the forensic examiner (sample) - fall 2009

A Memorable Day in theLife of Forensic Examiner Dr. John Brick

Derivatives:When a Financial Tool Becomes a Risk

Negotiation Risks in Somalia:Challenges and Psychological Dynamics in Failed States

Principles and Approaches to Criminal Investigative AnalysisPart 2 of Dr. Gregory M. Vecchi’s Crime Scene Exploration

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4 THE FORENSIC EXAMINER® Fall 2009 www.acfei.com

FORENSICEXAMINER®

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The Official Peer-Reviewed Journal of The American College of Forensic Examiners VOLUME 18 • NUMBER 3 • Fall 2009

FEATURES

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A Memorable Day in the Life of Forensic Examiner Dr. John Brick

COVER STORY

24Principles and Approaches to Criminal Investigative Analysis: Part 2 of 4By Gregory M. Vecchi, PhD, CFC, CHS-V, DABCIP, DABLEE

Derivatives: A Cautionary TaleBy Barbara Apostolou, PhD, CPA and Nicholas G. Apostolou, DBA, CPA

Challenges and Psychological Dynamics of Negotiating Risks in Failed States: The Somali CaseBy Barry Austin Goodfield, PhD, FACFEI, DABFE, DABFM and Andre LeGallo, BA

Planes, Vans, and Automobiles: Medical Escort of the Forensic PatientBy Heidi Bale, RN, CFN

New Opportunities in a Growing Field: ACFEI’s Forensic Nursing FieldIncluding an Exclusive Interview with Dianne Ditmer, RN, PhD, CFN, DABFN, CMI-III, CHS-III, SANE, FACFEI

The Detective’s Corner: A Jewel of a CaseBy Shirley McCann

Observe Carefully, Deduce Shrewdly: Dr. Joseph BellBy Katherine Ramsland, PhD, CMI-V

Falsely Accused:Wrongly Convicted Teen Set Free

Fall 2009 THE FORENSIC EXAMINER® 5(800) 592-1399

FEATURES

CASE STUDIES/OTHER FEATURESALSO IN THIS ISSUE

46

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Masking a Sex Offense: When a Non-Sex Crime Really Is a Sex CrimeBy Scott A. Johnson, MA, LP, DABPS

Police Criminalistics: Learning Modalities and EvaluationBy Thomas E. Baker, MS, MEd, CAGS

ACFEI News

Conference Preview

Book Review

A Memorable Day in the Life of Forensic Examiner Dr. John Brick

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Louay Al-Alousi, MB, ChB, PhD, FRCPath, FRCP(Glasg), FACFEI, DMJPath, DABFM, FFFFLMNicholas G. Apostolou, DBA, DABFA, CPA, Cr.FALarry Barksdale, BS, MA E. Robert Bertolli, OD, FACFEI, CHS-V, CMI-VKenneth E. Blackstone, BA, MS, CFC, DABFEDavid T. Boyd, DBA, CPA, CMA, CFM, Cr.FAJules Brayman, CPA, CVA, CFD, DABFA, FACFEIJohn Brick, PhD, MA, DABFE, DABFM, FACFEI Richard C. Brooks, PhD, CGFM, DABFESteve Cain, MFS, DABFE, DABRE, FACFEI, MF-SQD, DABLEEDennis L. Caputo, MS, DABFET, REM, CEP, CHMM, QEP, FACFEI Donald Geoffrey Carter, PE, DABFETDavid F. Ciampi, PhD, FACFEI, DABPSLeanne Courtney, BSN, DABFN, DABFELarry Crumbley, PhD, CPA, DABFE, Cr.FAJean L. Curtit, BS, DC Andrew Neal Dentino, MD, FACFEI, DABFE, DABFM Francisco J. Diaz, MDJames A. DiGabriele, DPS, CPA, CFSA, DABFA, Cr.FA, CVA, FACFEIJohn Shelby DuPont Jr., DDS, DABFD Scott Fairgrieve, Hons. BSc, MPhil, PhD, FAAFSEdmund D. Fenton, DBA, CPA, CMA, Cr.FA Per Freitag, PhD, MD, FACFEI, DABFE, DABFMNicholas Giardino, ScD, FACFEI, DABFEDavid H. Glusman, CPA, DABFA, CFS, Cr.FA, FACFEIKaren L. Gold, PysD, FACFEI, DABPSRon Grassi, DC, MS, FACFEI, DABFM, DABFEJames Greenstone, EdD, JD, FACFEI, DABFE, DABFM, DABECI, CMI-I, CHS-IIIRoy C. Grzesiak, PhD, PCRichard C. W. Hall, FACFEI, DABFM, DABFE, MD, FAPA, FAPM, FACPsychRaymond F. Hanbury, PhD, ABPP, FACFEI, DABFE, DABPS, CHS-IIIJames Hanley III, MD, DABFM, FACFEINelson Hendler, MD, DABFMDavid L. Holmes, EdD, FACFEI, DABFE, DABPSLeo L. Holzenthal Jr., PE, DABFET, FACFEILinda Hopkins, PhD, CFC, DABPS, DABRE Edward J. Hyman, PhD, FACFEI, DABFE, DABFM, DABPSZafar M. Iqbal, PhD, FACFEI, DABFE, DABFM Nursine S. Jackson, MSN, RN, DABFNPaul Jerry, MA, DAPA, DABFC

Scott A. Johnson, MA, DABPS, DAACCEPhilip Kaushall, PhD, DABFE, DABPS, FACFEIEric Kreuter, PhD, CPA, CMA, CFM, DABFA, FACFEIRonald G. Lanfranchi, DC, PhD, DABFE, DABFM, DABLEE, CMI-IV, FACFEIRichard Levenson, Jr., PsyD, DABFE, DABPS, FACFEIMonique Levermore, PhD, FACFEI, DABPS Jonathon Lipman, PhD, FACFEI, DABFE, DABPS, DABFMJudith Logue, PhD, FACFEI, DABFSW, DABPS, DABFE, DABFMJennie Martin-Gall, CMI-IMike Meacham, PhD, LCSW, DABFSW, FACFEIDavid Miller, DDS, FACFEI, DABFE, DABFM, DABFDJohn V. Nyfeler, CHS-IIIJacques Ama Okonji, PhD, FACFEI, DABFE, DABPSNorva Elaine Osborne, OD, CMI-IIITerrence O’Shaughnessy, DDS, FACFEI, DABFD, DABFE, DABFMGeorge Palermo, MD, FACFEI, DABFE, DABFMRonald J. Panunto, PE, CFC, CFEI, DABFETLarry H. Pastor, MD, FACFEI, DABFE, DABFMTheodore G. Phelps, CPA, DABFAMarc Rabinoff, EdD, FACFEI, DABFE, CFCHarold F. Risk, PhD, DABPS, FACFEISusan P. Robbins, PhD, LCSW, DABFSWJane R. Rosen-Grandon, PhD, DABFC, FACFEIDouglas Ruben, PhD, FACFEI, DABFE, DABFM, DABPSJ. Bradley Sargent, CPA, CFS, Cr.FA, DABFA, FACFEIWilliam Sawyer, PhD, FACFEI, DABFE, DABFMVictoria Schiffler, RN, DABFN, FACFEIHoward A. Shaw, MD, DABFM, FACFEIHenry A. Spiller, MS, DABFE, FACFEIMarilyn Stagno, PsyD, DABFE, DABFM, DABPSRichard I. Sternberg, PhD, DABPSJames R. Stone, MD, MBA, CHS-III, DABFE, DABFM, FACFEI, CMI-IVJohann F. Szautner, PE, PLS, FACFEI, DABFET William A. Tobin, MA, DABFET, DABLEE, FACFEIRobert Tovar, BS, MA, DABFE, DABPS, CHS-IIIBrett C. Trowbirdge, PhD, JD, DABPS, FACFEIJeff Victoroff, MD, DABFE, DABFMPatricia Ann Wallace, PhD, FACFEI, DABFE, DABFM, CFCRaymond Webster, PhD, FACFEI, DABFE, DABFMDean A. Wideman, MSc, MBA, CFC, CMI-III, DABFE

