the same gangs that their parents or grandparents belonged to. These traditional Hispanic
gangs are extremely territorial and have low mobility from their local barrios. They
326 ◾ Gregg W. Etter

traditionally view themselves as street warriors. The changing nature of the drug wars in
the 1980s and transnationalization of the modern drug trade after the 1990s have caused
massive changes in the traditional local Hispanic gang cultures.
The drug wars of the 1980s brought about a change in the overall patterns of gang
involvement in most communities. Chicago- and Los Angeles-based street gangs began to
expand across the United States. Local gangs were swept up into national gang affiliations
either by choice or by force; thus, many Hispanic gangs became Folk or People, Crips or, to
a lesser extent, Bloods. These gangs became more mobile than their predecessors, leading
to conflict between the Folk Nation and People Nation. It was fueled by immigration issues
when newcomers joined the national affiliates because they might not have been as readily
accepted into local Hispanic gangs.
Bucking this trend are the two rival transnational gangs: the 18th Street gang and the
Mara Salvatrucha 13 (MS-13). Both gangs started in the Rampart District of Los Angeles.
The 18th Street gang was formed in the late 1960s as an outgrowth of the Clanton 14
gang. The subunits of Diesiocho (XV3) are cliques whose membership varies from 50
to 100. The 18th Street gang is estimated to have 15,000 members in the Los Angeles
area alone and 65,000 worldwide. Beginning as a traditional street gang, the 18th Street
gang quickly developed a reputation for being aggressive and violent. The membership
was originally people of Mexican decent; however, as the gang has expanded across the
United States and into Central and South America, other Hispanics, Middle Easterners,
Asians, and Caucasians have been allowed to join in some areas. The 18th Street gang has
an organized hierarchy within each clique, but they have no overall recognized national
or international leadership. Groups do communicate or coordinate with each other. The
18th Street gang has forged alliances with Mexican drug trafficking organizations and
Colombian cartels. They are highly mobile and very adaptive to law enforcement counter-
measures (Walker, 2010).
Their chief rivals are the Mara Salvatrucha 13. The MS-13 gang was started by Salvadorian
refugees in the Rampart section of Los Angeles during the late 1980s as a defense against
established Los Angeles street gangs. MS-13 is active in 42 states and Washington D.C.,
Mexico, Honduras, El Salvador, and Guatemala. The FBI estimates that there are 6000
to 10,000 members in the United States and even more overseas. The MS-13 has adopted
the colors of blue and white, taken from the colors of the national flag of El Salvador.
Membership in the MS-13 was originally restricted to people from El Salvador, Ecuador,
Mexico, Honduras, and Guatemala, but now other Latinos are permitted to join. Spanish is
the primary language used. Ethnicity rather than race is a factor. Ages range from 11 to 40.
Females are permitted to join the MS-13 on the East Coast but not on the West Coast. The
MS-13 has rapidly spread across the United States. When they move into a new area they
are very flashy and wear their colors openly. When police respond, they tone down colors
or use more subtle markings. MS-13 members are very open about the types of crimes they
commit. They adapt quickly and change tactics to meet local needs.
Many of the MS-13 members have had paramilitary training or experience. Machete
attacks by MS-13 members along the East Coast and in Central America have decapitated
many victims. Notes are often left with the bodies of the victims, and fingers are chopped
 Gang Investigation ◾ 327

off the hands of gang rivals. Permission to kill is called a “green light.” MS-13 assassina-
tions have strict rules that call for at least one head shot to the victim. The murder weapon
(usually a gun) is often sent to other cities to be used in another murder.
The MS-13 is organized into cliques that have regular business meetings with agendas,
goals, and reports. Originally, these cliques operated totally independently of one another,
but recent attempts have been made by MS-13 members from the West Coast to become
more formally organized through misas janeras (“conferences”). Their goal is to be the
leading Hispanic gang (Etter, 2010).

SKINHEADS AND OTHER WHITE GANGS

White gangs tend to be local affairs or sets of national gangs. The exception is skinheads.
Skinheads fall into a special category, as their crimes are often more racial or political
than they are economic. With regard to Cloward and Ohlin’s (1960) theory of differen-
tial opportunity, skinheads would fall under retreatism and rebellion. They arrived in
the United States from the United Kingdom in the 1970s and have since spread across
the country. They operate in small groups of 10 to 25 with very little leadership or orga-
nization. Skinheads believe in a leaderless resistance and view themselves as race war-
riors. They often find themselves opposing African American gangs in some jurisdictions
because of their racial beliefs. Although most other gangs ignore the skinheads as being
irrelevant to the big picture of making money, they will sell weapons to them or buy
weapons from them. Skinheads do, however, commit crimes to make money and sup-
port the gang. They have been involved in burglary rings, robberies, and the manufacture
of methamphetamine, among other crimes. Skinheads often ally with other neo-Nazi
groups (Etter, 1999).

ASIAN GANGS
Asian street gangs have existed in the United States since the first rush of Chinese immi-
gration during the gold rush of the 1840s in California (Asbury, 1933). The Asian gangs
have either operated independently (e.g., Oriental Lazy Boys in Wichita) or sought gangs
with a national affiliation (e.g., Asian Boyz Crips). More often they are affiliated or con-
trolled by more traditional Asian organization such as the Triads or Tongs. They have a
formal organizational structure within their groups and are highly mobile. Asian gangs
maintain extensive communications with other Asian gang members and often coordinate
or cooperate in criminal ventures; however, there is no overall leadership structure in the
United States for Asian gangs. Asian street gangs favor bright colors, but they tend to emu-
late their Hispanic or African American counterparts in the neighborhoods they occupy.
One difference is that they will often display a streak of color through their hair when they
are about to engage in some gang activity. This is a custom that has been borrowed from
the Yakuza, a Japanese organized crime group. Specialized crimes of Asian gangs include
arson, auto theft, and home invasions.
328 ◾ Gregg W. Etter

OUTLAW MOTORCYCLE GANGS

Biker gangs, or outlaw motorcycle clubs, began in 1935 in the United States with the Outlaws
Motorcycle Club, but after World War II they expanded rapidly. The International Outlaw
Motorcycle Gang Investigators Association estimated that there are at least 375 Outlaw
motorcycle clubs in the United States and over 100 elsewhere in the world (IOMGIA, 2003),
ranging from fewer than 25 members within a single chapter to several thousand mem-
bers; hundreds of chapters exist worldwide. Many of the smaller outlaw motorcycle clubs
are allied with larger ones for protection or drug distribution.
Biker gangs have a warrior philosophy, and gang members view themselves as road war-
riors. They want to ride free of governmental controls. Bikers reject society and societal
norms. They are proud of their “FTW” philosophy and racist views. A weapons culture
is common. Crimes among outlaw motorcycle gangs are economically motivated. Bikers
are highly mobile; yet, many outlaw motorcycle clubs are highly territorial and enforce
the 100-mile rule, which means that no one can operate within 100 miles of their terri-
tory without obtaining their permission and paying a street tax. At any given time, some
outlaw motorcycle clubs are at war with others. Alliances between the groups often shift as
needed to support the activities of the group. Outlaw motorcycle clubs usually maintain a
strict formal style of organization. Individual clubs or chapters may elect or appoint offi-
cers of the club. Management directives are enforced by a sergeant at arms or an enforcer.
Members pay dues and are required to attend meetings. The membership is all adult males.
The member must own an American-made motorcycle. The biker clubhouse is a place to
meet, train, party, and conduct club business. Admission is by invitation only. Clubhouses
are often fortified and booby-trapped. Electronic security systems are not uncommon.
Weapons are frequently stored there, along with stolen motorcycles.
Outlaw motorcycle clubs engage in crime for economic reasons, often at the wholesale
level of trafficking. Their recent role as methamphetamine producers has been diminished
by the large amounts of Mexican methamphetamine that have become available in the
U.S. market. Some outlaw motorcycle groups (e.g., Banditos, Mongols) have formed alli-
ances with Mexican drug trafficking organizations to transport drugs into and across the
United States. Other clubs (e.g., Hell’s Angels, Pagans, Outlaws) have formed alliances
with Asian Triads and Canadian gangs to transport drugs from Canada into the United
States. The largest outlaw motorcycle groups currently operating in the United States are
the Hell’s Angels, Outlaws, Banditos, Pagans, and the Sons of Silence (Barker, 2007). They
are expanding, but not as fast as some of the Chicago- or Los Angeles-based street gangs.
The biker lifestyle appeals to a small minority of the motorcycle population. They are exhi-
bitionists and truly are the “one percenters” they seek to be.

FEMALE GANGS
Females are the minority in gang life in the United States. Most gangs traditionally only
admit males to full membership; thus, most female gang members in the United States fall
into one of three basic groups:
 Gang Investigation ◾ 329

• Ladies’ auxiliary—Girls hang with male gang members and adopt the identity of
the gang without becoming actual voting members. They may wear the colors of
the gang. This is the traditional role that has often been imposed on females when
male gang members do not let them join the gang as full voting members. This is
changing, especially in the Midwest.
• Hardcore—Girls actually join a specific gang as full voting members with the
approval of male members of the gang. This is becoming more prevalent in some
areas of the Midwest.
• Girl gangs—Girls form their own gangs and engage in criminal activities indepen-
dent of male-dominated gangs.

The most significant difference between male and female gang members is adult gang
membership. Very few of the women continue their membership in the gang when they
become adults. The most common reasons are that they grow out of it, most become moth-
ers, and many realize it is too crazy (Moore and Hagedorn, 2001).
In her research studying female gangs for the Chicago Crime Commission, Lindberg
(1999), found two trends in female gangs. First, it is not as easy now for female gang mem-
bers to go undercover as it used to be. In the past, females were shielded from the high-
profile activities of the gang, such as drive-by shootings or other hits; therefore, rival gang
members did not recognize them when they came into their neighborhood. Because they
are more active in gang activities, the girls are more likely to be recognized by opposing
gang members. Second, because girls are joining gangs at a younger age, many male gang
members fear that the actions of young and undisciplined females may upset the stability
of the street operations or put the gang in imminent danger. These females have a reputa-
tion for overreacting, often violently, to petty or delicate matters without considering the
consequences.

GANG INVESTIGATION TECHNIQUES

By their very nature the investigation of gang crimes is a more complicated task than a nor-
mal criminal investigation. This is because the crimes are committed by groups rather than
by individuals. The complex and interconnected relationships between rival gangs make
any gang investigation or prosecution complicated. The patterns of criminality by gangs
and gang members often mean that today’s “victim” is tomorrow’s perpetrator. Witness
tampering or intimidation is rampant, making prosecutions difficult. Because of this, train-
ing in gangs and gang characteristics is essential for both investigators and prosecutors.

IDENTIFICATION OF GANGS AND GANG MEMBERS

Programs! Programs! You can’t tell the players without a program! Unlike baseball players,
although gang members could arguably be said to wear an identifying uniform of sorts,
their names and numbers are seldom printed on the back of their shirts. Thus, figuring
out who is who and where they belong in a gang investigation is of primary importance.
330 ◾ Gregg W. Etter

How do you identify a gang member? More importantly, how can you prove it in a court
of law? To investigate gang-related crimes it is necessary to identify gang members and
to develop the knowledge base required to understand the complex relationships in an
organized crime or gang crime case in order to develop probable cause in conspiracy and
Racketeer Influenced and Corrupt Organization (RICO) types of investigations. Specific
criteria have been adopted by most law enforcement agencies to document individuals who
are gang members. An example of these criteria is those adopted by the Wichita Police and
the Sedgwick County Sheriff’s Department, which must apply before a suspect can be clas-
sified as a gang member (Etter and Swymeler, 2008):

Note: An individual must meet two (2) of the following criteria to be documented as
a gang member. Same applies to other hate groups.
1. When an individual admits membership to a gang/hate group and displays knowl-
edge of gang activities consistent with such membership
2. When reliable informant identifies an individual as a gang member
3. When an informant of previously untested reliability identifies an individual as a
gang member and it’s corroborated by independent information
4. When an individual resides in or frequents a particular gang’s area and affects
their style or dress, use of jewelry, symbols, or tattoos
5. When an individual who has not been previously identified as a gang member or
hate group member has been arrested several times in the company of identified
gang or hate group members for offenses that are consistent with gang activity
6. When there are strong indications that an individual has a close relationship with
a gang but does not exactly fit the above criteria, in which case he or she shall be
identified as “gang/hate group associate”

Identification of gang members allows investigators to make associations with groups

and to identify the relationships between gangs, which are so essential to successful
gang investigations. This is critical in developing suspects in multi-perpetrator crimes.
Information must be obtained in a legal fashion. Most agencies have developed policies
and procedures to cover how gang intelligence information can be obtained, how credit-
ability of information is determined, how it must be stored, and who has access to this
information. Gang investigators should be trained or familiar with the gang dynamics,
characteristics, and traits in their city and surrounding cities.

