Journal of Forensic Sciences - 2016 - Taylor - The Reliability of Pattern Classification in Bloodstain Pattern Analysis
Journal of Forensic Sciences - 2016 - Taylor - The Reliability of Pattern Classification in Bloodstain Pattern Analysis
4
doi: 10.1111/1556-4029.13091
PAPER Available online at: onlinelibrary.wiley.com
CRIMINALISTICS
Michael C. Taylor,1 Ph.D.; Terry L. Laber,2 B.S.; Paul E. Kish,3 M.Sc.; Glynn Owens,4 Ph.D.; and
Nikola K. P. Osborne,5 Ph.D.
ABSTRACT: This study was designed to produce the first baseline measure of reliability in bloodstain pattern classification. A panel of
experienced bloodstain pattern analysts examined over 400 spatter patterns on three rigid non-absorbent surfaces. The patterns varied in spatter
type and extent. A case summary accompanied each pattern that either contained neutral information, information to suggest the correct pattern
(i.e., was positively biasing), or information to suggest an incorrect pattern (i.e., was negatively biasing). Across the variables under examina-
tion, 13% of classifications were erroneous. Generally speaking, where the pattern was more difficult to recognize (e.g., limited staining extent
or a patterned substrate), analysts became more conservative in their judgment, opting to be inconclusive. Incorrect classifications increased as
a function of the negatively biasing contextual information. The implications of the findings for practice are discussed.
KEYWORDS: forensic science, bloodstain pattern analysis, error rate, reliability, contextual bias, cognitive science
Bloodstains are a common by-product of violent crime, and heart of bloodstain pattern analysis (BPA) is the recognition and
analysis of these stains is a vital part of a crime scene investiga- classification of the bloodstain pattern.
tion. Despite the fact that DNA analysis can now routinely iden- BPA has been used in criminal investigations since the 1800s.
tify the individuals that have bled at a scene, other important Like many other disciplines from the early days of forensic
questions can remain unanswered. For example, it is not uncom- science, its use and acceptance occurred without rigorous valida-
mon for a suspect to claim that the blood found on his/her cloth- tion. The Organization of Scientific Area Committees (OSAC)
ing was deposited when he/she was trying to aid the victim. In BPA Subcommittee (previously the Scientific Working Group
these situations, understanding the mechanism by which the on Bloodstain Pattern Analysis (SWGSTAIN)) has made valu-
stains were deposited onto an article of clothing could be more able progress in setting standards for training and education, ter-
informative than knowing from whom the blood originated. This minology, quality assurance, and validation of new procedures
is where the analysis of bloodstain patterns can often give valu- for the discipline (1–3). Like other forensic practitioners, how-
able clues as to how the blood came to be where it was found. ever, bloodstain pattern analysts are grappling with the problem
Although the dynamics of the formation of a bloodstain pat- of assessing the reliability of the methodology that they use. At
tern appear to be infinitely variable, it is nevertheless true that this time, very little is known about this beyond the instincts of
bloodstain patterns have reproducible characteristics that allow a experienced instructors and investigators who have observed the
connection to be made between the distribution of bloodstains reproducibility of bloodstain patterns over many crime scenes
and the underlying mechanism of their formation. Thus, at the and practical sessions in the classroom. While such experience
has served as the main basis for assessing the reliability of BPA
testimony in the past, the courts now rightly demand much
1
Institute of Environmental Science and Research Limited (ESR), PO
more. Indeed, establishing accuracy and reliability measures in
Box 29-181, Christchurch, New Zealand. forensic disciplines was a key recommendation in the National
2
Minnesota Bureau of Criminal Apprehension (BCA), 1430 Maryland Ave Research Council’s 2009 (4) report on the state of forensic
East, St Paul, MN 55106. science.