PUBLISHER:Robert L. O’Block, MDiv, PhD, PsyD, DMin,DD (Hon) ([email protected])

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VICE CHAIR: Michael Fitting Karagiozis, DO, MBA, CMI-V, CFP

MEMBERS:John H. Bridges III, DSc (Hon), CHS-V, CHMM, CSHM, DABCHS, FACFEICam Cope, MS, DABFET, DABFE; Chair, American Board of Forensic Engineering and TechnologyDianne Ditmer, MS, RN, CFN, CMI-III, CHS-III, FACFEI, DABFN, CMI-III; Chair, American Board of Forensic NursingDouglas E. Fountain, PhD, LCSW, DABFE, DABFSWRaymond F. Hanbury, PhD, FACFEI, DABPS, DABFE, CHS-III, ABPPLee Heath, DABLEE, CHS-VBrian L. Karasic, DMD, MScFin, FACFEI, DABFD, DABFM, DABFE, MOA, CMI-IV, FAAIMMichael G. Kessler, Cr.FA, CICA, FACFEI, DABFA, DABFEMarilyn J. Nolan, MS, FACFEI, DABFC, DABCIPThomas J. Owen, BA, FACFEI, DABRE, DABFE, CHS-VDennis Thibodeaux, CISSP, CISM, CFC, CHS-V; Chair, Ameri-can Board of Information Security and Computing ForensicsGregory M. Vecchi, PhD, CFC, CHS-V, DABLEE, DABCIP; Chair, American Board of Critical Incident Professionals

FORENSICEXAMINER®

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AMERICAN BOARD OF CRITICAL INCIDENT PROFESSIONALSChair of the Executive Board of Critical Incident Professionals: Gregory M. Vecchi, PhD, CFC, CHS-V, DABLEE, DABCIPVice Chair: Kent A. Rensin, PhD, DABCIPMonica J. Beer, PhDSam D. Bernard, PhD, DABCIP, CHS-IIIMarie Leeds Geron, PhD, CHS-V, DABCIPRaymond H. Hamden, PhD, FACFEI, DABPS, DABCIP, DABCHS, DAPA, CFC, CMI-V, CHS-VTina Jaeckle, CFCMarshall A. Jones, MS, DABCIPMarilyn J. Nolan, MS, FACFEI, DABFC, DABCIPRev. Roger Rickman, ThD, MBA, ACC, CFC, CHS-V, CMI-I, SSI, CRS, DABCHS, DABCIP, DAPA, FABI, PI, SCS, FAAIMDebra Russell, PhD, CMI-V, CHS-III, CRC, CISM, DABCIPDorriss “Ed” Smith, Col. US Army, CHS-V, DABCIPVincent B. Van Hasselt, PhD, DABCIPAlan E. Williams, MS, CHS-V, DABCIP

AMERICAN BOARD OF FORENSIC ACCOUNTINGChair of the Executive Board of Accounting Advisors: Michael G. Kessler, Cr.FA, CICA, FACFEI, DABFA, DABFEChair Emeritus: J. Bradley Sargent, CPA, CFS, Cr.FA, DABFA, FACFEIStewart L. Appelrouth, CPA, CFLM, CVA, DABFA, Cr.FA, ABV, FACFEIGary Bloome, CPA, Cr.FAAlexander Lamar Casparis, CPA, CVA, MBA,Cr.FAD. Larry Crumbley, PhD, CPA, DABFA, Cr.FA, CFFA, FCPAJune M. Dively, CPA, DABFA, Cr.FAMichael W. Feinberg, CPA, Cr.FADavid Firestone, CPA, Cr.FAMark S. Gottlieb, CPA/ABV/CFF, CVA, CBA, DABFA, MSTDavid H. Glusman, CPA, FACFEI, DABFA, Cr.FAEric A. Kreuter, PhD, CPA, CMA, CFM, FACFEI, DABFA, SPHR, CFD, CFFA, BCFTRobert K. Minniti, CPA, MBA, Cr.FADennis S. Neier, CPA, DABFAKim J. Onisko, CPA, Cr.FAJoseph F. Wheeler, CPA, Cr.FA, CHS-III, CFF, CAMS

AMERICAN BOARD OF FORENSIC COUNSELORSChair of the Executive Board of Forensic Counselors: Marilyn J. Nolan, MS, FACFEI, DABFC, DABCIPVice Chair: Steven M. Crimando, MA, CHS-IIIChair Emeritus: Dow R. Pursley, EdD, DABFCIrene Abrego Nicolet, PhD, DABFC, MAGeorge Bishop, LPC, LAT, LAC, FACFEI, DABFELaura W. Kelley, PhD, LPC, DABFC, FACFEIRobert E. Longo, FACFEI, DABFCKathleen Joy Walsh Moore, DABFC, CHS-IIIDeeAnna Merz Nagel, MEd, LPC, CRC, DCC, CFCHirsch L. Silverman, PhD, FACFEI, DABFC, DABFE, DABFM, DABPSWilliam M. Sloane, JD, LLM, PhD, FACFEI, DABFC, CHS-III, CMI-I, DACC, DCPC, FAAIM, FACC, MTAPAGary Smith, MEd, FACFEI, DABFEAva Gay Taylor, MS, LPC, DABFC, FACFEI

AMERICAN BOARD OF FORENSIC DENTISTRYChair of the Executive Board of Forensic Dentistry: Brian L. Karasic, DMD, MBA, MScFin, FACFEI, DABFD, DABFM, DABFEMembers of the Executive Board of Dental Advisors: Ira J. Adler, DDS, DABFDBill B. Akpinar, DDS, CMI-V, FACFEI, DABFD, DABFE, DABFMStephanie L. Anton-Bettey, DDS, CMI-VJeff D. Aronsohn, DDS, FACFEI, DABFD, CMI-VSusan Bollinger, DDS, CMI-IV, CHS-IIIMichael H. Chema, DDS, FACFEI, DABFD, DABFEJames H. Hutson, DDS, CMI-V, DABFD, FACFEIJohn P. Irey, DDS, CMI-V, LLCChester B. Kulak, DMD, CMI-V, CHS-III, CFC, DABFE, DABFDMorley M. Lem, DDS, FACFEI, DABFD, DABFM, DABFE, DABPSJohn P. LeMaster, DMD, DABFD, CMI-V, CHS-III, DABFM, FACFEIJeannine L. Weiss, DDS

AMERICAN BOARD OF FORENSIC EXAMINERSChair of the Executive Board of Forensic Examiners: Michael Fitting Karagiozis, DO, MBA, CMI-V, CFPMembers of the Executive Board of Forensic Examiners:

Jess P. Armine, DC, FACFEI, DABFE, DABFMPhillip F. Asencio-Lane, FACFEI, DABFEJohn H. Bridges III, CHS-V, CHMM, CSHM, DABCHS, DABCIP, FACFEIRonna F. Dillon, PhD, DABFE, DABPS, CMI-V, CHS-IIINicholas J. Giardino, ScD, FACFEI, DABFE, RPIH, MAC, CIHBruce H. Gross, PhD, JD, MBA, FACFEI, DABFE, DABFM, DABPS, DAPAKenneth M. Gross, DC, FACFEI, DABFE, CMI-IDarrell C. Hawkins, MS, JD, FACFEI, DABFE, DABLEE, CMI-V, CHS-III, F-ABMDII, IAI-SCSA, IAAI-CFIMichael W. Homick, PhD, DABCHS, CHS-VJohn L. Laseter, PhD, FACFEI, DABFE, DABFM, CMI-IV, CHS-IIIJonathan J. Lipman, PhD, FACFEI, DABFE, DABFM, DABPSLeonard K. Lucenko, PhD, FACFEI, DABFE, CPSIEdward M. Perreault, PhD, DABFE, FACFEIMarc A. Rabinoff, EdD, FACFEI, DABFE, CFCDavid E. Rosengard, RPh, MD, PhD, MPH, FACFEI, CMI-V, CHS-V, DABFE, DABFM, DABECI, FACA, FAPA, MTAPA, FAAIMJanet M. Schwartz, PhD, FACFEI, DABFE, DABFM, DABPS, DABCHS, CHS-V, DAPA, NCC, NCP, CDP-ILarry F. Stewart, MSFS, CFC