INVESTIGATION OF A GANG CRIME

The problem with a gang crime is that it is usually a group offense. We are not looking for
one suspect who beat up the victim; instead, we are looking for six guys basically wearing
the same clothes, and they all beat up the victim. Multiple suspects are a fact of life in the
investigation of a gang crime. Physical evidence is needed to corroborate the statements of
witnesses and victims. Anderson et al. (2009) pointed out some things that a crime scene
investigator must look for when investigating a gang crime:
 Gang Investigation ◾ 331

• Were multiple weapons involved? Indications would include different caliber bul-
let casings or projectiles found at the crime scene, different types of weapons left at
the crime scene, or multiple wounds on the victim.
• Does the physical evidence, such as fingerprints, blood, or DNA, indicate that
more than one person was involved?
• Was anything left behind at the crime scene that might indicate group behavior
(e.g., clothing, notes, multiple vehicles)?
• Is any security video available at or near the crime scene that might have captured
the suspects?
• Did fresh graffiti appear in the area either before or after the crime?
• Was the victim a gang member? On what do you base your findings (see above
sample gang criteria)?

When developing their criminal case, the investigator should look for signs of gang
behavior, such as other gang members being present and either backing up the assailant or
apparently witnessing the crime. These other gang members might have prevented others
from interfering while the crime was being committed. Members of the gang often say or
yell the gang’s name during the commission of the crime or throw hand signs that repre-
sent the gang. Gang members often position a lookout to watch for the police or other rival
gangs and alert the others when these dangers present themselves. Cars are an important
part of gang crimes. Stealing a car and driving that car to commit a crime such as a drive-
by is an important element of the crime. Identification of the driver can lead to arrests
of the rest of the group. Another important piece of solving the crime puzzle is finding
out who obtained or was holding the weapon. Weapons are often acquired for the pur-
pose of committing a crime, and finding out where the gun came from or went is crucial
(Anderson et al., 2009).
When interviewing witnesses, the investigator should determine the number of sus-
pects, their descriptions, and the specific actions of each suspect. Did the suspects arrive
or leave together? Were the suspects wearing the same types or colors of clothing? Were
gang signs thrown or a gang name mentioned? How did the suspects interact together (e.g.,
were directions or orders being given, was there a lookout)? Did multiple people participate
in the crime? Witnesses should be separated and witness statements should be gathered
immediately before the witnesses can be contaminated by group discussion of the events
or be forced to recant their statements by gang members or their associates (Anderson et
al., 2009).

ANTI-GANG TACTICS
Anti-gang tactics that have proven effective in some jurisdictions include warrant round-
ups, which can take large numbers of gang members off of the streets. Coordination with
parole and probation authorities provides good intelligence, and association with a known
gang member can be a cause of a parole violation for a parolee or probationer. Intensive
patrol in open-air drug markets or high crime areas does not totally stop all gang crime,
332 ◾ Gregg W. Etter

but it suppresses it and makes it difficult for the drug dealers to do business. Closing off
streets by means of simple barricades has worked to restrict access to certain areas and
reduce drive-bys or getaways in high crime areas.

ANTI-GANG LEGISLATION
Most states have statues defining what is a gang. A typical gang definition statute is that of
the Commonwealth of Virginia:

§18.2-46.1. Definitions.
As used in this article unless the context requires otherwise or it is otherwise
provided:
“Act of violence” means those felony offenses described in subsection A of
§19.2‑297.1.
“Criminal street gang” means any ongoing organization, association, or group of
three or more persons, whether formal or informal, (i) which has as one of its pri-
mary objectives or activities the commission of one or more criminal activities;
(ii) which has an identifiable name or identifying sign or symbol; and (iii) whose
members individually or collectively have engaged in the commission of, attempt
to commit, conspiracy to commit, or solicitation of two or more predicate criminal
acts, at least one of which is an act of violence, provided such acts were not part of a
common act or transaction.

Many states prohibit membership in a gang, but statutes such as this can face constitutional
challenges (Anderson et al., 2009). Many states allow gang crime or gang membership to
be used as a sentence enhancer when gang membership is a factor in the crime. Some cit-
ies have passed municipal ordinances against gangs or gang activities. These criminal laws
have had mixed results. Research has shown that the statutes are not used uniformly, and
many have faced legal challenges (VA DCJS, 2008)
In order to combat street gang members standing around on street corners and creating
open-air drug markets, the City of Chicago passed an anti-loitering ordinance that defined
loitering as “remaining in one place without any apparent purpose.” It allowed Chicago
police officers to order individuals to move or be arrested. From 1992 to 1995, 43,000 peo-
ple were arrested based on this ordinance; however, the Supreme Court found that the
ordinance was unconstitutionally vague and struck it down in 1999 (City of Chicago v.
Jesus Morales, 1999).
The state of California has adopted the unique tactic of suing the various gangs and
obtaining civil court injunctions to prohibit the gang or members of the gang to be at a
certain street corner or other specific location. Gang members who show up at the pro-
hibited site may by cited for contempt of court. This legal tactic has met with some limited
success.
 Gang Investigation ◾ 333

QUESTIONS FOR DISCUSSION

1. What are the primary crimes that gangs commit to make money?
2. Explain how gangs protect themselves from infiltration by the police and rival
gangs.
3. Explain the three primary type of gang initiation rites.
4. What are the two primary groups that Chicago-based street gangs divide them-
selves into?
5. How has the nature of Hispanic gangs changed over the past 20 years?
6. Explain how female gang members are different from males in their gang
activities.
7. Describe how gang crimes are different from other crimes.
8. Explain how a gang member is identified by law enforcement.
9. Describe an effective anti-gang tactic used by law enforcement.
10. Are anti-gang laws effective? Why or why not?

BIBLIOGRAPHY
Anderson, J., Nye, M., Freitas, R., and Wolf, J. (2009). Gang Prosecution Manual. Washington, D.C.:
Office of Juvenile Justice and Delinquency Prevention, U.S. Department of Justice.
Arlacchi, P. (1987). Mafia Business: The Mafia Ethnic and the Spirit of Capitalism. London: Verso.
Asbury, H. (1927). The Gangs of New York: An Informal History of the New York Underworld. New
York: Old Town Books.
Asbury, H. (1933). The Barbary Coast: An Informal History of the San Francisco Underworld. New
York: Garden City Publishing.
Barker, T. (2007). Biker Gangs and Organized Crime. Newark, NJ: Lexis Nexis.
City of Chicago v. Jesus Morales, 527 U.S. 41 (1999).
Cloward, R. and Ohlin, L. (1960). Delinquency and Opportunity: A Theory of Delinquent Gangs. New
York: The Free Press.
Elder, A. (1997). Inside Gang Society: How Gang Members Imitate Legitimate Social Forms. Journal
of Gang Crime Research, 3(4):1–12.
Etter, G. (1998). Common Characteristics of Gangs: Examining the Cultures of the New Urban
Tribes. Journal of Gang Research, 5(2):19–33.
Etter, G. (1999). Skinheads: Manifestations of the Warrior Culture of the New Urban Tribes. Journal
of Gang Research, 6(3):9–23.
Etter, G. (2010). Mara Salvatrucha 13: A Transnational Threat. Journal of Gang Research. 17(2):1–17.
Etter, G. and Swymeler, W. (2008). Examining the Demographics of Street Gangs in Wichita, Kansas.
Journal of Gang Research, 16(1):1–12.
FBI. (2008). The MS-13 Threat: A National Assessment. Washington, D.C.: Federal Bureau of
Investigation (http://www.fbi.gov/page2/jan08/ms13_011408.html).
Fried, M. (1975). The Notion of Tribe. Menlo Park, CA: Cummings.
Gage, N. (1971). The Mafia Is Not an Equal Opportunity Employer. New York: McGraw-Hill.
Holmes, L. (1971). Anthropology: An Introduction, 2nd ed. New York: Ronald Press.
IOMGIA. (2003). Proceedings of the 29th Annual International Outlaw Motorcycle Gang Investigators
Association Conference, Scottsdale, AZ, September.
Jackson, R. and McBride, W. (1986). Understanding Street Gangs. Placerville, CA: Custom
Publishing.
334 ◾ Gregg W. Etter

Knox, G. (2006). An Introduction to Gangs, 6th ed. Peotone, IL: New Chicago School Press.
Lindberg, K. (1999). Girls in Gangs: The Girls Behind the Boys. Chicago, IL: Chicago Crime
Commission.
Miranda v. Arizona, 384 U.S. 436 (1966).
Moore, J. and Hagedorn, J. (2001). Female Gangs: A Focus on Research. Juvenile Justice Bulletin,
March, pp. 1–11.
Nadel, B. (1996). NYC DOC Slashes Gang Violence. Corrections Forum, 5(9).
Padilla, F. (1993). The Gang as an American Enterprise. New Brunswick, NJ: Rutgers University
Press.
Petrone, F. (1994). The Street Gang Identification Manual. Elgin, IL: Gang Prevention, Inc.
Strandberg, K. (1997). Money Laundering. Law Enforcement Technology, 24(7):28–33.
Thrasher, F. (1936). The Gang: A Study of 1,313 Gangs in Chicago, 2nd ed. Chicago, IL: University of
Chicago Press.
VA DCJS. (2008). Use of Anti-Gang Statutes Contained in the Code of Virginia. Richmond, VA:
Department of Criminal Justice Services.
Walker, R. (2010). 18th Street Gang: An Aggressive and Violent Criminal Street Gang, Robert Walker’s
Gangs OR Us, http://www.gangsorus.com/18th_street.htm.
Yablonsky, L. (1962). The Violent Gang. New York: Macmillan.
 6
Putting It All Together

Chapter 19 ■ Legal Issues in Criminal Investigations

Chapter 20 ■ Preparing the Case for Court

335
 Chapter 19

Legal Issues in
Criminal Investigations
Frank DiMarino
Kaplan University

CHAPTER OBJECTIVES
After reading this chapter, you should be able to understand the following:
1. Criminal laws are part of broad penal codes enacted by state legislatures or
the U.S. Congress.
2. Because states enact comprehensive penal codes that define crimes and estab-
lish penalties, different behaviors may be treated as crimes in one state but
not in another.
3. Public perception about criminal behavior changes over time, so what con-
duct is considered to be a crime may also change.
4. Criminal statutes define what constitutes a crime by defining the crime
through the use of elements or components of a criminal offense.
5. Criminal statutes must be sufficiently specific so persons of ordinary intel-
ligence have fair notice that the contemplated conduct is forbidden by the
statute.
6. The punishment for felony offenses includes possible sentences of more than
a year in confinement.
7. A grand jury must determine whether probable cause exists that a crime was
committed and that the defendant committed the crime before a defendant
can be charged with a felony.
8. Misdemeanors are lesser offenses that include a possible sentence of no more
than a year or less of incarceration.
9. Police officers are entitled to arrest individuals for misdemeanors, even for
seat belt violations, committed in their presence.

337
338 ◾ Frank DiMarino

10. First responders to a crime scene must be aware that the initial crime scene
investigation can be pivotal to discovering the identity of the perpetrator and
gathering crucial evidence.
11. Processing a crime scene includes marking the location of the evidence,
sketching and photographing the scene, measuring relevant distances, tak-
ing investigative notes, and collecting the evidence.
12. The collection of fungible evidence, such as drugs, money, certain weapons,
and contraband, must be marked and accounted for with a chain-of-custody
document to protect the integrity of the evidence.
13. An arrest warrant protects an individual from an unreasonable seizure and
may only be issued upon a showing of probable cause to believe a suspect is
committing or has committed an offense.
14. The exclusionary rule renders evidence that has been unlawfully obtained
inadmissible at trial.
15. The judge decides whether any of the evidence that the parties want to use is
illegal or improper.
16. Probable cause may be based upon information shared among law enforce-
ment agencies, crime databases, and observations made by investigators.
17. A police officer may arrest without a warrant provided that a felony or a mis-
demeanor is committed in the officer’s presence.
18. During an investigatory stop, police officers are permitted to frisk the person
for weapons provided that the officers have an articulable, reasonable suspi-
cion and that the officers are acting to protect their safety.
19. Criminal profiles may be used as the basis to conduct an investigatory stop.
20. Probable cause to search is a finding that there is a fair probability that evi-
dence of a crime or fruits of a crime will be found in a particular location.
21. Facts within an affidavit that are considered “stale” cannot be used to sup-
port a probable cause determination.
22. Before entering a private residence, police officers must abide by their state’s
“knock and announce” statutes.
23. Exigent circumstances, such as the hot pursuit of a suspect, may justify a
warrantless search.
24. A prosecutor has special ethical obligations in criminal cases.
25. If contraband or evidence of a crime is found during an inventory search,
that evidence may be seized.
26. A prosecutor must disclose to the defense any exculpatory evidence and evi-
dence that may be used to attack the credibility of a witness.
27. A prosecutor must seek justice in each case, which may include dismissing
charges when the evidence is insufficient to convict.
28. A defendant who is unable to afford a lawyer to represent him at trial may
have a court-appointed lawyer.
 Legal Issues in Criminal Investigations ◾ 339

Chapter Outline
• Introduction
• Criminal Law
• Felonies
• Misdemeanors
• Legal Considerations and the Crime Scene
• Arrest
• Search and Seizure
• Criminal Procedure