3
Forensic Consultant & Associates, PO Box 814, Corning, NY 14830. There are several factors that may influence the reliability of
4
School of Psychology, University of Auckland, Private Bag 92019,
Auckland 1142, New Zealand. bloodstain pattern classifications. First, different bloodletting
5
Institute of Environmental Science and Research Limited (ESR), PO mechanisms can give rise to bloodstain patterns that possess
Box 29-181, Christchurch, New Zealand. similar or indistinguishable characteristics. For example blunt
*Supported by a research grant from the National Institute of Justice force impact and expiration patterns (2) can both feature small
(Award # 2010-DN-BX-K213). Presented at the International Association of
Bloodstain Pattern Analysts (IABPA) Training Conference, October 1-4,
bloodstains and as such may be confused with one another. Sec-
2013, in San Diego, CA. ond, at times, a pattern might only comprise one, or a small
Received 8 June 2015; and in revised form 6 Oct. 2015; accepted 17 Oct. number of stains, meaning an analyst must decide if he/she has
2015. sufficient data to make a reliable classification. Finally, the sur-
face characteristics of the substrate on which the bloodstain is acknowledged that training and experience are important ingredi-
created, whether a rigid smooth surface or an absorbent fabric, ents in the accurate conclusions reached by forensic analysts, the
might add another level of complexity to the pattern recognition approach used here was designed to help define the upper limit
task. These issues have been highlighted in several high profile of pattern classification reliability by focusing attention on
homicide trials in which bloodstain pattern analysts have found method reliability rather than analyst competency.
themselves at the center of controversial arguments relating to The type of pattern, pattern extent, the nature of the substrate,
the explanation of the mechanisms that produce very small and the direction of contextual cues were varied in a balanced
bloodstains on clothing (5,6). experiment designed to determine the effect of these variables
Although the size and distribution of individual bloodstains on pattern classification accuracy.
are often measured, pattern recognition methods rely primarily
on a qualitative assessment of the appearance of the pattern. It is
essential therefore that these methods are well understood, their Method
reliability is demonstrable and that any bloodstain pattern con-
Participants
clusion proffered can be supported by statements that guide the
courts in their assessment of the extent of that reliability. Participants were 27 bloodstain pattern analysts from North
One of the complications for any study of method reliability America, Australasia (New Zealand and Australia), and Europe.
is the variability in the methods used. At this time, there is no All were invited based on their experience and standing within
discipline standard in the methodology employed by bloodstain the BPA community and were required to meet the following
pattern analysts. Two suggestions have been made to meet this three criteria: (i) must have completed at least 80 h training in
need (7,8), but so far no significant effort has been made to BPA, (ii) have been active in BPA casework for a minimum of
establish these or any other approaches as standards. In fact, it is 5 years, (iii) and be qualified by a court as an expert in BPA
possible that some bloodstain pattern analysts would struggle to and have provided expert testimony.
articulate the methodology that they employ.
Testing the reliability of BPA methods is not a straightforward
Materials
task. For example, it is generally impossible to know with cer-
tainty the “true” mechanistic cause of a bloodstain pattern at a Bloodstain pattern targets (40 cm 9 40 cm) were prepared in
crime scene. For this reason, procedures to test method reliability a controlled laboratory setting at the Minnesota Bureau of Crimi-
are limited to artificially created scenarios for which the ground nal Apprehension (BCA). This size was chosen to aid with ship-
truth can be known. This approach has the risk of under or over ping the materials to study participants. The completed targets
estimating identification errors because some of the dynamics were coated with a clear lacquer to prevent deterioration and to
present in a real case investigation are lacking. assist with biohazard safety. This coating meant that no chemical
When considering the reliability of any forensic method, it is tests to identify blood or saliva were possible. Participants were
important to assess whether factors outside of the evidence can expected to assume that any visible red-brown stains were
influence the reliability of interpretations. In particular, a grow- indeed bloodstains.
ing body of research has demonstrated that expert interpretations Three variables were manipulated when preparing the blood-
may be influenced by the presentation of contextual information stain pattern targets: type of pattern, pattern extent, and target
(9–18). substrate.
Perhaps more so than in any other forensic discipline, contex-
tual information is a necessary part of BPA. That is because Type of Pattern—One of four different bloodstain pattern types
bloodstain patterns are analyzed in the context of a case with the were prepared for each target: blunt force impact spatter, firearms-
objective to assist with the reconstruction of events. This means related (back or forward) spatter, cast-off pattern, and expirated
that once the pattern is classified, its relevance to the case inves- spatter. These spatter pattern types were chosen to reflect the poten-
tigation must be considered. These two processes (pattern classi- tial for overlap in pattern characteristics between pattern types,
fication and scene reconstruction) frequently overlap. At present, which can be problematic for bloodstain pattern analysts, and were
there is no rigorous protocol for BPA that distinguishes these designed to represent those typically encountered at crime scenes.