AMERICAN BOARD OF FORENSIC ENGINEERING AND TECHNOLOGYChair of the Executive Board of Engineering and Technology Advisors: Cam Cope, BS, DABFET, DABFEVice Chair: George C. Frank, CFC, DABFESecond Vice Chair: Ronald G. Schenk, MSc, MInstP, Peng (UK), CHS-III, CMI-I, SSI Chair Emeritus: Ben Venktash, DABFET, DABFE, CHSP, REA, FRSH (UK), FIET (UK)David Albert Hoeltzel, PhDRobert K. Kochan, BS, FACFEI, DABFET, DABFEJ.W. “Bill” Petrelli Jr., AIA, NCARB, TAID, FACFEI, DABFET, CFCMax L. Porter, PhD, DABFET, DABFE, PE, HonMASCE, Parl, Dipl ASFE, FTMS, FACI, CFC, FACFEIJames A. St. Ville, MD, MS, FACFEI, DABFET, DABFMKandiah Sivakumaran, MS, PE, DABFETMalcolm H. Skolnick, PhD, JD, FACFEI, DABFET, DABFE

AMERICAN BOARD OF FORENSIC MEDICINEChair of the Executive Board of Medical Advisors: David E. Rosengard, RPh, MD, PhD, MPH, FACFEI, CMI-V, CHS-V, DABFE, DABFM, DABECI, FACA, FAPA, MTAPA, FAAIMVice Chair: Michael Fitting Karagiozis, DO, MBA, CMI-V, CFPMembers of the Executive Board of Medical Advisors: Terrance L. Baker, MD, MS, FACFEI, DABFM, CMI-V, CFP, DABFEDouglas Wayne Beal, MD, MSHA, CMI-V, CFP, DABFE, DABFMJohn Steve Bohannon, MD, CMI-IV, CFP, FACEPZhaoming Chen, MD, PhD, MS, FAAIM, CFPJohn A. Consalvo, MDEdgar L. Cortes, MD, DABFM, DABFE, FAAP, FACFEI, CMI-V, CFPAlbert Basil DeFranco, MD, FACFEI, DABFM, DABPS, CMI-V, CFP, CHS-IIIJames B. Falterman Sr., MD, DABFM, DABFE, DABPS, FACFEI, CMI-IV, CFPMalcolm N. Goodwin Jr., MD, MS, FACFEI, DABFM, DABFE, FCAP, Col USAF MCFS (Ret), CFPVijay P. Gupta, PhD, DABFMRichard C.W. Hall, MD, FACFEI, DABFM, DABFE, CFPLouis W. Irmisch III, MD, FACFEI, DABFM, DABFE, CMI-V, CFPE. Rackley Ivey, MD, FACFEI, DABFM, DABFE, DABMCM, DAAPM, CMI-V, CFPKenneth A. Levin, MD, FACFEI, DABFM, DABFE, CFPE. Franklin Livingstone, MD, FACFEI, DABFM, DABFE, DAAPM, FAAPM&R, CFPJohn C. Lyons, MD, FACS, MSME, BSE, FACFEI, DABFM, DAB-FET, DABFE, CMI-IV, CFPManijeh K. Nikakhtar, MD, MPH, DABFE, DABPS, CMI-V, CHS-V, CFPJohn R. Parker, MD, FACFEI, DABFM, FCAP, CFPJerald H. Ratner, MDAnna Vertkin, MD, CMI-V, DABFM, CFPMaryann M. Walthier, MD, FACFEI, DABFM, DABFE, CFPCyril Wecht, MD, JD, FACFEI, CMI-V, CFP

AMERICAN BOARD OF FORENSIC NURSINGChair of the Executive Board of Nursing Advisors: Dianne T. Ditmer, MS, RN, CFN, CMI-III, CHS-III, FACFEI, DABFN, CMI-III; Chair, American Board of Forensic NursingHeidi H. Bale, RN, CFN, CCHPMarilyn A. Bello, RNC, MS, CMI-IV, CFC, CFN, SAFE, DABFN, DABFEWanda S. Broner, MSN, RN, FNE, CENCynthia J. Curtsinger, RN, CFNLinda J. Doyle, RN, CLNC, CFN, CMI-IIIL. Sue Gabriel, EdD, MSN, MFS, RN, Diane L. Reboy, MS, RN, CFN, LNCC, FACFEI, DABFN, CNLCPElizabeth N. Russell, RN, BSN, CCM, BC, DABFN, FACFEI LeAnn Schlamb, MSN, RN-BC, CFN, DABFNSharon L. Walker, MPH, PhD, RN, CFNCarol A. Wood, RN, CFN, BS, NHA

AMERICAN BOARD OF FORENSIC SOCIAL WORKERSChair of the Executive Board of Social Work Advisors: Douglas E. Fountain, PhD, LCSW, FACFEI, DABFE, DABFSWChair Emeritus: Karen M. Zimmerman, MSW, DABFSW, DABFESusan L. Burton, MA, MSW, LMSW, DABFSW, DABLEEJudith V. Caprez, MSW, ACS, LCSW, DABFSWPeter W. Choate, BA, MSW, DABFSW, DABFEJudith Felton Logue, PhD, FACFEI, DABFE, DABFSW, DABPS, DABFMMichael G. Meacham, PhD, LCSW, DCSW, FACFEI, DABFSWKathleen Monahan, DSW, MSW, CFC, DABFESusan P. Robbins, PhD, LCSW, DCSW, BCD, LDC, DABFSWSteven J. Sprengelmeyer, MSW, MA, FACFEI, DABFSW, DABFE, LISW

AMERICAN BOARD OF PSYCHOLOGICAL SPECIALTIESChair of the Executive Board of Psychological Advisors: Raymond F. Hanbury, PhD, FACFEI, DABPS, DABFE, CHS-III, ABPPVice Chair: Raymond H. Hamden, PhD, FACFEI, DABPS, DABCIP, DABCHS, DAPA, CFC, CMI-V, CHS-V Chair Emeritus: Carl N. Edwards, PhD, JD, FAAFS, FICPP, FACFEI, DABPS, DABFECarol J. Armstrong, PhD, LPC, DABPSRobert J. Barth, PhD, DABPSMonica J. Beer, PhDJohn Brick III, PhD, MA, FAPA, FACFEI, DABFE, DABPSAlan E. Brooker, PhD, FACFEI, DABPS, DABFM, DABFE, CMI-III, ABPP-CnBrian R. Costello, PhD, FACFEI, DABPS, DABFE Ronna F. Dillon, PhD, DABPS, DABFE, CMI-V, CHS-IIIBrent Van Dorsten, PhD, FACFEI, DABFE, DABFM, DABPSDouglas P. Gibson, PsyD, MPH, DABPS, CMI-V, CHS-IIIMark Goldstein, PhD, DABFE, DABPS, FACFEIThomas L. Hustak, PhD, FACFEI, DABPS, DABFERichard Lewis Levenson Jr., PsyD, FACFEI, DABPS, DABFE, CTS, FAAETSStephen P. McCary, PhD, JD, FACFEI, DABFE, DABFM, DABPS, FAACP, DAPAHelen D. Pratt, PhD, FACFEI, DABPS Douglas H. Ruben, PhD, FACFEI, DABPS, DABFE, DABFMRichard M. Skaff, PsyD, DABPSCharles R. Stern, PhD, DABPS, DABFE, DABFM, FACFEI, CMI-VJoseph C. Yeager, PhD, DABFE, DABLEE, DABPS, FACFEI Donna M. Zook, PhD, DABPS, CFC