INTRODUCTION
This chapter describes the substantive and procedural laws that govern criminal prosecu-
tions from the crime scene investigation through to the verdict rendered by a jury. The
formation of substantive criminal law—the standards that apply to behavior and conduct
within a society and the punishments attached to violations of those standards—is con-
trolled by statutes enacted by the U.S. Congress and state legislatures. Criminal offenses
are divided into two major classifications: felonies and misdemeanors. Felonies are offenses
where the punishment exceeds one year of incarceration and misdemeanors are lesser
offenses where the defendant can be sentenced to a year or less in jail.
Knowledge of legal requirements and standards that apply to the collection and pres-
ervation of evidence is necessary so the integrity of the crime scene is preserved and evi-
dence can be admissible as exhibits during a trial. The protection of a crime scene and
the comprehensive documentation of investigative activity and observations are crucial
to apprehending suspects and bringing them to justice. An accurate chain of custody that
documents the transporting and handling of evidence ensures that evidence is properly
stored and analyzed so it can be relied upon during a criminal prosecution.
The arrest of an individual represents one of the most controlling interactions between
the police and society. The Fourth Amendment to the U.S. Constitution requires that all
arrests be made in accordance with a warrant supported by probable cause. Probable cause
to arrest can be based on numerous factors, especially in light of technological improve-
ments in the sharing of criminal information among law enforcement agencies. Exceptions
to the warrant requirement include when it is impractical to get a warrant because of poten-
tial harm to society or in cases where the defendant may flee. Less intrusive than an arrest
are police encounters where persons are stopped based on the reasonable suspicion by the
police that criminal activity is afoot. Such a stop is of limited duration, and police are
allowed to question the suspect, frisk the suspect to avoid harm to the police, and detain
the suspect until the suspicion is dispelled.
Searches for evidence often provide productive opportunities to further the criminal
investigation and to gather information to support a criminal prosecution. The Fourth
Amendment also mandates that a search be conducted only with a warrant that is supported
340 ◾ Frank DiMarino

by probable cause. Although there are exceptions to this warrant requirement based on
exigent circumstances, such exceptions are narrowly interpreted, and they must not be the
result of police conduct that has contributed to creating the exigent circumstances.
Rules of criminal procedure govern the conduct of criminal prosecutions and affect the
manner of criminal investigations; for example, custodial interrogations require that spe-
cific constitutional warnings be provided to a suspect or incriminating statements could be
excluded from trial. Likewise, a criminal defendant is afforded representation by counsel
at all critical stages of a prosecution. The criminal investigator must diligently follow the
rules of criminal procedure to ensure that evidence is gathered lawfully and that its later
use and effectiveness at trial are not compromised.

CRIMINAL LAW
The body of law that sets forth offenses and penalties for violations is known as crimi-
nal law. As lawmakers, legislators consider societal customs and behaviors and enact laws
that prohibit certain activities, such as theft, or mandate that certain activities take place
under penalty of law, such as paying taxes. Common law principles that emanated from
18th-century English law form the foundation of many criminal laws such as addressing
theft, murder, and burglary. Currently, many criminal laws are part of broad penal codes
enacted by state legislatures or the U.S. Congress. Generally, criminal behavior can be
divided into two categories. First, malum in se crimes are those offenses that are inherently
bad; these crimes include, for example, murder, rape, assault, and robbery. Second, malum
prohibitum crimes are those crimes that are not inherently wrong but instead are made a
crime because of legislative action. Such crimes are against public policy and include, for
example, failure to file income tax returns, false reports of crimes, drinking in a public
place, and speeding.
Most states enact a comprehensive penal code that defines crimes and establishes maxi-
mum penalties for violations. The Texas Penal Code, for example, was written to establish a
complete “system of prohibitions, penalties, and correctional measures to deal with conduct
that unjustifiably and inexcusably causes or threatens harm to those individual or public
interests for which state protection is appropriate.” The Texas code defines such crimes as
assault, murder, robbery, arson, money laundering, theft, sexual assault, and fraud.
Because states are able to enact their own criminal laws, different behaviors may be
treated as crimes in one state but not in another; for example, the sale of alcoholic bever-
ages is not permitted on Sundays in some states, but other states place few or no restric-
tions on the sale of alcohol. State legislators, as the representatives of citizens within a state,
are empowered to enact laws that reflect what they believe society deems is acceptable and
unacceptable conduct. Although legislatures take into account the public perception of
crime, it is important to note that public perception tends to change over time and among
regions, so what is considered a crime may also similarly change over time.
The Federal Criminal Code as enacted by Congress is contained in several titles or major
sections. Title 18 defines many crimes that are often used by prosecutors and investigators
in bringing federal charges, including the interstate transportation of stolen property, wire
 Legal Issues in Criminal Investigations ◾ 341

fraud, bank fraud, and embezzlement of funds from a federally insured bank. Title 26
defines most crimes related to tax violations, such as income tax evasion and failures to
pay tax.
The criminal justice system in America relies upon the enforcement of criminal laws
and following procedural rules relating to the investigation and prosecution of a crimi-
nal case. Substantive criminal laws generally define what acts constitute crimes. Statutes
specify the elements of each crime. The elements of the offenses are the component parts of
the criminal act that must be proven beyond a reasonable doubt by the government during
a prosecution.
Wisconsin Statute 943.10 specifies that a burglary occurs when any person intentionally
enters any room within or any structure used as a building or dwelling, an enclosed railroad
car, an enclosed portion of any ship or vessel, a locked enclosed cargo portion of a truck or
trailer, a motor home or other motorized type of home, or a trailer home, whether or not any
person is living in any such home, with intent to steal or commit a felony therein and with-
out consent of the person in lawful possession. The elements of burglary are (1) intentional
entry; (2) of any building, dwelling, or other specified area; (3) with intent to steal or commit
felony; and (4) without permission.
Criminal statutes must be sufficiently specific such that prosecutors and investigators will
not broadly interpret them and prosecute individuals for criminal acts not contemplated
by the legislatures. In 1972, the Supreme Court decided the significant case Papachristou
v. City of Jacksonville, which concerned the interpretation of criminal statutes. The Court
considered a vagrancy statute that provided criminal penalties for “common night walkers,
… persons wandering or strolling around from place to place without any lawful purpose
or object, habitual loafers, … persons … frequenting … places where alcoholic beverages
are sold or served, persons able to work but habitually living upon the earnings of their
wives or minor children.” Upon the arrest of eight defendants for what was argued to be
seemingly innocent conduct, the Court determined that this vagrancy statute was void
for vagueness. In other words, the statute on its face, “fail[ed] to give a person of ordi-
nary intelligence fair notice that his contemplated conduct is forbidden by the statute.” The
Court concluded that the statute encouraged arbitrary and erratic arrests and convictions
by giving almost unfettered discretion to the police. Without specific standards governing
the exercise of police discretion, the statute became a convenient tool for “harsh and dis-
criminatory enforcement by local prosecuting officials, against particular groups deemed
to merit their displeasure.”

FELONIES
A felony offense is defined as a crime that carries a punishment of more than a year of
incarceration. The investigation of felony offenses is treated as a priority for most investiga-
tive agencies, and more resources are devoted to the investigation of felony crimes. Felonies
include such crimes as robbery, rape, murder, identity theft, bank fraud, bribery, insurance
fraud, and money laundering. The investigation of felonies generally involves more inves-
tigative resources than minor offenses because of the more complex nature of the crime,
342 ◾ Frank DiMarino

the greater harm to the victim, and the deleterious impact upon society. Consequently, the
punishment that a judge imposes on an offender who has committed a felony may also be
more severe.
The Fifth Amendment to the U.S. Constitution requires that all felony cases be indicted
by a grand jury. This means that a prosecutor must establish that it is more probable than
not that a felony has been committed and that the defendant committed the felony. The
standards that a grand jury employs to decide the cases before them are not as stringent as
at trial; for example, the grand jury may consider hearsay evidence, but a trial jury may not
unless the evidence is covered by an exception provided for in the rules of evidence. Also,
the trial jury must use the standard of beyond a reasonable doubt to determine guilt, but
the grand jury uses the probable cause standard to indict.
Generally speaking, in about 90% of the felony cases, the defendant pleads guilty rather
than exercising his or her right to a trial before a jury. Often, a guilty plea is the result of
dropping a charge or otherwise limiting the amount of incarceration or other punishment
that a defendant would have to endure. Such plea bargaining has its critics, as defendants
usually do not have the same bargaining influence as the government. On the other hand,
plea bargaining does result in efficiently disposing of the charges through a conviction and
frees up limited criminal justice resources to try other cases. The conviction of a felony car-
ries the loss of certain civil rights, such as the right to vote, serve on juries, obtain certain
professional licenses, or receive specified governmental benefits.

MISDEMEANORS
A misdemeanor is a crime less serious than a felony and carries a maximum penalty of one
year or less in confinement. Misdemeanors include such crimes as shoplifting, disorderly
conduct, vandalism, trespass, and public intoxication. A misdemeanor is charged by a for-
mal accusation made in a charging document by a prosecutor. A grand jury does not con-
sider the charging of misdemeanors. Misdemeanors committed in the presence of a police
officer may justify an arrest without securing a warrant. In Atwater v. City of Lago Vista
(2001), the Supreme Court held that a police officer could arrest the driver of a vehicle for a
seat belt violation, even though the arrestee was a mother with a child in the back seat of the
car, because officers may arrest for misdemeanors committed in their presence. Similarly,
in Virginia v. Moore (2008), the Court upheld a warrantless arrest for driving with a sus-
pended license despite a state law requiring that the defendant appear pursuant to a sum-
mons because police officers may arrest for misdemeanors committed in their presence. An
offense occurs in the “presence” of an officer when the arresting officer, with the aid of all his
senses, such as sight, smell, and hearing, determines that an offense is being committed.

LEGAL CONSIDERATIONS AND THE CRIME SCENE

As former U.S. Attorney General Janet Reno recognized, “Actions taken at the outset
of an investigation at a crime scene can play a pivotal role in the resolution of a case.
Careful, thorough investigation is key to ensure that potential physical evidence is not
 Legal Issues in Criminal Investigations ◾ 343

tainted or destroyed or potential witnesses overlooked.” The first responder to a crime

scene must be aware that the crime scene will have present the most productive evidence
when the first responder arrives. The suspect may still be in the area. Physical evidence,
such as clothing, weapons, casings or shells, fingerprints, toolmarks, residue, fluids, foot-
prints, tire marks, and fibers may all be present when law enforcement authorities first
arrive but may vanish due to inclement weather, the actions of the victim, or the conduct
of bystanders. If the crime scene is not properly protected, witnesses to the crime may
leave the area without being identified. The first responder must not only protect others
from injury or loss of life but also control the crime scene so that the area is protected,
evidence is collected and preserved, and destruction and contamination of evidence are
minimized. Quick action in light of an understanding of criminal investigations may
mean the difference between finding crucial evidence or losing evidence that could lead
to a successful prosecution.
First aid to any victims and evacuation to a medical facility take priority over control-
ling a crime scene. Similarly, examinations at the scene by a medical doctor of any deceased
victim also have priority.
Nonetheless, appropriate actions must be taken to preserve the integrity of the scene
by isolating and controlling the scene. The boundaries of a crime scene must be identi-
fied, established, protected, and secured by diligent police officers. Proper security must be
implemented so evidence is not altered, rearranged, destroyed, lost, concealed, or removed
without authority. Police can secure a crime scene by roping off the area and patrolling its
boundaries.
Protection and control of a crime scene continue until investigators have thoroughly
processed and released the scene from police control. Processing the crime scene includes
marking the location of evidence, sketching the scene and location of the evidence, pho-
tographing the crime scene, measuring relevant distances, completing investigative notes,
collecting and cataloguing the evidence, and transporting the evidence.
The police officer who responds to a crime scene should take the following actions:

1. Provide needed medical attention.

2. Record the location, date, time of arrival, and weather conditions.
3. Try to identify the suspect and apprehend if in the vicinity or contact supervisor
so appropriate bulletins can be issued.
4. Call for more officers so the scene can be adequately protected.
5. Protect any evidence that may be destroyed by placing boxes or other appropriate
covering over the evidence.
6. Identify victims, witnesses, and suspects; take note of their names, addresses,
phone numbers, and other relevant information.
7. Prepare investigative notes that include a description of the scene, including odors,
openings, lighting, and other observations.

The priority of these actions depends on the nature of the crime scene and circumstances
of the offense.
344 ◾ Frank DiMarino

The collection of evidence and reporting of investigative activity must be trustworthy

and complete so they can be appropriately considered at a criminal trial that may take
place months or even years after the crime is committed. Photographs and sketches are
usually important exhibits at trial. Likewise, the collection of fungible evidence such as
drugs, money, weapons, and other items must be sufficiently marked as evidence, recorded
in an evidence log, and properly controlled with a chain-of-custody document so the evi-
dence can be readily admissible at trial. Evidence must be collected, preserved, invento-
ried, packaged, transported, and submitted to the lab or evidence custodian in accordance
with the department’s standard operating procedures to ensure the integrity of each piece
of evidence to serve as a later trial exhibit if necessary.