processes. This means that, at an early stage of the analysis, ana- Cast-off pattern and blunt force impact spatter targets were
lysts may consider additional case-specific information, such as made with fresh human blood, donated by project volunteers.
medical findings, case circumstances, and even witness testi- Blood was drawn into tubes containing EDTA anticoagulant and
mony. If the BPA methodology is not reliable, this integration was used within 7 days of drawing. Blood for the firearms-
of case information may create a fertile breeding ground for con- related spatter was purchased from Memorial Blood Center, 737
textual bias (19). Pelham Boulevard, Saint Paul, MN 55114, and was used within
30 days of drawing. Blood for the expirated patterns was drawn
from an experimenter on the same day it was used and was used
The Present Study
unrefrigerated. To represent the variability found in crime scenes
The research hypothesis at the heart of this study was as fol- and to create varied pattern extents, two methods were used to
lows: Pattern recognition methods employed in BPA are reliable create each pattern type (Tables 1–4). Targets were mounted on
when used by fully competent analysts. a vertical surface during preparation.
To test this, a panel of experienced bloodstain pattern analysts
classified a series of bloodstain spatter patterns. These patterns Pattern Extent—The extent of pattern on each target was cate-
included stains made under a variety of conditions relevant to a gorized into three levels: minimum, medium, and maximum. Cat-
crime scene and included some sets of stains produced under egory membership was determined by an approximation of the
“ideal” conditions. That is to say, patterns produced to provide total number of stains in the pattern and the number of stains
the maximum chance of accurate classification. While it is larger than 1 mm in diameter (see Table 5).
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924 JOURNAL OF FORENSIC SCIENCES
TABLE 1––Methods used to create blunt force impact spatter. For both pat- TABLE 6––Example of contextual information.
tern-creating methods, multiple targets were positioned 50 cm from the front,
side, and back of a striking zone. Example scenario containing contextual information* to suggest the
pattern is the result of expirated blood
Method 1 One drop of blood was placed on a wooden block in the center Police were called to a late-night disturbance outside an inner-city club. On
of the striking zone. A hammer was propelled by rubber bands arrival, they found the body of a 23-year-old man in a dark alleyway, with
and gravity onto the blood pool. This method tended to produce a crowd of youths standing nearby watching the paramedics, who comment
fine horizontally directed spatter that they thought the man died from severe internal injuries following a
Method 2 Six drops of blood were placed on a wooden block to the right beating. The man’s external bloodletting injuries were confined to his nose
side of the center of the striking zone and extending outside of and mouth. An officer noticed bloodstains on the side door of the club. The
that zone. The hammer was allowed to fall under gravity alone club owner was interviewed and told police that he had not been present
onto the blood pool. This method tended to produce larger during the disturbance but had heard the noise and had come outside and
spatter stains that travelled higher on the adjacent vertical saw the deceased lying in the alleyway and several youths running off. He
surface says the bloodstaining occurred when the victim was alive and was
coughing up blood. Police bring you a section of the door for your
bloodstain pattern examination. DNA tests confirm the blood on the door of
TABLE 2––Methods used to create cast-off bloodstain patterns. the club was from the 23-year-old victim found in the alleyway. You are
requested to determine the nature of the bloodstaining to confirm the club
Method 1 A wrench was liberally coated in blood and then swung a few owner’s account.
times to remove excess blood. An experimenter stood
approximately 130 cm from the left and front walls that held the *If the target pattern was an expirated bloodstain pattern, this contextual
targets and swung the wrench forcibly from left to right, on an information would be considered positively biasing. If the target pattern was
angle, and overhead and downwards. This method tended to a pattern other than expirated blood, then this contextual information would
produce large stains with a broadly linear distribution be considered negatively biasing.
Method 2 A small knife was dipped a few millimeters into a beaker of
blood and tapped one to two times to remove excess blood. Example scenario containing neutral contextual information
An experimenter then stood approximately 85 cm from the left Police get a call from a hotel manager who reports that one of her cleaning
wall and 130 cm from the front wall and swung the knife staff found bloodstains on the wall in one of the hotel rooms during a
forcibly toward the targets. This method tended to give smaller routine room service. She reports that the guest who occupied the room had
spatter stains in a tightly linear distribution checked out. The police locate the guest who denies all knowledge of the
blood and appears to be able to account for all his movements during his
stay. A DNA test shows the blood in the room is not from him. Police have
brought you this sample from the room and asked you to examine it to help
TABLE 3––Methods used to create expirated bloodstain patterns. determine the significance of the pattern present.