AMERICAN BOARD OF RECORDED EVIDENCEChair of the Executive Board of Recorded Evidence Advisors: Thomas J. Owen, BA, FACFEI, DABRE, DABFE, CHS-VErnst F. W. (Rick) Alexanderson, BA, MBA, FACFEI, DABRE, DABFEEddy B. Brixen, DABFET Charles K. Deak, BS, CPC, DABFE, FACFEIRyan O. Johnson, BA, DABFE, DABREMichael C. McDermott, JD, DABRE, DABFE, FACFEIJennifer E. Owen, BA, DABRE, DABFE Lonnie L. Smrkovski, BS, DABRE, DABFE, FACFEI

ACFEI EXECUTIVE ADVISORY BOARDS

INSIDE THE FORENSIC EXAMINER®

Principles and Approaches to Criminal

Investigation, Part 2

By Gregory M. Vecchi, PhD, CFC, CHS-V, DABCIP, DABLEE

For the purpose of this series of articles, the term “investigative processes” will be used to describe both criminal investigation and crime scene pro-cessing. Any distinctions between criminal in-vestigation and crime scene processing will be designated as such. Although crime scene pro-cessing is part of criminal investigation, it is dis-tinct; crime scene processing requires rigorous scientific methodologies (i.e., collection proce-dures, testing protocols, etc.), whereas criminal investigation has less of a “hard science” charac-ter and relies more on the experience and skills of the investigator rather than rigid scientific protocols and procedures. In this light, crime scene processing can be viewed as the “sci-ence” of investigative processes, whereas crim-inal investigation can be viewed as the “art.” The purpose of this article series is to provide information on the entire spectrum of investi-gative processes that is useful for all individuals involved in the investigations: the responding officer, detectives/investigators, police supervi-sors, lawyers, judges, and other criminal justice professionals.

IntroductionThis article examines testimonial evidence and the documentation of investigations and crime scenes. At the heart of testimonial evi-dence lies the interview and interrogation, which can be described as “conversations with a pur-pose.” In both interviews and interrogations, the investigator obtains information from or about persons connected with a particular in-cident. Documentation (i.e., writing reports, drawing sketches and diagrams, photograph-ing, etc.) is oftentimes the most tedious part of investigative work; however, it is probably the single most important activity the investigator will accomplish. Documentation memorializes every activity accomplished during the investiga-tion and preserves it for subsequent investigation and court. It is because of documentation that the entirety of the crime scene can be brought into court—photographs, sketches, video and audio tapes, notes, observations, and reports, which allow the prosecutor to reconstruct the scene and argue theories before a jury.

InterviewsInterviews are conducted with people the inves-tigator believes are willing to give information about a case. Interviews can be conducted with victims, witnesses, and complainants/accusers

The views expressed in

this article do not necessarily represent the

views of the FBI.


CASE STUDY

Gregory M. Vecchi, PhD, CFC, CHS-V, DABCIP, DABLEE is the Unit Chief of the Behavioral Sci-ence Unit (BSU), Federal Bureau of Investigation (FBI). Dr. Vecchi was assigned to the BSU in Janu-ary 2006, where he conducts re-search, training, and consultation activities in behavioral-based con-flict analysis and resolution, cri-sis management, conflict and cri-sis communication, and global hostage-taking.

and are accomplished to develop the facts of the case. Investigators should show concern for the victim. Witnesses should be separated as soon as possible and questioned one at a time. Complainant and accuser information should be carefully scrutinized by the investigator in order to discern false or misleading information. With all interviews, it is possible that the victim, wit-ness, or complainant/accuser may lie on purpose to “get at” someone else or to hide their own criminal involvement. They may also be too ea-ger to please and unintentionally distort the facts or tell the investigator what he or she “wants to hear.” In these situations, it might be necessary to interrogate a victim, witness, or complainant/accuser (Gordon & Fleisher, 2002; Hess, 1997; Holmes, 2002; Milne & Bull, 1999).

InterrogationsInterrogations are conducted with people whom the investigator believes are not willing to give information about a case, as well as people whom the investigator believes have commit-ted or helped commit a particular criminal of-fense. Interrogations should be avoided on any-one who can be successfully interviewed. Suspects are interrogated to learn whether or not they have committed an offense or to obtain admissions of guilt or a confession. An admis-sion of guilt does not amount to a complete ac-knowledgement of guilt, whereas a confession is a complete acknowledgement of guilt of all elements of the offense. Since interrogations oftentimes produce in-criminating statements that may be used in court, it is important for the investigator to understand when it is necessary to inform the suspect of his rights against self-incrimination and his right to have counsel present. Generally speaking, a waiver of rights is only necessary when the suspect is in custody (or about to be taken into custody) AND the questioning per-tains to the culpability of the suspect with regard to the offense(s) under investigation. If either of these two elements is missing, then a waiver of rights is not required by law. For example, if an investigator speaks with a suspect at a restau-rant and obtains criminal admissions from that suspect, the admissions are usually admissible in court without a signed rights waiver. In this example, the investigator would make an effort to ensure that the suspect verbally acknowl-edges his or her understanding that he or she is not under arrest (or going to be arrested fol-

lowing the interview) and that the interview or any portion of it is voluntary (meaning that the suspect could decline the interview altogether or stop the interview at any time without pen-alty). It is very important for the investigator to document that the suspect fully understood his or her rights (Gordon & Fleisher, 2002; Hess, 1997; Holmes, 2002; Milne & Bull, 1999). The following are some strategies for inter-rogations (Department of the Army, 1985):

Always identify yourself as a law enforce-•ment officer.Have at least one law enforcement officer •as a witness.In a custodial situation, obtain a waiver of •rights from the suspect. In a non-custodial situation, ensure it is clearly documented that the suspect fully acknowledged the situation and fully understood his or her rights.If the investigator believes that legal coun-•sel has been appointed for or retained by the suspect for the specific offense under investigation, the counsel should be no-tified immediately before beginning any interrogations.For extended interrogations, offer the sus-•pect food and liberal restroom breaks and document these efforts.If possible, avoid conducting the interro-•gation on the suspect’s “turf” (e.g., home or business). It is preferable to conduct interrogations on the investigator’s “turf” (e.g., office or station) or at least on public or neutral ground.