ARREST
The Fourth Amendment of the U.S. Constitution sets forth the controlling standard for
arrests made by law enforcement officers. The Fourth Amendment states: “The right of
the people to be secure in their persons, houses, papers, and effects, against unreasonable
searches and seizures, shall not be violated, and no Warrants shall issue, but upon prob-
able cause, supported by Oath or affirmation, and particularly describing the place to be
searched, and the persons or things to be seized.” An arrest warrant protects an individual
from an unreasonable seizure and may only be issued by a judicial officer with probable
cause, based on an affidavit, to believe the arrestee is committing or has committed an
offense. In Johnson v. United States (1948), the Supreme Court stated:

The point of the Fourth Amendment … is not that it denies law enforcement the sup-
port of the usual inferences which reasonable men draw from evidence. Its protec-
tion consists in requiring that those inferences be drawn by a neutral and detached
magistrate instead of being judged by the officer engaged in the often competitive
enterprise of ferreting out crime.

For violations of the Fourth Amendment, a criminal procedure doctrine known as the
exclusionary rule renders evidence gathered during an “unreasonable” search or arrest
inadmissible at trial. The Fourth Amendment thus guarantees both a substantive right and
procedural protection for criminal defendants.

PROBABLE CAUSE TO ARREST

The judicial officer authorizing the warrant must consider the facts and circumstances
presented in the warrant application and affidavit in a practical, common-sense manner.
The factual statements in the affidavit of the officer requesting the warrant must provide a
“substantial basis” for the probable cause determination that a crime has been committed
and who the perpetrator is. The facts stated in the affidavit must be current and recent;
they must not be stale. The warrant itself must describe with particularity the person to be
arrested and the crime alleged to have been committed. Generally, reviewing courts give
great deference to a judicial officer’s decision to issue a warrant.
 Legal Issues in Criminal Investigations ◾ 345

The standard of probable cause may be satisfied by relying upon numerous facts and cir-
cumstances learned through a criminal investigation. First, probable cause may be based
on the direct observations of the officer; for example, the officer may observe a criminal
offense or suspicious activity and report the events observed in an affidavit to support a
warrant. Police may also draw conclusions about criminal activity based on their experi-
ence and special training regarding suspicious behaviors that are not, at first take, appar-
ently criminal.
Second, probable cause may be based on information or evidence obtained during an
investigative detention or a “Terry stop.” The Terry stop is described in more detail in the
section on investigatory stops and reasonable suspicion. The purpose of this type of police
encounter is to resolve a reasonable suspicion that a law enforcement officer may have
about criminal activity that may be occurring or is about to occur. During a Terry stop, the
officer may conduct a pat-down or a frisk to protect his safety or public safety. This limited
pat-down may result in the officer discovering contraband that could be used to establish
probable cause to arrest; for example, during a Terry stop, a police officer may frisk a sus-
pect because a bulge in the suspect’s pants pocket could be a concealed pistol. During such
a pat-down, the officer may find illegal drugs in the suspect’s pocket that could be used to
establish probable cause for a drug arrest. Evidence that is in plain view or obtained from
a consensual search may also establish probable cause to arrest.
Third, probable cause may be based on information provided by an informant who has
a proven track record of reliability. (Of course, reliable information from an informant
may also create reasonable suspicion and justify an investigatory stop.) The reliability of an
informant’s tip is evaluated on a sliding scale. Increased corroboration will be necessary
before acting on a tip from an informant who is of uncertain or unknown trustworthiness.
On the other hand, less corroboration may suffice if the information is from a known pre-
viously reliable source. To properly assess the reliability of an informant’s knowledge, an
investigating officer should obtain as much detailed information concerning two specific
areas. First, how did the informant obtain the information about the specific criminal
activity? Did the informant learn of the information through personal observation, hear-
say from acquaintances, direct conversation with the suspects, or some combination of
these? Second, why should the police officer believe the informant? Has the informant been
reliable in the past so the informant has a proven track record or are there independent cir-
cumstances that corroborate the informant’s knowledge that render the informant’s state-
ments trustworthy?
Fourth, probable cause may exist based on information provided by other law enforce-
ment sources. Law enforcement agencies may share information that cumulatively may
amount to probable cause to identify the perpetrator and the offense. Federal, state, and
local agencies are sharing more information regarding criminal activities by participat-
ing in joint task forces, regional fusion centers, and special crime prevention initiatives.
Additionally, crime databases such as the U.S. Department of Treasury’s Financial Crimes
Enforcement Network (FinCEN) stores and evaluates financial transaction information to
aid law enforcement in the investigation of money laundering, bank fraud, terrorist financ-
ing, and other financial crimes. These sources, taken together with other investigative
346 ◾ Frank DiMarino

activity, may aid in establishing probable cause. Notably, probable cause cannot be estab-
lished through information based on mere suspicion received from an anonymous source.
The Supreme Court decided in Florida v. J.L. (2000) that an anonymous tip that a person
carrying a gun, without more, does not give rise to probable cause that a crime was com-
mitted or even reasonable suspicion to justify an investigatory stop and frisk. For a tip to be
considered sufficient to amount to a reasonable suspicion or probable cause, it must come
from a source with demonstrated reliability.

ARRESTS CONDUCTED AT PRIVATE BUILDINGS

If the arrest is to occur on premises that are owned by a third party such as a parent,
friend, or acquaintance of the suspect to be arrested, the arrest warrant alone does not
grant authority to the arresting officer to enter the private building to make the arrest.
Instead, to enter the premises legitimately, the arresting officer must have an independent
legal justification. Specifically, the arresting officer must have a search warrant, the owner’s
consent, or exigent circumstances to lawfully enter the premises to make the arrest. Exigent
circumstances include such situations that would lead a reasonable person to believe that,
unless an entry into the premises and an arrest are made immediately, the suspect may flee,
destroy evidence, or continue in violent criminal activity.

WARRANTLESS ARRESTS
For an arrest to occur legitimately, it must be pursuant to a warrant or based on an autho-
rized exception to the warrant requirement of the Fourth Amendment; for example, under
common law, a law enforcement officer may arrest without a warrant a person for any
felony committed in the officer’s presence. Some states have codified this common law
principle to give statutory authority to officers (and, in some cases, other persons) to make
an arrest for felonies committed in their presence. Section 2935.04 of the Ohio Revised
Code on Criminal Procedure, a statute effective for over a half a century, provides that,
“When a felony has been committed, or there is reasonable ground to believe that a felony
has been committed, any person without a warrant may arrest another whom he has rea-
sonable cause to believe is guilty of the offense, and detain him until a warrant can be
obtained.” After making a warrantless arrest, an officer must promptly secure a judicial
determination of probable cause. Obviously, a considerable amount of risk to the officer
and to third parties accompanies an arrest. To promote officer safety, an officer should
restrain the arrestee as soon as possible so the arrestee cannot flee or inflict harm. Second,
the officer should search the arrestee for weapons and any contraband. The search should
include the arrestee’s clothing, bags, containers, and other items within the arrestee’s reach
and control. Third, the officer should conduct a protective sweep of the immediate area of
the arrest to ensure that weapons or other armed persons are not present; for example, if an
arrest occurs in a two bedroom apartment, an officer is justified to look in each bedroom
and other rooms, including the closets, to ensure that an armed person is not present in the
apartment that may harm the officers.
 Legal Issues in Criminal Investigations ◾ 347

CUSTODIAL INTERROGATION
After a person is apprehended and before any questioning occurs, the arrestee should
receive his Miranda warnings. In Miranda v. Arizona (1966), the Supreme Court held that
no confession is admissible that is obtained through custodial interrogation unless the sus-
pect is first advised of his Fifth Amendment rights. To comply with the Miranda decision,
a suspect needs to be informed of the following: (1) He or she has the right to remain silent,
(2) anything that is said may be used against him or her in court, (3) he or she has the right
to consult with an attorney and to have an attorney present during questioning, and (4) if
he or she cannot afford an attorney, one will be appointed. Providing an oral and written
advisement of these rights, along with a signed waiver from the suspect, significantly con-
tributes to the admissibility of any confession that a suspect may provide and rebuts any
claim of compelled self-incrimination.

INVESTIGATORY STOPS AND REASONABLE SUSPICION

It is important to realize that not all encounters between law enforcement and individu-
als arise to the level of an arrest; for example, in Terry v. Ohio (1968), the Supreme Court
decided that police are authorized to stop a person for a limited time, ask for identifica-
tion, ask questions about what they are doing, and, to ensure that the officer’s safety is
protected, conduct a pat-down and a frisk. The range of permissible police activities must
be reasonably related to the original purpose for the stop. For this brief encounter to occur
legitimately, a police officer must only have a reasonable suspicion that criminal activity is
afoot rather than satisfying the higher standard of probable cause.
To satisfy the reasonable suspicion standard to conduct an investigatory stop, an officer
must have a reasonable, objective, and articulable suspicion, based on the “totality of cir-
cumstances,” that a person is engaged in criminal activity. Mere hunches or generalized sus-
picions are insufficient. The police officer must be able to articulate objective reasons why he
believed criminal activity was occurring; an officer’s subjective intentions are not relevant.
To find a reasonable suspicion, courts rely on a police officer’s personal observations and
the officer’s knowledge that a crime has been committed. Reasonable suspicion may arise
based on an officer’s observation of several seemingly innocent activities, such as two men
at night walking back and forth on a sidewalk and stopping and talking in front of a jew-
elry store, that may cumulatively create reasonable suspicion. Courts are willing to defer
to the observations and conclusions of the police. It is understood that an experienced
officer can infer criminal activity from conduct that seems innocuous or innocent to a lay
observer. Flight from the police may trigger reasonable suspicion; for example, in a high
crime area, a person’s unprovoked flight upon seeing the police can justify an investigatory
stop. Importantly, however, a generalized suspicion of criminal activity based solely on
race does not justify an investigatory stop.
When an officer holds a person beyond the amount of time necessary to accomplish the
purpose of the stop, the stop rises to the level of an arrest that must be supported by prob-
able cause. There is no bright-line rule to define when an investigatory stop transforms into
348 ◾ Frank DiMarino

an arrest. Instead, on a case-by-case basis, courts consider the diligence of police in speed-
ily resolving their reasonable suspicion, the nature of any physical restraints or commands
placed on a suspect’s liberty, and whether the police removed the individual to another
location. Courts use a balancing test between the limitations placed on a person’s liberty
and the need to protect the safety of the police officer and the public.
As mentioned, under Terry v. Ohio, during an investigatory stop, if the officer reason-
ably believes his safety or public safety is at risk, he may pat-down or frisk a suspect’s outer
clothing. The frisk should be limited to a search for weapons and may not be used as a
subterfuge to search for evidence of criminal activity.

CRIMINAL PROFILES
Law enforcement officers frequently use drug courier profiles as a means to halt drug
trafficking and possession. These profiles are based on an accumulation of law enforce-
ment experience regarding traits and characteristics that generally would be noticeable
for someone in possession of drug contraband. Such profiles serve as a valuable means for
officers to be more alert to likely criminal activity, although such profiles may vary among
locations and regions and become outdated over time. Although courts have differed in
rulings regarding law enforcement use of drug profiles, some general rules emanate from
the cases. First, the drug courier profile itself cannot justify an arrest but it may justify an
investigatory stop. In other words, the fact that a suspect meets a profile does not create
probable cause to arrest; at most, it may create a reasonable suspicion on the part of the offi-
cer that criminal activity is afoot that would prompt a Terry stop. Second, to justify such
a stop, the officer will need to provide a reasonable, objective, articulable suspicion based
on the officer’s observations and experiences. As Chief Justice Rehnquist stated in United
States v. Sokolow (1989): “A court sitting to determine the existence of reasonable suspicion
must require the [law enforcement officer] to articulate the factors leading to that conclu-
sion, but the fact that these factors may be set forth in a ‘profile’ does not … detract from
their evidentiary significance.” The key is that the law enforcement officer must provide
sufficient information to justify the stop. Third, and crucial to a successful prosecution,
unless the underlying investigative stop is valid, any later search, arrest, or seizure of con-
traband will be invalid.

SEARCH AND SEIZURE

A search is the governmental invasion of a person’s privacy. Not all privacy interests, how-
ever, are protected by the Fourth Amendment. The Supreme Court uses a two-part test
to determine the legitimate existence of privacy that should be protected by the Fourth
Amendment. First, the individual must have a subjective expectation of privacy, and, sec-
ond, society must be prepared to recognize that expectation as objectively reasonable. So,
items that are abandoned, exposed to the public, or obtained by consent from the party
are not protected by the Fourth Amendment because there is no reasonable expectation of
 Legal Issues in Criminal Investigations ◾ 349

privacy in such items. Whether governmental action constitutes a search depends on how
intrusive the action is. An example of a minimal intrusion that does not constitute a search
is the use of a drug canine to perform a sniff test to determine the presence of drugs. The
sniff test may be conducted without infringing upon the Fourth Amendment rights.