Results
Error and Accuracy Rate Determination
Analysts’ responses were considered correct if they selected
the pattern type that represented the true mechanistic cause for FIG. 2––Proportion of response outcomes as a function of pattern extent.
pattern (or selected this pattern type among multiple selections).
Analysts’ responses were considered incorrect if the true pattern pattern extent, v2 (4, N = 413) = 26.74, p < 0.0001. As might
type was not selected in their choice(s). If analysts could not state be expected, analysts’ accuracy improved as the extent of blood-
that any of the listed patterns could account for the target pattern, staining in the pattern (essentially the number of stains present
their responses were considered inconclusive. If analysts had clas- on the target) increased (Fig. 2). Rather than the decrease in
sified the pattern by indicating all listed types as possible, these staining extent increasing analysts’ propensity to make errors,
responses would have been considered inconclusive; none did so. the decrease in correct classifications was matched with an
increase in inconclusive classifications.
Pattern Classification Accuracy
Effect of Target Substrate
Twenty-seven analysts made judgements on 15–16 target pat-
terns each, yielding 416 unique assessments. Three assessments There was a significant overall difference in the frequency of
were removed from the analysis because no response was provided; correct, incorrect, and inconclusive responses as a function of
413 responses remained. In total, analysts were correct for 69.5% the substrate on which the bloodstain patterns were deposited, v2
of classifications and made errors for 13.1% of classifications. The (4, N = 413) = 38.64, p < 0.0001. Analysts made the greatest
remaining 17.4% of responses were inconclusive. Chi-squared (v2) number of correct classifications on the white-painted surface,
tests were performed to determine whether the frequency of correct, followed by the wallpaper surface (Fig. 3). The chipboard sur-
incorrect, and inconclusive responses varied significantly face resulted in the lowest proportion of correct responses and
(p < 0.05) as a function of each of the variables under examination. greatest proportion of inconclusive responses. The chipboard sur-
face had a highly patterned finish with many surface features
that could have been confused with small bloodstains. Analysts
Effect of Pattern Type
had little or no scope for using any enhancement methods that
There was a significant overall difference in the frequency of ana- might have assisted them with distinguishing bloodstains from
lysts’ correct, incorrect, and inconclusive responses as a function of artefacts. Analysts’ decrease in correct classifications was
pattern type, v2 (6, N = 413) = 13.871, p = 0.031. This was matched by an increase in inconclusive classifications, rather
mainly due to analysts’ success in identifying expirated patterns than an increase in erroneous classifications.
(81% correct compared to 64–69% for the remaining types; Fig. 1).
Effect of Contextual Information
Effect of Pattern Extent
There was a significant overall difference in the number of
There was a significant overall difference in the frequency of correct, incorrect, and inconclusive responses as a function of
correct, incorrect, and inconclusive responses as a function of the direction of the contextual cues, v2 (4, N = 413) = 12.39,
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926 JOURNAL OF FORENSIC SCIENCES
indeed the observed outcome in this study for the pattern extent A study of this sort has limitations, not the least of which is
and substrate limitations. the fact that analysts were not making decisions in the context
Of particular interest in this study was whether contextual of a real case, with the associated demands of a court. Within
information can influence classification decisions. Indeed, where the restrictions of the study, however, a useful baseline has been
a scenario was offered that deliberately pointed analysts toward established for the expected error rate in bloodstain pattern clas-
the correct classification, the proportion of misclassifications that sification.
resulted was lower (8%) than that observed for patterns with
neutral scenarios (11%).
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Additional information and reprint requests:
The practicalities of this may vary from agency to agency and Michael C. Taylor, Ph.D.
may not be straightforward, as many analysts are immersed in Institute of Environmental Science and Research Ltd
an investigation in ways that make it difficult to control the flow PO Box 29181
of information. However, further research efforts could see valid Christchurch 8540
New Zealand
contextual information management methods emerge.
E-mail: [email protected]