Polygraph ExaminationsIn some instances, the polygraph can aid the investigator in obtaining the truth, whether it be obtaining admissions of guilt or clearing a person of a crime. It is important to note that a polygraph cannot detect truth or deception, as


“The investigator cannot rely

on a chance that a suspect will

make incriminating statements

against themselves during a

polygraph. . . . The investiga-

tion must already be thorough

and as complete as possible be-

fore employing a polygraph.”

it only measures bodily reactions to questions. It does this through measuring blood pressure, galvanic skin response (electric skin impulses), and upper and lower chest respiration (Kleiner, 2002; Milne & Bull, 1999; National Research Council, 2002). It is important to remember that the poly-graph is only an aid to the investigation. The investigator cannot rely on a chance that a sus-pect will make incriminating statements against themselves during a polygraph. The suspect should have already been interviewed, and there must be more information needed to complete the investigation. In addition, there must be reasonable cause to believe the suspect has knowledge of, or was involved in, the matter under investigation. In other words, the inves-tigation must already be thorough and as com-plete as possible before employing a polygraph (Kleiner, 2002; Milne & Bull, 1999; National Research Council, 2002). Prior to administering the polygraph, the in-vestigator has the responsibility to provide the examiner with all the facts of the investiga-tion to include connections between the suspect and other persons and things, peculiarities of the crime scene, what is known about the suspect’s actions and behavior, the results of laboratory examinations and crimes scene processing, and anything not publicly known about the offense (especially things only the victim or offender would know). It is the examiner’s responsibil-ity to take into account all the facts of the in-vestigation and develop a battery of questions in collaboration with the investigator. The ex-aminer also must ensure that the suspect is not mentally or physically fatigued, overly emotion-al, mentally disordered, physically disabled, or under the influence of alcohol or drugs, as these issues will preclude the polygraph examination (Kleiner, 2002; Milne & Bull, 1999; National Research Council, 2002). For a polygraph examination to be accurate, the examiner must determine a “base line” of bodily measurements through question construc-tion and delivery. Certain questions are asked of the subject that are non-threatening, such as “Are you sitting down” or “Is your name Monica?” These questions allow the examiner to adjust the machine for nervousness. There are also ques-tions that are meant to be failed (although the subject is not informed of this) such as “Have you ever lied to anyone?” or “Have you ever sto-

len anything no matter how small?” The final set of questions deals with the pertinent issues of the case such as “Did you steal money from the bank vault on September 7, 2008?” or “Did you know about the death of John Smith before today?” If, for example, the subject shows the most reaction to the question regarding the bank vault, then he or she would most likely be scored as “deceptive.” Contrarily, if the subject showed the most reaction to having ever stolen anything, then the test would be most likely scored as “no deception indicated.” Sometimes, the subject is “inconclusive,” indicating that the examin-er was unable to determine whether or not the subject was deceptive. Inconclusive results usu-ally require that the examiner redefine some of the questions or determine other causes, such as the subject fidgeting during the test (Kleiner, 2002; Milne & Bull, 1999; National Research Council, 2002).

NotesNotes are the most readily available record of any investigation. Although there are no official rules pertaining to note taking, they should be detailed sufficiently enough to remain meaning-ful even months or years after the event. Poor note taking is often the root of poor testi-mony during cross-examination, and it forces the investigator to rely on his or her memory or gross approximations. For example, forgetting to note the date or time of day of an event and then guessing it wrong becomes not only embarrass-ing for the investigator and prosecution, but a point of contention for the defense attorney. Notes are the basis for both reports of inves-tigation and testimony. Reports of investiga-tion are detailed summaries of the notes, where-as testimony requires the recall of more detail. Therefore, it is important for the investigator to anticipate the requirements of both written reports and questions that may be asked during testimony when writing notes. For consisten-cy purposes, it is best to have as few investiga-tors as possible taking notes on the same event or portion thereof (Department of the Army, 1985; Fisher, 2004; Lyman, 2008; Ogle, 2007; Osterburg, 2007). Notes should be taken on a loose-leaf note-book, as they can be better organized than bound notebooks. This reduces the likelihood that oth-er notes not relating to the instant case will end up being inadvertently disclosed to others or in


court. Also, missing pages from a bound note-book that were used for purposes other than the instant investigation tend to raise integrity questions by the defense in court (Department of the Army, 1985; Fisher, 2004; Lyman, 2008; Ogle, 2007; Osterburg, 2007). Notes should be numbered and include the date, agency, case number, name of investiga-tor, and the initials of the investigator to ensure clarity as to what case they belong, who wrote them, and who to return to if the notes are lost or misplaced. Notes should be written in black or blue ink that doesn’t smudge. Any mistakes should not be erased or torn out, but should be lined out and initialed by the investigator. Finally, notes should be archived and locked in a secure place even after a successful prosecution, as future appeals or inquiries may require their retrieval (Department of the Army, 1985; Fisher, 2004; Lyman, 2008; Ogle, 2007, Osterburg, 2007).

PhotographsPhotographs supplement notes and sketches or clarify points relative to a case. Photographs are also used to identify individuals, and they form a permanent record of fragile or perishable evi-dence such as fingerprints or blood splatter. Photographs are admissible in court only if they accurately depict the area observed. It is important that entry photographs be taken be-fore any evidence is touched or before the crime scene search commences. These are area shots of the entire crime scene that overlap. Individual close-up photographs should be taken of each item of evidence from several angles in order to preserve its condition at the time it was discov-ered. It is usually a good idea to include a ruler or other standard item such as a coin to provide scale. Exit photographs should be taken after the crime scene has been processed to demon-strate that the scene was properly processed and that no unnecessary damage occurred. Like entry photographs, exit photographs should document the entire crime scene, and these photographs should show overlapping areas (Department of the Army, 1985; Fisher, 2004; Lyman, 2008; Ogle, 2007; Osterburg, 2007). The most important aspect of photogra-phy is maintaining perspective. Perspective is the ability of the investigator to reproduce the scene as it would appear to someone standing in the photographer’s shoes. Any significant distor-

tion will reduce or destroy the evidentiary value of the photograph. As such, it is important that the investigator use lenses, lighting, and angles that reproduce the same colors, hues, textures, and positioning as observed with the naked eye (Department of the Army, 1985; Fisher, 2004; Lyman, 2008; Ogle, 2007; Osterburg, 2007). The photo log is the equivalent of notes for photographs. The photo log should include the name of the photographer, date, time, agency, case number, type of camera and serial num-ber, type of film, number of exposures, lens fo-cal length and serial number, filtration, f/stop, shutter speed, and flash attachment. For digi-tal cameras, include the number of megapixels, format (jpeg, bitmap, etc.), and storage media. Every photograph taken should include time, photograph number, type of photo (outside entrance, evidence, inside entrance), depiction (door, pistol), distance from object, and remarks (shutter speed, f/stop) (Department of the Army, 1985; Fisher, 2004; Lyman, 2008; Ogle, 2007; Osterburg, 2007).

SketchesSketches can be used when questioning peo-ple, preparing reports of investigation, and in presenting evidence in court. They assist in ac-quainting the court with crime scenes, and they assist witnesses in orientating themselves before they testify. Sketches complement notes and photographs; however, they concentrate atten-tion on the most essential elements of a crime scene and their relationships. Sketches are classified as either rough or smooth. Rough sketches are drawn at the crime scene and their purpose is to accurately portray information. These sketches are usually not drawn to scale but they do show accurate dis-tances, dimensions, and relative proportions. For clarity purposes, it is sometimes necessary to draw several sketches, such as one sketch per room or a sketch dedicated to a murder victim. A smooth sketch can be made from a rough sketch and is usually to scale and prepared by an experienced draftsman (Department of the Army, 1985; Fisher, 2004; Lyman, 2008; Ogle, 2007; Osterburg, 2007). Each sketch should include the critical fea-tures of the scene and the major, discernable items of physical evidence. Sketches must show accurate measurements of the crime scene and the location of each piece of evidence, via the


triangulation method. Format requirements include a caption, title block, direction of magnetic north, scale designation (if none, indicate “not to scale”), and a legend. The title block should include the agency and case number, offense, scene portrayed, lo-cation, victim (if applicable), time and date began/ended, sketched by, and verified by. The legend explains symbols, numbers, and letters used to identify objects in the sketch (Department of the Army, 1985; Fisher, 2004; Lyman, 2008; Ogle, 2007; Osterburg, 2007). Accurate measurement is a critical re-quirement of sketches, as errors can intro-duce doubt as to the validity of the entire sketch. Measurements should be uniform-ly made and recorded using the same scale (feet, inches, centimeters, millimeters, etc.). The triangulation method is used for in-door and outdoor sketches that have fixed reference points. Objects are located by cre-ating a triangle of measurements from a sin-gle, specific, identifiable point on an object to two fixed points at the scene (all on the same plane). It is important not to trian-gulate evidence to evidence or triangulate under or through evidence (Department of the Army, 1985; Fisher, 2004; Lyman, 2008; Ogle, 2007; Osterburg, 2007).