PROBABLE CAUSE TO SEARCH

A search warrant protects an individual’s privacy interest in his or her home and posses-
sions against unjustified police intrusions. Similar to arrest warrants, search warrants also
require a showing of probable cause. Probable cause to search is simply a “fair probability”
that contraband, evidence of a crime, instrumentalities of a crime, or fruits of a crime will
be found in a particular place. If there is probable cause to believe the item sought will be in
the place, but is not there at the time of issuing the warrant, the judicial officer may autho-
rize an anticipatory search warrant. Investigating officers seeking a warrant must prepare
an affidavit that provides to the judicial officer a “substantial basis” to support a finding that
probable cause exists. The affidavit must contain sufficient facts so the warrant can state
with particularity the place to be searched and the items to be seized. As with arrest war-
rants, such facts may be based on the officer’s experience and special training, information
from a reliable and known informant, sources that can be independently corroborated, and
other investigative activity. Facts obtained from a prior illegal search, however, cannot be
relied upon to support a finding of probable cause. In addition, facts within an affidavit that
are considered “stale” cannot be used to support a probable cause determination.

SEARCH WARRANTS
As mentioned, the Fourth Amendment requires that a warrant describe with “particular[ity]
… the place to be searched and the persons or things to be seized.” This clause has been
interpreted to protect against wide-ranging exploratory searches, so an individual’s privacy
is safeguarded from unfettered police intrusions. Many search warrant applications will
include a photograph of the place to be searched, with the house number clearly marked
so the agents executing the warrant will not make a mistake. It is also good practice to
incorporate by reference into the warrant the affidavit so the attachments to the warrant
may cure a warrant lacking sufficient particularity or that contains such mistakes as trans-
posed house numbers or wrong addresses. An example of a catch-all phrase included in
some warrants is “evidence of crime at this date unknown.” Such a phrase, when coupled
with the affidavit incorporated by reference into the warrant and the warrant itself, may
be deemed to sufficiently limit police discretion in executing the warrant. In Andresen v.
Maryland (1976), the Supreme Court determined that a similar catch-all phrase did not
render the warrant insufficiently particular. Thus, a warrant authorizing seizure of “fruits,
instrumentalities and evidence of crime at this [time] unknown,” when read in context
with the rest of the warrant application, properly authorizes a search for evidence relevant
to the warrant’s specified offense of false pretenses.
350 ◾ Frank DiMarino

“KNOCK AND ANNOUNCE” STATUTES

When executing a warrant on a private dwelling, officers must comply with “knock and
announce” requirements. Under common law, police officers could not forcibly enter a res-
idence to execute a search warrant unless they first knocked at the door, identified them-
selves as officers of the law, announced their reason for requesting admittance into the
home, and were refused admittance. In Wilson v. Arkansas (1995), the Court held that the
“knock and announce” principle is an element of the Fourth Amendment reasonableness
inquiry. The Supreme Court has determined that “every householder, the good and the bad,
the guilty and the innocent, is entitled to the protection designed to secure the common
interest against unlawful invasion of the house.” About 34 states and the federal govern-
ment have enacted “knock and announce” statutes requiring that law enforcement officers
knock and announce their presence prior to making a forced entry. The federal “knock
and announce” statute provides: “The officer may break open any outer or inner door or
window of a house, or any part of a house, or anything therein, to execute a search warrant,
if, after notice of his authority and purpose, he is refused admittance.” The exceptions to
the “knock and announce” requirement include: (1) when the officer reasonably believes
that there may be a risk to the safety of the officer or others; (2) when the occupants already
are aware of the officer’s presence and his purpose so the knock and the announcement
would be a useless gesture; and (3) when the officer reasonably believes that knocking and
announcing his presence would lead to the destruction of evidence or escape of suspects.

WARRANTLESS SEARCHES
Warrantless searches, according to the Supreme Court “are per se unreasonable under the
Fourth Amendment—subject only to a few specifically established and well-delineated
exceptions.” Likewise, a search that is unsupported by probable cause is also generally
unlawful. There are, however, some exceptions to the general rule that probable cause and
a warrant are required to conduct a search; for example, recall the earlier discussion about
Terry stops, where police are permitted to stop someone based on articulable suspicion.
Once a person is stopped, the police are able to conduct a pat-down and frisk in order to
protect officer safety.

PROTECTIVE SWEEPS
Similarly, if police officers enter a residence to make an arrest or conduct a search, accord-
ing to Maryland v. Buie (1990), they are permitted to conduct a protective sweep to ensure
that no one is hiding who may cause injury. Officers may conduct a limited protective sweep
that consists of a cursory inspection of “closets and other spaces immediately adjoining the
place of arrest from which an attack could be immediately launched.” Such a protective
sweep may extend to a nonadjoining area only if officers have a “reasonable belief based on
specific and articulable facts that the area to be swept harbors an individual posing a dan-
ger to those on the arrest scene.” If during the protective sweep officers find contraband,
that contraband could be seized and used as evidence.
 Legal Issues in Criminal Investigations ◾ 351

SEARCHES INCIDENT TO AN ARREST

When a person has been arrested, an officer may also conduct a warrantless search inci-
dent to a valid arrest. During a search incident to a lawful arrest, the officer may search for
both weapons and evidence beyond the arrestee’s person to the area within the immediate
control of the arrestee. This includes searches of containers found on the arrestee or within
his reach.

PLAIN VIEW
Police may also seize evidence that is in plain view without a warrant, provided that: (1)
officers have not violated the Fourth Amendment in arriving at the place from which the
evidence could be plainly viewed; (2) the incriminating character of the evidence is imme-
diately apparent; and (3) items are not disturbed to discern the evidentiary value of an
item in plain view. This means that police may lawfully seize evidence in plain view when
executing either a search warrant or an arrest warrant. Notably, the plain view doctrine has
been extended to include “plain touch,” “plain smell,” and “plain hearing.”

EXIGENT CIRCUMSTANCES
Officers may also conduct a warrantless search under exigent circumstances, which include,
for example, such circumstances where evidence is subject to destruction, the safety of
the officers or the public is threatened, the suspect may flee before a warrant is able to be
obtained, or the police are in a “hot pursuit” of a suspect. The “hot pursuit” exception
includes those circumstances only when the police have made an immediate and continu-
ous pursuit of a suspect from the original crime scene. In drug cases, police may secure a
residence in such a way as to guard against the destruction or removal of evidence until a
warrant is obtained; for example, securing the perimeter and all inhabitants may safeguard
against the destruction of evidence. In addition, if authorities have a reasonable belief that
police safety or the safety of the general public is at risk, officers may enter a dwelling and
conduct a complete search without a warrant. Police may inspect any place where they
have a reasonable belief that dangerous items may be found. Courts examine the totality
of circumstances to determine whether exigent circumstances exist. Specifically, courts
will consider the gravity of the offense that underlies the need for the search and the rea-
sonableness attached to the manner in which the search was conducted. The prosecution
may need to show that a telephone warrant from a magistrate was not available and that
the conduct of the police did not improperly create the exigent circumstances such that the
circumstances were contrived.

CONSENT SEARCHES
A search may also be based on the permission that has been granted by a person who is
authorized to grant permission. Such consent searches, conducted without a warrant, are
lawful provided that consent was given voluntarily by someone who had the authority over
352 ◾ Frank DiMarino

the location to give consent. Consent may be express (e.g., in writing) or implied through
actions. To determine whether consent was voluntarily given, courts will weigh such fac-
tors as age, intelligence, education, ability to communicate in a particular language, and
length of time that the person was subject to questioning or detention.

VEHICLE SEARCHES
Concerning the search of vehicles, when police arrest an occupant of a motor vehicle they
can only search the passenger compartment of the vehicle incident to the arrest if: (1) the
arrestee is unsecured and within reaching distance of the vehicle, or (2) it is reasonable to
believe that evidence relevant to the crime of arrest will be found in the vehicle.

INVENTORY SEARCHES
After a lawful seizure of property, police may conduct a warrantless search of the property
to satisfy three purposes: (1) to protect the owner’s property while it is in police custody, (2)
to properly account for the property and protect the police against claims of lost or stolen
property, and (3) to protect the police from potential harm. Inventory searches must be
conducted according to standardized operating procedures. If contraband or evidence of a
crime is found during an inventory search, that evidence may be seized.
Finally, it is worth emphasizing that courts have repeatedly recognized the sanctity of a
home under the Fourth Amendment and required, except in rare circumstances, a warrant
to enter. As the Supreme Court has stated: “At the very core of [the Fourth Amendment]
stands the right of a man to retreat into his own home and there be free from unreasonable
governmental intrusion.” In the case of Kyllo v. United States (2001), Justice Antonin Scalia
described the protection afforded a home and said that any physical invasion of the struc-
ture of the home, “by even a fraction of an inch, was too much … and there is certainly no
exception to the warrant requirement for the officer who barely cracks open the front door
… In the home, our cases show, all details are intimate details, because the entire area is
held safe from prying government eyes.”

CRIMINAL PROCEDURE
Criminal procedure is governed by constitutional doctrine, statutory requirements, case
law, and court rules. If criminal procedural rules are violated, a successful prosecution is at
risk depending on the harm to a defendant’s constitutional rights to a fair trial. Procedural
rights are meant to ensure that a level playing field is afforded to a defendant so the defen-
dant, for example, is not compelled to incriminate himself, is able to discover the evidence
that the government intends to use at trial, and is allowed to challenge the credibility of
witnesses through cross-examination.
 Legal Issues in Criminal Investigations ◾ 353

INDICTMENT
At the beginning of a criminal prosecution, rules of procedure afford the defendant the
opportunity to be made aware of the charges and to ensure that probable cause exists to
support the charges. For felony charges, a prosecutor prepares an indictment, which is the
charging document that alleges specific violations of criminal statutes by stating dates,
places, the manner in which the statute was violated, and other pertinent facts regarding
the commission of an offense. The indictment is presented to a grand jury, which, after
hearing evidence about the charges, determines whether probable cause exists to provide a
“true bill.” Generally, once an indictment is issued by the grand jury, the defendant may be
arrested or ordered to appear in court pursuant to a summons. In federal cases where there
is significant risk of harm to the public or where the defendant may flee, the defendant may
be arrested upon a criminal complaint and warrant for his arrest. In such cases, an indict-
ment may be presented to the grand jury within 30 days of the arrest.

INITIAL APPEARANCE
The first appearance of the defendant in court is known as the initial appearance. At this
hearing, the defendant is advised of his rights to remain silent and to have counsel repre-
sent him at trial. The magistrate also makes a determination as to the conditions of pretrial
release or bail that should be set for the defendant by assessing the gravity of the offenses,
the strength of the evidence, and the likelihood that the defendant may flee or cause harm
to society while awaiting trial.

ARRAIGNMENT
The second hearing in which the defendant appears in court is the arraignment. During
the arraignment, the judge may read the indictment, or the defendant may waive its read-
ing and ask the defendant how he pleads to the charges. In federal court, the presiding judi-
cial officer at an arraignment is usually a magistrate judge, who is not authorized to take
a guilty plea to a felony offense; therefore, at all felony arraignments in federal court con-
ducted by a magistrate judge, defendants plead not guilty. At the arraignment, the judge
also establishes obligations on the part of the government to provide to the defendant dis-
covery of the evidence and reciprocal discovery obligations on the part of the defendant
pertaining to expert witnesses and alibi witnesses.

SUPPRESSION HEARING AND THE EXCLUSIONARY RULE

Dependent upon whether a confession was obtained from the defendant or evidence was
seized during a search, the defense may file motions to suppress and a suppression hearing
may be held to admit evidence about how a search was conducted or a confession obtained.
If a motion to suppress is granted, then such evidence may be excluded from the trial
354 ◾ Frank DiMarino

pursuant to the exclusionary rule, which mandates that evidence obtained unlawfully not
be considered by a jury so as to deter police conduct that violated the defendant’s consti-
tutional rights.

TRIAL
During the trial itself, the jury is admonished that the defendant is presumed to be inno-
cent of the charges and can only be found guilty if the government is able to prove the
defendant’s guilt beyond a reasonable doubt. At trial, the defendant is entitled to zealous
representation by a defense counsel and may confront the witnesses through cross-exami-
nation. Additionally, the defendant cannot be compelled to testify. To reach a decision, the
jury must return a unanimous verdict. If convicted of the charges, the defendant is entitled
to have his case heard on appeal if he complies with the time requirements of filing an
appeal after his conviction.

PROSECUTORS
The prosecutor plays a significant role in the criminal trial and provides legal advice to law
enforcement while the criminal investigation is proceeding. Should the prosecutor only
be an advocate for the government in seeking a conviction? What ethical obligations are
imposed upon a prosecutor? The Supreme Court has commented on these questions and
has set forth the law regarding the role of the prosecutor in the American criminal justice
system; for example, the prosecutor must disclose to the defendant all evidence that is
exculpatory in nature or reflects payments or rewards to criminal informants, as well as
the prior convictions of prosecution witnesses. The ethical obligations of a prosecutor were
emphasized in Berger v. United States (1935), where the Supreme Court said:

[The prosecutor] is the representative not of an ordinary party to a controversy,

but of a sovereignty whose obligation to govern impartially is as compelling as its
obligation to govern at all; and whose interest, therefore, in a criminal prosecution
is not that it shall win a case, but that justice shall be done. As such, he is in a pecu-
liar and very definite sense the servant of the law, the twofold aim of which is that
guilt shall not escape or innocence suffer. He may prosecute with earnestness and
vigor—indeed, he should do so. But, while he may strike hard blows, he is not at
liberty to strike foul ones. It is as much his duty to refrain from improper methods
calculated to produce a wrongful conviction as it is to use every legitimate means to
bring about a just one.