Observations and DescriptionsObservations assist in building descriptions of persons, objects, places, and events so that whom or what was seen can later be identified and described. The accuracy of observations can be affected by lack of sleep, illness, or other outside influences. Weather, distractions, psychological, physiological, experiential factors, perception, bias, cul-ture, and emotion all have the potential to diminish the accuracy of observation. Trained observers are aware of these fac-tors and make allowances for these outside influences when they interpret what they observe by using a systematic approach to observations and descriptions. Accuracy in observation is most as-sured if the investigator follows a set pattern. It is similar to checklists used by pilots, which systemize preflight safety re-quirements. Patterns used for observation begin with general features and move to

specific features. For example, when devel-oping a description of a person, start with sex, height, weight, race, and then move on to hair and eye color, scars, and manner-isms. For objects, the investigator should note the type, size, and color and then move on to more specific features that set the item apart from other items (Department of the Army, 1985; Fisher, 2004; Lyman, 2008; Ogle, 2007; Osterburg, 2007). Observing and describing events re-quire a systematic and quick observation of time, place, persons, objects, and actions involved, as well as the immediate results of the event. The observation of connected actions after the event may provide ma-jor clues to what took place (Department of the Army, 1985; Fisher, 2004; Lyman, 2008; Ogle, 2007; Osterburg, 2007). When observing and describing places, the investigator should cite the elements observed in a way that provides an easily understood “word picture.” For outdoor scenes, the investigator should look for natural or man-made landmarks and note the general scene in relation to roadways, railways, or shorelines. Efforts should be made to identify fixed or semi-fixed struc-tures such as buildings, bridges, or power line poles and any high interest items. For indoor scenes, the investigator should iden-tify obvious and definite boundaries such as walls, hallways, and basements and any ob-jects of interest (Department of the Army, 1985; Fisher, 2004; Lyman, 2008; Ogle, 2007; Osterburg, 2007).

ConclusionInterviews and interrogations require exten-sive preparation by the investigator. Some of the steps include 1) fixing in the mind what is known of the who, what, when, where, how, and why details of the case, 2) obtain-ing background knowledge of the subject of the interview or interrogation to include biographical information, criminal history, level of education, status in the community, associations, and personal activities, 3) plan-ning a systematic questioning protocol that involves mostly open-ended questions that require elaboration, and 4) determining the effectiveness of a direct versus an indirect ap-proach to questioning.

Documentation is a critical skill that all investigators need to master. Accurate and thorough documentation of crime scenes and other investigative activities preserves and packages the facts of the investigation into a usable format for court and in fur-thering the investigation. Notes, photo-graphs, sketches, and observations are made of the crime scene, the crime scene search, and other processes throughout the inves-tigation. These activities are essential, as they assist in accurately recalling events and identifying evidence in court. Moreover, these activities form a detailed record at-testing to the thoroughness and detail of the process.

References Department of the Army. (1985). Law enforcement investigations. Washington, DC: Author. Fisher, B.A.J. (2004). Techniques of crime scene in-vestigation (7th ed.). Boca Raton, FL: CRC Press. Gordon, N.J., & Fleisher, W.L. (2002). Effective interviewing and interrogation techniques. San Diego, CA: Academic Press. Hess, J.E. (1997). Interviewing and interroga-tion for law enforcement. Cincinnati, OH: Anderson Publishing. Holmes, W.D. (2002). Criminal interrogation: A modern format for interrogating criminal suspects based on the intellectual approach. Springfield, IL: Charles C. Thomas Publishers. Kleiner, M. (Ed.). (2002). Handbook of polygraph testing. San Diego, CA: Academic Press. Lyman, M. D. (2008). Criminal investigation: The art and science (5th ed.). Upper Saddle River, NJ: Pren-tice Hall. Milne, R., & Bull, R. (1999). Investigative inter-viewing: Psychology and practice. West Sussex, England: John Wiley & Sons. National Research Council. (2002). The polygraph and lie detection. Washington, DC: The National Aca-demic Press.

Ogle, R. R. (2007). Crime scene investigation and

reconstruction (2nd ed.). Upper Saddle River, NJ:

Pearson Prentice Hall.

Osterburg, J. W., & Ward, R. H. (2007). Criminal

investigation: A method for reconstructing the past

(5th ed.). Newark, NJ: Lexis-Nexis. n n


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Derivatives are financial instruments that were designed to mitigate financial risk. A fairly sim-ple idea evolved over the past two decades into an enormous unregulated global market activ-ity that has been at the center of financial state-ment frauds and mismanagement. Thus, the very instrument that was intended to reduce risk has yielded its own peril. The complexity of the transactions can mislead financial state-ment users, thus creating a much greater risk than that conceived to be managed by the de-rivatives themselves. This article describes deriva-tives, discusses some of the fraudulent activities that relied on their use, and presents new guid-ance from the Financial Accounting Standards Board intended to make derivatives transactions more transparent to the public. A forensic ex-aminer specializing in financial statements must

be cognizant of the evolving developments with derivatives.

IntroductionDerivatives were originally created to reduce risk. However, as they evolved and became more prev-alent and complex, rather than protecting invest-ments, their use produced peril. The traditional cautionary tale consists of three elements: (1) warn-ing of danger, (2) the warning is disregarded, and (3) the violator meets an unpleasant fate. What is missing from the formula is the presence of a guard-ian to ensure that the warnings are not disregarded. In the case of the flow of financial information in the marketplace regarding the complexity of deriva-tives transactions, the forensic expert has a special role to (1) issue warnings, (2) identify violations, and (3) provide assistance when violations occur.

DERIVATIVE$:By Barbara Apostolou, PhD, CPA and Nicholas G. Apostolou, DBA, CPA, Cr.FA, DABFA

CE ARTICLE: 1 CE CREDIT

A Cautionary Tale


This article is approved by the following for continu-ing education credit:

(ACFEI) The American College of Forensic Examiners International provides this continuing education credit for Diplomates.

After studying this article, participants should be better able to do the following:1. Understand how derivatives can be used to hedge against

financial risk.2. Identify the risk that is assumed by using derivatives.3. Understand how derivative instruments and related

hedged items are accounted for by the accounting pro-fession.

KEY WORDS: derivatives, swaps, options, futures, hedgeTARGET AUDIENCE: Accounting professionalsPROGRAM LEVEL: BasicDISCLOSURE: The authors have nothing to disclose.PREREQUISITES: None

Derivatives have played a significant role in the recent meltdown of the world’s finan-cial system. As of June 2008, the derivatives market was a staggering $684 trillion (notional amount)—up from $106 trillion in 2002, and less than $1 trillion 20 years previously (see Table 1). Derivatives can no longer be ignored or re-garded as a transaction reserved for analysis by a sophisticated few. The use of derivatives by the great majority of our largest companies will re-quire forensic experts involved in preventing and detecting financial statement fraud to fully com-

prehend these instruments and the risks associated with their use.

Evidence of how insidious these instruments could be has been apparent since the 1990s. But the fi-nancial industry lobbied against federal oversight to

protect the financial system and was supported by im-

portant government figures, including Alan Greenspan, chairman of the Federal Reserve from 1987 to 2006. While the regulators battle over missteps regarding how to manage the fallout of the unregulated derivatives market, fo-

rensic experts should waste no time at becoming fully informed about issues in-

volving how derivatives expose companies to the risk of financial loss due to intentional acts or poor management. The purpose of this pa-per is to describe (a) the nature of derivatives, (b) the benefits and risks of these instruments, (c) the extant accounting rules and regulations that govern derivatives, and (d) recent regula-tory changes requiring enhanced disclosures.

BackgroundAlthough derivative terminology can be daunt-ing (see Table 2 for an explanation of some ba-sic terms), a broad definition is relatively sim-ple. Derivatives are financial instruments with a value derived from fluctuations in an asset or index (known as the underlying) such as share price, interest rate, or currency exchange rate. The face value of a derivative is referred to as the notional amount. The notional amount can be the number of currency units, shares, bushels, pounds, or other units specified in a derivative contract. The Financial Accounting Standards Board (FASB), the primary rule-making body in accounting, has described a derivative as hav-ing three key characteristics:

It has (a) one or more underlyings and (b) 1. one or more notional amounts or payment provisions or both. Those terms determine the amount of the settlement or settlements and, in some cases, whether or not a settle-ment is reached.It requires no initial net investment or an 2. initial net investment that is smaller than would be required for other types of con-tracts that would be expected to have a similar response to market factors.Its terms require or permit net settlement, it 3. can readily be settled net by a means outside

Risk Category/InstrumentNotional Amounts Outstanding

Jun 2006 Dec 2006 Jun 2007 Dec 2007 Jun 2008

Total contracts 370,178 414,845 516,407 595,341 683,725

Foreign exchange contractsForwards and forex swapsCurrency swapsOptions

38,12719,4079,6969,024

40,27119,88210,7929,597

48,64524,53012,31211,804

56,23829,14414,34712,748

62,98331,96616,30714,710

Interest-rate contractsForward rate agreementsInterest-rate swapsOptions

262,52618,117

207,58836,821

291,58218,668

229,69343,221

347,31222,809

272,21652,288

393,13826,599

309,58856,951

458,30439,370

356,77262,162

Equity-linked contractsForwards and swapsOptions

6,7821,4305,351

7,4881,7675,720

8,5902,4706,119

8,4692,2336,276

10,1772,6577,520

Commodity contractsGoldOther commodities

Forwards and swapsOptions

6,394456

5,9382,1883,750

7,115640

6,4752,8133,663

7,567426

7,1413,4473,694

9,000595

7,8615,0852,776

13,229649

12,5807,5615,019

Credit default swapsSingle-name instrumentsMulti-name instruments

20,35213,8736,479

28,65017,87910,771

42,58024,23918,341

57,89432,24625,648

57,32533,33423,991

Unallocated 35,997 39,740 61,713 71,146 81,708

Source: BIS Quarterly Review, December 2008, Bank for International Settlements, p. A103.

TABLE 1. Amounts Outstanding of Over-the-Counter (OTC) Derivatives By Risk Category and Instrument in Billions of U.S. Dollars


the contract, or it provides for delivery of an asset that puts the recipient in a position not substantially different from net settle-ment (1998, p. 8, para. 6).

Derivatives can be based upon currencies, commodities, government or corporate debt, home mortgages, stocks, interest rates, or any combination of these. Although there are hun-dreds of different types of derivatives, they can be classified into three main classes:

Futures/forwards1. : contracts to buy or sell an asset at a specified future date at a price specified today.Options2. : contracts giving the holder the right, but not the obligation, to buy or sell an asset at a specified price on or before a given date.Swaps3. : contracts where two parties agree to exchange cash flows on or before a specified future date based upon the underlying val-ue of currency exchange rates, bond interest rates, commodities, or stocks.

Derivatives are one of the cheapest and most effective tools a company has to protect itself against shocks in currency values, commodity prices, and interest rates. For example, compa-

nies often use forward and exchange-listed fu-tures to protect against fluctuations in curren-cy or commodity prices. A survey conducted by the International Swaps and Derivatives Association (ISDA) of the world’s five hun-dred largest companies found that 92 percent of these companies used derivative instruments to manage and hedge their risks more effectively (ISDA, 2003). The companies using derivatives were located in 26 countries around the world and represented a broad variety of industries ranging from aerospace to wholesalers of office equipment. Of the companies using derivatives, 85 percent used them to manage currency risk, 25 percent to reduce commodity price risk, and 12 percent to curtail equity price risk. Of the 500 companies surveyed, 196 were US com-panies, and 94 percent of these US companies used derivatives. Forwards represent the largest component of the derivatives market due to the need by busi-nesses to reduce the uncertainty of variable costs, such as fluctuation in foreign currency rates. For example, a US importer might promise to buy machinery at a future date for a price quoted in euros. This importer can use a forward contract (or a futures contract, if one is available that meets the firm’s needs) to fix the dollar cost of converting the euros at that future date. Thus, the importer avoids a loss if the dollar cost of euros increases between the purchase and deliv-ery dates. When derivatives are used to protect against the risk of economic loss arising from changes in the value of the underlying, the ac-tivity is known as hedging. Derivatives also can be used to assume risk, rather than to insure or hedge against risk. Thus, some companies will enter into a derivatives contract to speculate on the value of the un-derlying asset or index, gambling that the par-ty seeking insurance will be wrong about the underlying value of the asset or index. When derivatives serve as investments rather than as hedges, they can be extremely speculative. The riskiness of speculating in derivatives is inherent in the high leverage assumed. The investment outlay (also called initial margin) is typically a small proportion of the face or notional val-ue that magnifies the potential gain or loss on the investment. For example, a deposit of only $2,000 might enable a company to buy a futures contract representing $35,000 worth of cotton. The initial margin in trading futures is typically 5 to 15 percent of the value of the underlying contract, although in some cases it is even less. The smaller the margin compared to the value of the derivatives contract, the greater the lever-age and risk. High leverage can produce large profits when compared to the initial margin if

TABLE 2. Common Derivatives Trading Language

CallAn option that gives the buyer the right to purchase a specified quantity of an asset at a fixed price at any time during the life of the option.

CapA contract that protects the holder from a rise in interest rates beyond a certain period.

Counterparty The other party or participant in a financial transaction.

Credit Default SwapA credit derivative contract where the buyer makes periodic payments to the seller and in return receives protection if an underlying financial instrument defaults.

FloorA contract that protects the holder against a decline in prices below a certain point.

ForwardsA contract obligating one party to buy, and the other party to sell, a specific asset for a fixed price at a future date.

Futures

A contract between a buyer and seller specifying a commodity or financial instrument to be delivered and paid for at a future date. Unlike forward contracts, futures contracts are managed through an organized futures exchange.

Notional valueThe full value of the obligations owed by all parties involved in a derivatives contract.

PutAn option that gives the buyer the right to sell a specified quantity of the underlying interest at a fixed price at any time during the life of the option.

SwapAn agreement by two parties to exchange a series of cash flows in the future.

SwaptionAn option giving the holder the right to enter into or cancel a swap at a future date.

UnderlyingThe asset, index, or benchmark that determines the value of the derivative by its price movement.


the speculator correctly anticipates the fu-ture price change. Alternatively, if the price moves in the opposite direction from what was anticipated, a large loss can result. Thus leverage is a double-edged sword. Derivatives can be traded over-the-coun-ter (OTC) or on an exchange. OTC deriva-tives are traded directly between two par-ties without using an exchange to facilitate the trade. The OTC derivatives market is huge and continues to grow. Interest rate swaps are the largest segment of the deriva-tives market with over half the total; credit default swaps until recently were the fast-est growing OTC derivative with their to-tal jumping over 400 percent in the period from 2005-2007. A credit default swap (CDS) is a con-tract between two counterparties where one party agrees to make a specific payment to the other party if a particular event, such as a bond default, occurs. In a CDS, the buyer pays the seller periodic premiums to receive credit protection while the seller guarantees the creditworthiness of the swap. Because these contracts can be sold and resold, the original buyer likely does not know who the guarantor is or the financial condition of that guarantor. CDS contracts can be used to hedge risk if the buyer actually owns the debt; how-ever, investors also can buy CDS contracts for speculative purposes. Because CDS spreads will increase as creditworthiness declines (and decrease as creditworthiness increases), an investor might actually pur-chase a CDS speculating on the increased probability that a company will default on its debt.