QUESTIONS FOR DISCUSSION

1. What is the difference between malum in se and malum prohibitum crimes?
2. What are the differences between a felony and a misdemeanor?
3. What types of evidence can be found at a crime scene?
 Legal Issues in Criminal Investigations ◾ 355

4. How should an investigator record where evidence was found at a crime scene?
5. What is a chain of custody and why is it important?
6. How can an investigator establish probable cause to justify seeking an arrest
warrant?
7. What should an officer do if the person to be arrested will be found in someone’s
private home?
8. What are the exceptions to the general rule that an arrest must be conducted only
with a warrant?
9. What are the circumstances to consider when determining the reliability of an
informant’s tip?
10. What can an officer do during an investigatory stop?
11. What are the considerations to determine whether a protective sweep has legiti-
mately uncovered evidence of a crime?
12. What is the purpose of the exclusionary rule?

BIBLIOGRAPHY
CONSTITUTION AND STATUTES
Texas Penal Code, Title 1. Introductory Provisions. Chapter 1. General Provisions. Section 1.02.
Objectives of Code (http://www.statutes.legis.state.tx.us/docs/pe/htm/pe.1.htm).
U.S. Constitution, Amendment IV.

CASES
Andresen v. Maryland, 427 U.S. 468 (1976).
Arizona v. Gant, 556 U.S. ___, 129 S.Ct. 1710 (2009).
Atwater v. City of Lago Vista, 532 U.S. 318 (2001).
Brady v. Maryland, 373 U.S. 83 (1963).
Coolidge v. Hampshire, 403 U.S. 443 (1971).
Gideon v. Wainwright, 372 U.S. 335 (1963).
Florida v. J.L., 529 U.S. 266 (2000)
Johnson v. United States, 333 U.S. 10 (1948).
Katz v. United States, 389 U.S. 347 (1967).
Kyllo v. United States, 533 U.S. 27 (2001).
Mapp v. Ohio, 367 U.S. 643 (1961).
Maryland v. Buie, 494 U.S. 325 (1990).
Miranda v. Arizona, 384 U.S. 436 (1966).
Papachristou v. City of Jacksonville, 405 U.S. 156 (1972).
Roviaro v. United States, 353 U.S. 53 (1957).
Silverman v. United States, 365 U.S. 505, 511 (1961).
Strickland v. Washington, 466 U.S. 668 (1984).
Terry v. Ohio, 392 U.S. 1 (1968).
Thornhill v. Alabama, 310 U.S. 88 (1940).
United States v. Sokolow, 490 U.S. 1 (1989).
Virginia v. Moore, 128 S. Ct. 1598, 1607 (2008).
Wilson v. Arkansas, 514 U.S. 927 (1995).
356 ◾ Frank DiMarino

BOOKS, JOURNALS, AND ARTICLES

ABA. (1993). ABA Standards for Criminal Justice: Prosecution and Defense Function, 3d ed.
Washington, D.C.: American Bar Association.
Bajaj, S. (2009). Policing the Fourth Amendment: The Constitutionality of Warrantless Investigatory
Stops for Past Misdemeanors. Columbia Law Review, 109:309–349.
Berger v. United States, 295 U.S. 78 (1935).
Black, H.C. (1951). Black’s Law Dictionary, 4th ed. St. Paul, MN: West.
Bulzomi, M.J. (1997). Knock and Announce: A Fourth Amendment Standard. Law Enforcement
Bulletin, 66(5):27–32 (http://www2.fbi.gov/publications/leb/1997/may976.htm).
Conom, T.P. (1991). Bulwarks of Liberty: Presumption of Innocence and Reasonable Doubt. The
Champion, December, pp. 18–23 (http://www.nacdl.org/public.nsf/GideonAnniversary/
Index1/$FILE/PresumeInnocence.pdf).
Del Carmen, R.V. (2007). Criminal Procedure Law and Practice, 7th ed. Belmont, CA: Thompson
Wadsworth
Dietz, L. et al. (2011). Witnesses. In American Jurisprudence, 2nd ed., Vol. 81. St. Paul, MN: West.
Eleventh Circuit U.S. Court of Appeals. (2010). Pattern Jury Instructions (Criminal Cases). Washington,
D.C.: Judicial Council of the U.S. Eleventh Judicial Circuit (http://www.ca11.uscourts.gov/doc-
uments/jury/crimjury.pdf).
Judicial Conference of the United States. (2004). Handbook for Trial Jurors Serving in the United
States District Courts. Washington, D.C.: Administrative Office of the United States Courts
(www.txwd.uscourts.gov/jury/docs/handbookfortrialjurors.pdf).
Kamisar, Y. (1991). The Fourth Amendment and Its Exclusionary Rule. The Champion,
September/October, pp. 20–25 (http://www.nacdl.org/public.nsf/GideonAnniversary/
Index1/$FILE/4ExclusionaryRule.pdf).
U.S. Courts. (2011). Federal Courts. Washington, D.C.: United States Courts (http://www.uscourts.
gov/understand03/content_1_0.html).
USDOJ. (2000). Crime Scene Investigation: A Guide for Law Enforcement. Washington, D.C.: Office of
Justice Programs, U.S. Department of Justice (http://www.ncjrs.gov/pdffiles1/nij/178280.pdf).
Worrall, J.L. (2007). Criminal Procedure from First Contact to Appeal, 2nd ed. Boston, MA: Allyn &
Bacon.
 Chapter 20

Preparing the Case for Court

Cliff Roberson
Kaplan University
Gwynne Birzer
Hite, Fanning & Honeyman, LLP

CHAPTER OBJECTIVES
After reading this chapter, you should be able to do the following:

1. Explain the necessity for accurate police reports.

2. Understand the basic rules of evidence
3. Explain the process of admitting documents into evidence
4. Know how to prepare for court testimony.
5. Understand what is expected of witnesses during direct examination and
cross-examination

Chapter Outline
• Introduction
• Preparation
• Testimony in Court
• Accuracy of Police Reports
• Chain of Custody of Evidence
• Personal Credibility

INTRODUCTION
This chapter discusses preparing a case for court from the lead investigator’s viewpoint.
Although both authors are attorneys, the chapter is not directed toward counsel prepara-
tion for trial, but toward the steps that the lead investigator needs to take to prepare for
trial. As former police officer Carole Moore noted (Birzer and Roberson, 2011):

357
358 ◾ Cliff Roberson and Gwynne Birzer

Students who want to make good grades hit the books prior to taking a test. Witnesses
who expect to be called to present evidence in court should take their cues from col-
lege kids and study the material that’s likely to be a part of the course.

PREPARATION
Effective witnesses do not simply arrive in court the day of the trial, do battle with the
defense attorney or attorney for the opposing party, and convince the jury that they are
telling the truth and that the defendant or witness for the other party is not being entirely
truthful. Effective witnesses prepare for court. Preparing for and testifying in court are
everyday experiences for some witnesses. Even when it becomes a common occurrence,
the witness must understand that, unless the information can be conveyed to the jury in
the proper manner, all the work done during the arrest, questioning, and charging of the
defendant may be wasted.
As is discussed later in this chapter, an average witness is almost always a prepared
witness. A superior witness is always a prepared witness. Chapter 4 discussed preparing
field notes and report writing. In this chapter, we look at preparing to use those notes and
reports in court. Successful court testimony begins with accurate preparation of notes and
reports. One of the most important steps in preparing for court is to proofread again those
notes and reports. If any errors or mistakes are discovered, it is important not to make any
changes but to report the problems to the counsel who is calling you as a witness. Reports
should always be prepared as if they will be used in court.
On receiving the summons to appear in court, the witness should attempt to contact the
prosecutor or attorney for the party that is calling him or her as a witness. In most large cit-
ies and counties, prosecutors—like the police—are overworked and understaffed and may
not return telephone calls before meeting the witness in the court hallway. The witness
should not depend on the prosecutor or counsel to make the job of testifying easy. The attor-
ney may not have carefully examined the file before appearing in court and may rely on the
reporting witness to carry the day. If a critical aspect of the case is not evident from reading
previous reports or statements, the witness should ensure that the attorney is informed of
this fact before the start of the trial—not just before taking the witness stand. The reason is
this: The attorney may be engaged in last-minute plea bargaining or settlement discussions
or may make an opening statement to the judge or jury that will later prove to be false if he
or she is not made aware of all the important facts surrounding the case.
After discussing the case with the attorney, the witness will await his or her turn to
testify. Depending on the nature of the case and the attorney’s preference, the witness may
testify first or last. Although jurors are told not to consider anything that is not admitted
into evidence, they will sometimes form unofficial opinions of persons on the basis of their
observations. If the witness is required to remain outside the courtroom, he or she should
also remain attentive and professional. In addition, the witness should be cordial but avoid
joking with other witnesses—and especially avoid laughing with the opposing counsel.
Jurors who observe these antics may believe that the witness is not serious about what is
occurring in the courtroom and therefore may discount his or her testimony.
 Preparing the Case for Court ◾ 359

Having reviewed any previous reports or statements, refreshed the memory, and talked
with the attorney, the witness is ready to take the stand and testify. Dress regulations for
court appearances vary according to the jurisdiction. An effective witness strives for a
professional, conservative look. In reality, jurors should pay attention to the testimony and
not what the witness is wearing, but flashy clothes, rings, gold chains, or other out-of-the-
ordinary dress may cause a juror to concentrate on the witness’s clothing at a critical part
of the testimony instead of listening. The witness does not have to wear a three-piece suit
with a white shirt but should dress in a manner acceptable for court. Not suitable for court
are cowboy boots, jeans, or a leather miniskirt.

TESTIMONY IN COURT
Some individuals are uncomfortable standing or sitting in front of a group and talking.
Being an uncomfortable witness is different than being an unprepared witness. Being
uncomfortable may prove to make an effective witness, while being unprepared will never
make an effective witness. Occasionally, a witness may be required to testify in a deserted
courtroom with only the court personnel present, such as in a closed hearing; however,
the majority of a person’s testimony will occur in public. Moreover, the witness will be
subjected to cross-examination by the opposing attorney, who will attempt to destroy the
witness’s credibility.
Even if you were not a member of the debating team in high school or college or you
avoided taking public speaking classes, you may, with proper training, learn to communi-
cate in a professional manner while testifying. This oral skill can be mastered with practice,
but only if you are familiar with the purposes of both direct examination and cross-exami-
nation. In the following subsections, we briefly discuss this aspect of the judicial process.
To testify in court effectively, it is helpful for witnesses to understand the aims or goals
of direct examination. Most attorneys who call witnesses attempt to satisfy two generally
accepted objectives during direct examinations:

1. To present all legally sufficient evidence to support the charges or claims filed
against the opposing party or defendant
2. To convince the fact finder of the integrity of the evidence and, ultimately, the
truth of the charge or claim

OATH OR AFFIRMATION
Before a witness is allowed to testify, the witness is required to declare that he or she will
testify truthfully, by oath or affirmation administered in a form calculated to awaken the
witness’s conscience and impress the witness’s mind with the duty to do so. The requirement
of an oath is designed to ensure that every witness gives accurate and honest testimony.
The oath requirement is intended to preserve the integrity of the judicial process by awak-
ening the witness’s conscience and making the witness amenable to perjury prosecution if
he or she lies (United States v. Zizzo, 1997). Federal Rule 603 states that a witness need not
360 ◾ Cliff Roberson and Gwynne Birzer

swear an oath but may merely affirm that he or she will testify truthfully. An affirmation
can be given in any form calculated to awaken the conscience of the witness and impress
on the witness the duty to tell the truth. Permitting the witness to testify under an affirma-
tion as well as oath is designed to remove many of the objections that certain members of
some religious groups have. As a practical matter, if a witness prefers to affirm rather than
take the oath, court personnel should be notified prior to the witness taking the stand.

OPPORTUNITY FOR WITNESS TO EXPLAIN OR DENY THE STATEMENT

The basic common law foundation consists of affording the witness an opportunity of
either admitting or denying that a prior inconsistent statement was made and, if he admits
it, of explaining the circumstances of the statement. The traditional method of confronting
a witness with his inconsistent statement prior to its introduction is the preferred method
of proceeding. In fact, where the proponent of the testimony fails to do so, and the witness
subsequently becomes unavailable, the proponent runs the risk that the court will properly
exercise its discretion not to allow the admission of the prior statement.

REFRESHING A WITNESS’S MEMORY

Often a witness when testifying will forget vital information. When this occurs, the coun-
sel who is conducting the questions may attempt to refresh the witness’s memory. As a
general rule, a counsel may use anything that will help trigger the witness’s memory as
long as the matter does not provide new information to the witness or is likely to create a
false impression. In cases where the witness is a police officer, this often involves the use of
a police report or field notes to refresh the officer’s memory.
If the witness remembers after he or she has reviewed the police report or other item,
then the witness may testify according to his or her refreshed memory. In this case, while
the other party (defense) may examine the document or other item, the refreshing item is
not evidence since it was only used to jog the witness’s memory. In this case, if the item
is not introduced, it is not evidence; therefore, it does not need to be authenticated or to
comply with the best evidence rule.
If the memory is refreshed while the witness is testifying to overcome the fear that the
witness who says that his memory is refreshed is really remembering only what he just read
from the document, certain procedural safeguards apply. As previously noted, the oppos-
ing party is allowed to inspect the document, and the opposing party is allowed to cross-
examine the witness regarding the refreshment of memory before the witness is allowed to
continue his testimony. In addition, the opposing counsel is allowed to enter into evidence
the relevant portions of the document. If the latter is true, the best evidence rule applies.
Counsel should always request that a witness review documents before trial for two rea-
sons. First, it is more efficient in presenting the case if counsel is not required to follow the
procedure necessary to refresh a witness’s memory and establish that his memory has been
refreshed. Second, when a witness requires that his memory be refreshed in court, this lack
of memory about the incident creates a negative impression on the jury.
 Preparing the Case for Court ◾ 361

If the witness’s memory has been refreshed before trial, this fact may be addressed by
opposing counsel during cross-examination, and generally the opposing counsel will be
allowed to review the document and introduce relevant parts of it into evidence.

REQUIRED STEPS TO REFRESH RECOLLECTION

State rules of evidence may vary, but generally the below steps are required for in-court
refreshing of a witness’s memory:

1. Counsel establishes that the witness’s memory is exhausted and that the witness
cannot testify fully and accurately from memory.
2. There is a document or other item that will refresh the witness’s memory.
3. Counsel shows the document to the witness and allows the witness to read or
examine it silently.
4. Counsel then asks the witness if he now recalls the matter independent of the
document; that is, the witness’s memory is refreshed.
5. If the witness states that he now recalls the matter independent of the document
(i.e., his memory is refreshed), the opposing counsel is permitted to question the
witness about the issue of whether the memory has been refreshed.
6. The witness is then allowed to testify.
7. If the witness testifies that he cannot recall the matter even after reviewing the
document, counsel may then try to have the document entered as evidence of past
recollection recorded.

EXCERPT FROM BAKER V. STATE

Baker was convicted of murder in the first degree in a criminal court in Baltimore, MD.
On appeal, Baker challenged the conviction on the basis that the Court denied him the
opportunity to refresh the recollection of a police witness by showing him a report written
by a fellow officer. Following is an excerpt from Baker v. State, 35 Md. App. 593, 597 (Md.
Ct. Spec. App. 1977):

Court’s opinion: In permitting a witness to refresh his recollection by consulting

a memorandum, the courts are in accord with present psychological knowledge. A
distinction is drawn, in the analysis of the memory process, between recall, which
is the reproduction of what has been learned, and recognition, which is recall with
a time factor added, or an awareness that the recall relates to past experience. It is
with recognition that the law is principally concerned in permitting a witness to
revive his recollection. The psychological evidence is clear that in thus allowing to
be brought to mind what has been forgotten, the law is following sound psychologi-
cal procedure.
362 ◾ Cliff Roberson and Gwynne Birzer

It is, of course, hornbook law that when a party seeks to introduce a record of past
recollection, he must establish:
1) that the record was made by or adopted by the witness at a time when the witness
did have a recollection of the event, and
2) that the witness can presently vouch for the fact that when the record was made
or adopted by him, he knew that it was accurate.
Court decision: Judgment convicting appellant was reversed because appellant was
entitled to refresh the recollection of police officer by using the report written by a
fellow police officer.

STAGES OF EXAMINATION
• Direct examination—This is comprised of the initial questions put to the witness
by the counsel or party that called the witness.
• Cross-examination—After conclusion of direct examination, the opposing party
may examine the witness. During cross-examination, the counsel generally may
asking leading questions. On cross-examination, the witness may be questioned
as to his honesty, any bias the witness may have, the witness’s opportunity to
observe the incident, the witness’s memory, and subjects discussed during direct
examination.
• Redirect and recross-examination—After cross-examination, the calling party may
conduct a redirect examination over matters covered during cross-examination
followed by recross-examination. Often during redirect and recross the court will
restrict the introduction of new subjects because new subjects are generally outside
of the scope of the testimony.

OBJECTIONS TO QUESTIONS
Often when a witness is testifying, the opposite party will object to the form of the ques-
tion. Some of the more common objections include the following:

• The question is open ended and calls for undirected narrative. This restriction is
designed to keep the witness from answering with irrelevant or otherwise inad-
missible evidence.
• The question is leading. It is a question that suggests an answer. (Note: Leading
questions may be asked on cross-examination.)
• The question was an argumentative question designed to make or emphasize some
point or to argue to the jury rather than elicit information.
• Relevance objections arise when the question either asks a questions or calls for an
answer that is not relevant to the proceedings
 Preparing the Case for Court ◾ 363

IMPEACHMENT OF A WITNESS
Impeachment refers to the process of attacking the credibility of a witness. The rules of
evidence in most states provide that the credibility of any witness may be attacked by any
party, including the party calling the witness. Under common law, a party who called a
witness could not impeach that witness unless the court declared the witness a “hostile wit-
ness.” This is no longer the rule. The rationale for the common law rule rested on assump-
tions concerning a party’s presumptive support of a witness called by that party and the
need to protect the witness from harassment. The federal rules of evidence recognize that
a party does not necessarily vouch for a witness; in fact, a party may have no choice but to
call an adverse witness in order to prove a case. Prior to the court declaring a witness to be
hostile, the party calling the witness must first establish that the witness is uncooperative.

TEN COMMANDMENTS FOR WITNESSES

Following is a list of “Ten Commandments” for witnesses (County of San Diego, CA,
District Attorney’s Office, 1995):

1. Tell the truth. In a trial, as in all other matters, honesty comes first.
2. Do not guess. If you do not know, say so.
3. Be sure you understand the question. You cannot possibly give a truthful and
accurate answer unless you understand the question.
4. Take your time and answer the question asked. Give the question as much thought
as is required to understand it, formulate your answer, and then give the answer.
5. Give a loud, audible answer. Everything you say is being recorded. Do not nod
your head yes or no.
6. Do not look for assistance when you are on the stand. If you think you need help,
request it from the judge.
7. Beware of questions involving distance and time. If you make an estimate, make
sure everyone understands that you are making an estimate.
8. Be courteous. Answer yes or no, and address the judge as Your Honor.
9. If asked if you have talked to the prosecutor, admit it freely if you have done so.
10. Avoid joking and making wisecracks. A lawsuit is a serious matter.

These commandments are as valid for a seasoned witness as they are for a first-time wit-
ness. Each rule is based on both common sense and years of court experience by attorneys.
The first and most basic rule of testimony requires that the witness tell the truth. Although
the idea that witnesses should always tell the truth seems obvious, reality and emotions
can sometimes cause individuals to slant their testimony to assist an attorney or to ensure
that the defendant is portrayed in a bad light. Failure to testify truthfully has several con-
sequences. The most obvious issue is that the witness is sworn to tell the truth. Violation
of this oath can lead to criminal charges or the destruction of the person’s reputation. In
addition, the witness’s credibility may be destroyed in front of the court or jury, with the
364 ◾ Cliff Roberson and Gwynne Birzer

result that they disbelieve all of the witness’s testimony and find for the other party. This
result is the exact opposite of what was intended by slanting or stretching the truth to help
out the attorney or place the defendant in an unfavorable light. Who can forget the prob-
lems caused in the O.J. Simpson case when everyone learned that Detective Mark Fuhrman
of the Los Angeles Police Department had “forgotten” using racial slurs in the past?
Close to the first rule is the second, which requires that the witness not try to help the
case by guessing. If the witness is unsure, a simple statement to this effect is sufficient. Such
a statement shows the jury that the witness is human and may not have all the answers to
every question.
The third rule simply requires that the witness understand the exact question that is
asked. At first glance, this rule appears simple to follow; however, many times attorneys
will ask several questions in one sentence. If the witness is unsure of the exact question, a
request should be made to repeat or clarify the question.
The fourth rule requires the witness to think through both the question and the answer
instead of blurting out a response. Taking a few seconds to form the answer in your mind
before responding to the question is a good practice.
The fifth requirement mandates that the witness answer in a loud and clear voice.
Remember, appellate courts have only the written transcript of what occurred when they
review a case on appeal. The court reporter will not transcribe a nod of the head or esti-
mate the distance between the witness’s hands when he or she is demonstrating a gesture
or an action of the witness. If the witness uses motions during the testimony, they should
be accompanied by an accurate oral description.
The sixth commandment may seem harsh, but it exists for the witness’s benefit. The
witness must understand that no one but the judge can intervene during direct examina-
tion or cross-examination. The attorneys may raise objections, but the court must decide
whether the objections are valid. When objections are made, the witness should refrain
from speaking until the objection is ruled upon by the court.
The seventh rule is one that most witnesses will violate at least once. Typically, the wit-
ness states a distance during direct examination. For example, in response to the pros-
ecutor’s question about the distance between the witness and the defendant, the witness
may state, “The defendant was 20 feet from me when I observed the weapon.” On cross-
examination, the defense attorney may ask the witness to point out an object in court that
is 20 feet from the witness stand. If the witness is mistaken about this distance, the defense
attorney will clearly point out this mistake and will then ask how the witness could be
certain about the distance between the witness and the defendant on the night in question
when the witness cannot even make an accurate estimate in the calm and secure setting
of a courtroom.
The eighth commandment is also basically common sense, but it can also build an wit-
ness’s credibility. The witness should be seen as a professional and not as someone who
does not respect authority.
The ninth rule ties in with the first rule because it requires the witness to answer a ques-
tion truthfully. Discussing the case with the attorney who called before you testify is not
improper.
 Preparing the Case for Court ◾ 365

The last commandment also pertains to the witness’s credibility. The defendant’s liberty
is at stake during the trial. The witness should be professional and calm when answering
every question. Once called to testify, the witness should approach the witness chair or, as it
is sometimes called, the witness box and turn to the court personnel to be sworn in. The wit-
ness will be asked to swear or affirm to tell the truth, the whole truth, and nothing but the
truth. Once the witness is sworn in, the court personnel will tell the witness to be seated.
The witness should wait for this invitation because doing so shows respect for the court
and allows the attorney to appear to be in control of the courtroom. Once the witness is
seated, the attorney calling the witness will ask a series of questions about the witness’s
knowledge of the crime, one of the individuals involved in the case, or the incident. This
questioning is direct examination. Following is a series of preliminary questions most
attorneys use to start the questioning:

1. Would you please state your full name for the record?
2. What is your occupation?
3. How long have you been employed by [employer]?
4. Do you, on this day, feel you are properly trained to perform the duties for which
you are employed?
5. On [the date and time in question], what was your assignment?
6. On that date and time, what, if anything, unusual did you observe while on this
assignment?
7. At what location did you observe this unusual occurrence?
8. Is that location in the [city, county, state] of [city, county, state]?
9. Please tell the jury what you observed.

The purpose of these questions is to allow the witness to become comfortable on the
stand and to give the jury some background information about the witness. Such questions
also set the stage for the more critical testimony about the witness’s observations and reac-
tions. In some jurisdictions, these questions are known as foundational questions because
they establish the witness’s jurisdiction and authority to act.
When a party calls a witness, the party is allowed to ask only direct questions (with
some minor exceptions that are not relevant to this text). Such questioning is accomplished
through direct examination. A direct question is open ended and does not suggest the
answer to the person being questioned. Once the attorney finishes with direct examina-
tion, the attorney for the other side has a right to cross-examine. Cross-examination allows
asking either direct or leading questions. A leading question is phrased in a way that sug-
gests an answer to the person being questioned.
After establishing the jurisdiction for the witness to act, the attorney will question the
witness about his or her knowledge of the case. The witness should listen to each question
and ensure that he understands what is being asked. If not clear what the exact question
is, the witness should state this fact and ask the prosecutor to restate the question. “I’m
not certain I understand your question; would you please restate it?” is one way to ask for
clarification. If the question is understood, the witness should pause for a second and then
366 ◾ Cliff Roberson and Gwynne Birzer

answer. This pause should follow every question; as is discussed subsequently, it becomes
extremely important during cross-examination. When answering a question, the witness
should answer only what was asked. Following is an example of a witness answering more
than was asked:

Question: Did you observe anyone at that location?

Answer: Yes, as I pulled up to the service station, he saw me and fled from the scene.
I then lost sight of him for several minutes, but observed him one block from the
scene of the crime.

Not only is the witness’s response defective on several grounds, but it also creates more ques-
tions than it answers. Furthermore, without clarifying some of the issues in the witness’s
answer, the attorney may have opened the door for the other attorney to question whether
a certain individual was the same person who fled from the service station. Following is a
specific series of questions dealing with the issues the witness raised.

Question: Did you observe anyone at that location?

Answer: Yes, I did.
Question: Whom did you observe?
Answer: I saw the defendant.
Question: Would you point to that person if he or she is in court and, for the record,
describe what the person is wearing?
Answer: Yes, it is the person sitting at the table to my right/left, wearing a blue suit.
Question: How far away were you when you saw the defendant?
Answer: I was about 15 feet from him.
Question: What was he doing when you first saw him?
Answer: He was backing out of the service station office.
Question: What, if anything, did he do next?
Answer: He looked toward me and fled.
Question: Where did he go?
Answer: He ran south on Broadway Street.
Question: What did you do at that time?
Answer: I entered the service station to check on the welfare of the people inside and
was informed by Mr. Smith that the defendant had just robbed them at gunpoint.
Question: Once you heard this, what did you do?
Answer: I asked Mr. Smith if he could describe the individual who robbed him.
Question: What, if anything did Mr. Smith say?
Answer: He gave me a description of the individual who robbed him.
Question: What, if anything did you do next?
Answer: I called the police.

The difference between the two sets of questions and answers is apparent. The second set
gives the jury more complete facts about the incident and establishes why the witness could
recognize the defendant even though he lost sight of the defendant for several minutes.
 Preparing the Case for Court ◾ 367

CROSS-EXAMINATION
Once the witness has answered the questions posed by the attorney who called the wit-
ness, the attorney for the other party has the right to ask questions on cross-examination.
Unlike trials in the movies, cross-examination seldom results in witnesses breaking down
and recanting their previous testimony; rather, it is a series of questions designed to attack
the credibility of witnesses by showing weaknesses in their original testimony or by estab-
lishing a motive or bias on their part.
Cross-examination is an art that has several purposes. It takes substantial preparation
to master effective cross-examination of a witness. Most attorneys will not ask a question
they don’t already know the answer to. All witnesses should be aware of these objectives
so they can better understand the questions being asked of them by defense attorneys.
Depending on the jurisdiction, some questions or issues may not be raised on cross-exam-
ination; however, the general objectives of cross-examination include, but are not limited
to, the following ten points:

1. To develop favorable matters that were left unsaid on direct examination

2. To introduce all of a conversation or document, if the witness has testified to only
a part of the content
3. To demonstrate that the witness is lying
4. To establish that the witness could not have seen or heard what he or she has
claimed
5. To test the witness’s ability to hear, see, remember, and relate facts with accuracy
6. To establish the witness’s bias or prejudice
7. To establish any interest the witness may have in the outcome of the case
8. To impair the witness’s credibility
9. To impeach the witness by any means permitted by law
10. To set up unanswered questions for argument to the jury in summation

Just as with direct examination, the witness should pause before answering any ques-
tion. This pause is critical because it allows the other attorney to object to the question and
prevent its answer from coming before the jury. Attorneys, during cross-examination, can
and will use numerous tactics or techniques to discredit the witness’s testimony.
The witness should know the facts surrounding the case. An unprofessional and embar-
rassing response by the witness is to say, “I don’t recall, but I put it in my report.” Rest
assured, the attorney for the other party will know the facts—and will have the oppor-
tunity to read the report again while the witness is testifying. In addition, the opposing
attorney has the other party’s version to draw on. Even though parties do not always tell
their attorneys the complete truth, the defense is provided with another perspective on the
facts that can be used to attack the witness.
Furthermore, the witness should always maintain a professional, courteous attitude.
Some attorneys will argue with witnesses, others will be condescending, and some may even
sneer. No matter what tactic is used, the witness should always maintain professionalism.
368 ◾ Cliff Roberson and Gwynne Birzer

The witness must be prepared to be cross-examined and respond in a positive manner.

Positive responses in such situations reinforce in the jury’s mind that the witness is a pro-
fessional simply doing a job.
If the witness makes a mistake during testimony and is caught by the opposing attorney,
the witness should readily admit to the mistake. Nothing damages your credibility more
than letting an opposing attorney lead you down a path of rationalizations in an attempt
to justify an obvious mistake.
The witness’s voice and body language should convey the attitude of a calm professional.
The voice should be loud enough for all the jurors to hear, but not so loud as to distract
from what is being said. The witness should also avoid squirming on the witness stand. If
the testimony has proceeded for more than two hours and the witness must use the rest-
room, the witness should politely ask for a brief recess.
The witness should not despair if opposing counsel appears to be winning. After cross-
examination, the prosecutor is allowed to conduct a redirect examination, which is the
prosecutor’s opportunity to clarify any issues raised during cross-examination.

ACCURACY OF POLICE REPORTS

As noted by veteran police officer Kimberly Clark, writing a police report is boring (Clark,
2006). In fact, it is hard work and time consuming. But, you should not forget that many
people will be reading and scrutinizing every word in the report. If the bad guy gets
arrested, a copy of the report goes to the prosecutor’s office and the bad guy’s attorney will
get a copy. An inaccurate police report of the incident in question is a gift to the defense.
If you have documented all the facts from the interviews and the investigation, closed all
loopholes, answered all questions, and addressed all issues that could possibly be raised,
then the chances of successful prosecution of a bad guy are vastly improved. Following are
the five most common errors found in police reports:

1. Failure to provide sources of information

2. Failure to report significant details
3. Failure to write neatly and clearly
4. Use of poor English including misspelled words
5. Failure to maintain objectivity.

Biggs (2001, p. 11) distinguished between an average investigator and a superior one:

• The average investigator looks at a group of people near a crime scene and thinks,
“There is a group of people standing around my crime scene.”
• The superior investigator looks at the same situation and thinks, “There is a group
of people standing around my crime scene and each of them knows something
about this case. It’s my job to get them to tell me what they know and then figure
out how to get the ones who do not want to talk to me to do so anyway.”
 Preparing the Case for Court ◾ 369

The morning of the trial is not the day to discover errors in the reports. When you first
receive notice of a court appearance, immediately review the notes and reports associated
with your investigation of that case. This will generally occur several months or even years
after the crime. Review the reports and question each fact or word. Consider the following
court testimony (Birzer and Roberson, 2011):

Defense counsel (DC): Now, sir, you attacked the victim after she was already injured.
Isn’t that correct?
Witness (investigator): No.
DC: Your name is [name], correct?
Witness: Yes.
DC: You were the investigator on this case, correct?
Witness: Yes.
DC: You reported the events as they occurred, correct?
Witness: Yes.
DC: And you reported the events as accurately as you could recall them, correct?
Witness: Yes.
DC: You reviewed and signed the report we are referring to today, correct?
Witness: Yes.
DC: Now, sir, your report reads: “I raped her in a blanket and called for an ambu-
lance.” Correct?
Witness: But, sir, I meant “wrapped.”
DC: Not my question, sir. My question was whether or not your report reads, and I
quote, “I raped her in a blanket and called for an ambulance.” Correct?
Witness: Yes.
DC: How many other errors are in your report?

STANDARD FORM POLICE REPORTS

Another factor to examine when preparing for trial concerns whether the police report
was completed on a standard form in which several portions of the form are preprinted
on the form. An additional step is involved if your department or agency uses standard
forms with information already filled in. You need to check to see if there are any discrep-
ancies between the preprinted information contained in the report and the actual facts of
the case. Consider the following paragraph which was taken from an ad posted on a DWI
website (http://d-w-i.org/dwipolicereports.html):

Because police reports are used as an official record in a DWI case, this is especially
troubling for a DWI suspect. Using pre-written police reports creates a false account
of the drunk-driving arrest. A skilled defense attorney may be able to obtain copies of
the officer’s other DWI reports within a certain time frame to determine whether or
not the he or she is using pre-written reports. If the defense attorney can prove that the
officer’s reports were pre-written, it will definitely diminish the officer’s testimony.
370 ◾ Cliff Roberson and Gwynne Birzer

CHAIN OF CUSTODY OF EVIDENCE

In criminal cases, a question of authenticity arises when something is seized from a defen-
dant and then introduced at trial, and the defendant disputes that it is his or argues that
the thing has been altered in some way. One way for the prosecution to authenticate the
evidence is to establish a chain of custody. Courts have been permissive in determining
whether the government has established a sufficient chain of custody. The evidence rule in
most states is that gaps in the chain of custody go to weight and not admissibility (United
States v. Miller, 1993); for example, a one-year gap in the chain of custody for contraband
goes to the weight and not the admissibility of the evidence when there was no showing of
bad faith on the part of government officials, who are entitled to a presumption that they
did not alter the proffered evidence.
The most important chain of custody is the one from the original seizure of the evidence
to the analysis of the substance. Given the fungibility of drugs, it is essential to make a
connection between the substance seized from the defendant and the substance actually
tested. Any substantial gap in this chain of custody or any indication of alteration should
be treated as fatal, because otherwise there is an unacceptable risk that the test does not
reflect the contents of the substance seized (United States v. Casamento, 1989). A gap in the
chain occurring after testing can be treated more permissively, given the admissibility of
the testing procedure itself and the fact that the only purpose for introducing the substance
in court is to illustrate the testimony of government witnesses.
Testimony of a witness who has personal knowledge as to a piece of evidence is a clas-
sic way of authenticating the evidence. Someone who is an eyewitness to the signing of a
document may authenticate the document. A layperson can identify handwriting based on
familiarity with the handwriting. A signature may be identified by testimony of a person
familiar with the signature. It is not essential that the witness have been present when the
signature was executed, but sufficient foundation must be established in order for a lay
person to verify a signature or handwriting.
Handwriting, fingerprints, blood, hair, clothing fibers, and numerous other things
can be authenticated by comparison with specimens that have been authenticated.
Sometimes the comparison can be done by the jury; at other times, an expert witness will
be required, especially when scientific knowledge is needed to make a valid examination
of the samples. The trial judge has discretion to exclude specimens when questions as to
their authenticity will be confusing, excessively time consuming, and not relevant to the
proceedings.
Sometimes the characteristics of an item will themselves serve to authenticate the item.
A letter may be authenticated, for example, by content and the circumstances indicating it
was a reply to a duly authenticated letter. One who is familiar with the voice of another may
authenticate a conversation or identify the speaker on a tape or other recording; however,
if the tape or recording is offered for its truth, hearsay problems still will exist and must be
solved following satisfaction of the authentication requirement.
 Preparing the Case for Court ◾ 371

PERSONAL CREDIBILITY
Consider this except from the Los Angeles Times (Gold and Gottlieb, 2005):

Dr. Park Dietz, a California psychiatrist, is a legend in law enforcement circles. He

is a specialist in a strange niche market that involves telling corporations how to
prevent mass workplace killings and celebrities how to avoid obsessed fans. He has,
said fellow forensic psychiatrist Steven Pitt, “no peer in our business.”

Compare that excerpt to this one the same day (Gold, 2005):

The capital murder convictions of Andrea Yates were thrown out by an appeals court
Thursday, three and a half years after she told investigators that she had methodi-
cally drowned her five children in the bathtub to spare them from eternal damna-
tion and to punish herself for being a bad mother. The court overturned the verdicts
because an expert witness for the prosecution, Dr. Park Dietz, mistakenly told the
jury that an episode of the television drama “Law & Order”—in which a woman
drowned her children in a bathtub—aired shortly before the Yates killings. In the
purported episode, the mother was acquitted of murder because she was judged
insane, according to the witness.

Prior to this mistake, Dr. Dietz was considered by many to be a professional witness on
matters involving mental issues in criminal cases. After his mistake in the Yates case, his
creditability as a witness was seriously diminished, and his value as an expert witness was
greatly reduced because of this mistake, even though this was probably an innocent mis-
take. Whenever he testifies in the future, he will be subject to be cross-examination by the
opposing party because of this mistake. The Dietz situation is an excellent example as to
why witnesses should be careful when testifying to make sure that their testimony is cor-
rect. Any misstatement or untruth will subject the witness to continuing harassment in the
future. The golden rule is do not testify as to a certain fact unless you are certain you are
correct. If you are uncertain, express those concerns in court while on the stand.

QUESTIONS FOR DISCUSSION

1. Why is it important to submit accurate police reports?
2. What are the consequences of misstating facts in a criminal trial?
3. Explain how to refresh a witness’s memory.
4. Why is it important to build a reputation for honesty on the witness stand?
5. What reasons can you think of that support the need to be well prepared to testify
on the witness stand?
372 ◾ Cliff Roberson and Gwynne Birzer

BIBLIOGRAPHY
Biggs, M. (2001). Just the Facts: Investigate Report Writing. Upper Saddle River, NJ: Prentice Hall.
Birzer, M. and Roberson, C. (2011). Introduction to Criminal Investigation. Boca Raton, FL: CRC
Press.
Clark, K. (2006). How to Really, Really Write Those Boring Police Reports. Flushing, NY: Looseleaf
Law Publishing.
County of San Diego, CA, District Attorney’s Office. (1995). Ten Commandments for Witnesses. San
Diego, CA: District Attorney’s Office.
Gold, S. (2005). Yates Case Turns on Trial Error. Los Angeles Times, January 7, p. A-1.
Gold, S. and Gottlieb, J. (2005). Defense Derides Psychiatrist as a Witness-for-Hire: Forensic Specialist
Park Dietz Was Paid $50,000 by the Prosecution to Testify Whether Andrea Yates Could
Distinguish Right from Wrong. Los Angeles Times, January 7, p. A-1.
Roberson, C. and Birzer, M.L. (2010). Introduction to Private Security. Upper Saddle River, NJ:
Prentice Hall, p. 246.
United States v. Casamento, 887 F.2d 1141 (2d Cir. 1989).
United States v. Miller, 994 F.2d 441 (8th Cir. 1993).
United States v. Zizzo, 120 f.3d 1338 (7th Cir. 1997).
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