The Perils of DerivativesThe risk of trading in derivatives became a worldwide concern in the summer and fall of 1998 because of huge losses sus-tained by hedge funds. U.S. hedge funds are unregulated private investment part-nerships available only to qualified inves-tors. A minimum investment of $1 million is often required of hedge fund investors. Because managers generally receive about 20 percent of the profits but do not suffer losses, there is a tendency to assume increas-ing risks. Consequently, many hedge funds leverage their assets by buying derivatives that give them an exposure far greater than their capital. The most publicized hedge fund failure in the decade of the 1990s was that of Long-Term Capital Management (LTCM).

LTCM’s principals included several promi-nent mathematicians and two Nobel prize-winning economists. Its strategy was to exploit small valuation anomalies between various classes of bonds, dealing in bond derivatives called “total return swaps.” In September 1998, LTCM revealed that it had lost about $2 billion in the previ-ous month owing to the financial crisis in Russia (i.e., default on government bonds), which had led to unexpected changes in bond prices. It also disclosed that its capi-tal base had shrunk to less than $1 billion while its liabilities had ballooned to about $200 billion. Concerned about its possible collapse and the impact on other financial organizations, the Federal Reserve Bank of New York arranged for a consortium of leading investment banks to inject $3.4 bil-lion into LTCM in exchange for a 90-per-cent stake in the fund. The 1998 LTCM debacle had little ef-fect, if any, on the use and regulation of derivatives in the succeeding years. Several prominent individuals had expressed con-cern about the stunning growth, complex-ity, and lack of transparency in this market. In 1997, the Commodity Futures Trading Commission (CFTC), a federal agency that regulates options and futures trading, in-vited comments about how best to regulate certain derivatives. The chairperson of the commission was Brooksley Born, a gradu-ate of Stanford Law School where she re-ceived the “Outstanding Senior” award. Ms. Born was a partner in the international law firm of Arnold & Porter and head of the firm’s derivatives practice. Ms. Born stated in Congressional testimony that the unregu-lated, opaque nature of the derivatives mar-ket could “threaten our regulated markets or, indeed, our economy without any fed-eral agency knowing about it” (Goodman, 2008). She recommended bringing deriv-atives under the oversight of the CFTC. Furthermore, she recommended increased disclosure of the trading in derivatives and a formal procedure for establishing reserves in case of losses. Her modest proposals were disregarded because of the combined fierce opposition of the Federal Reserve chair-man, Alan Greenspan, and the Treasury Secretary, Robert Rubin. Both asserted that imposing new rules would damage Wall Street and encourage derivatives trad-ing to take place overseas; they convinced Congress to freeze the CFTC’s regulatory authority for six months. Ms. Born resigned as of June 1, 1999.

Warren Buffett, the legendary inves-tor and CEO of Berkshire Hathaway, warned about the systemic risk of abusing derivatives contracts. In the 2002 Berkshire Hathaway annual report, Buffett sounded an alarm:

. . . derivatives as time bombs, both for the parties that deal in them and the eco-nomic system. . . . In my view, derivatives are financial weapons of mass destruc-tion, carrying dangers that, while now latent, are potentially lethal. . . . that the macro picture is dangerous and getting more so. Large amounts of risk, partic-ularly credit risk, have become concen-trated in the hands of relatively few de-rivatives dealers. The derivatives genie is now well out of the bottle, and these in-struments will almost certainly multiply in variety and number until some event makes their toxicity clear. (pp. 13-15)

Unfortunately, Buffett’s warnings proved prescient and the consequences became ap-parent with the global crisis in worldwide financial markets in 2008. The damage a single individual could do to an organization by trading deriv-atives was highlighted by the example of Société Générale reported in January 2008. Société Générale is a major French bank, operating in 77 countries with 120,000 employees. On January 25, 2008, Société Générale disclosed that a rogue employee executed a series of “elaborate, fictitious” transactions that cost the bank $7.2 billion (€4.9 billion at that time), the largest loss ever perpetrated by a single trader (Clark & Jolly, 2008). Kerviel started work at the bank as a back-office employee where he gained an intimate knowledge of the bank’s processing and control proce-dures. Eventually, Kerviel was promoted to the trading desk where he engaged in arbitrage transactions intending to profit from small differences between a futures index and the equity futures upon which the index is based. Kerviel began creating fictitious trades in late 2006 but, initial-ly, the transactions were relatively small. Within a year, the unauthorized trading had dramatically increased in size and fre-quency. Kerviel masked his trades by plac-ing fake orders along with genuine orders. Thousands of hedged trades were hidden behind offsetting fake trades. Instead of tak-ing hedged positions as authorized, he took massive unhedged positions in European stock index futures. A suspicious e-mail from a large bank confirming unauthorized


trades precipitated the investigation into Kerviel’s trading activities. On January 19, 2008, Société Générale uncovered the un-authorized trading and began closing out the positions on January 21. The closing of the unauthorized positions (more than $70 billion notional amount) in a three-day period of declining equity prices resulted in the $7.2 billion loss. Kerviel has been charged with “breach of trust, fabricating documents and illegally accessing comput-ers” and is currently awaiting trial. Derivatives played a key role in the 2008 meltdown of American International Group (AIG), the largest American insur-ance company in terms of insured assets. AIG had written credit default swaps that covered bonds of more than $440 billion. Firms with high credit ratings could initiate swaps with limited margin. On September 16, 2008, AIG faced a liquidity crisis fol-lowing the downgrade of its credit rating below “AA” levels. The buyers of the CDS issued by AIG were concerned if AIG had enough money to meet the commitments it made in issuing the CDS contracts. The downgrading of its credit rating forced the company to post collateral with its trading counterparties. AIG did not have the liquid resources to meet its collateral and other cash obligations and faced bankruptcy with-out an infusion of new capital. Deeming the consequences of the demise of AIG unacceptable, the Fed created an $85 bil-lion credit facility to enable the company to meet its collateral obligations. The gov-ernment exacted a stiff price. AIG issued a

stock warrant for 79.9 percent of AIG shares to the Board of Governors of the Federal Reserve. Shortly thereafter, the federal gov-ernment increased the aid package to about $150 billion that includes about $50 billion to buy assets either insured or held by AIG in an attempt to reduce losses at firms con-ducting business with AIG. AIG has com-mitted to paying back the loans within five years by selling assets. On December 31, 2008, AIG’s stock price was $1.55; its pre-vious 52-week high was $60.04.

Accounting for Derivatives: Avoiding the Unpleasant FateThe previous section documented actual instances of cases in which warnings were made and not heeded, and the resultant un-pleasant fate to the marketplace. The rules governing derivatives not used in hedging activities are straightforward and can be easily summarized:

All derivatives must be carried on the •balance sheet at fair value. The FASB defines fair value as the amount at which an asset (liability) could be bought (in-curred) or sold (settled) in a current transaction between willing parties. Typically, the best evidence of fair value would be quoted market prices.The amount shown for the derivative •must be adjusted to fair value on each balance sheet date.The change in the fair value of the •derivative from the previous balance sheet date is reflected as a holding gain or loss in the income statement.

The only exception to the recognition •of a holding gain or loss is for deriva-tives that qualify as hedges under the rules established by the FASB.

The FASB has specified exacting criteria for classifying a derivative as a hedge. Management must provide sufficient doc-umentation at the beginning of the hedge term to identify (1) the objective and strat-egy of the hedge, (2) the hedged instrument and the hedged item, and (3) how effective the hedge is in eliminating specific market risk for a specific hedged item. Effectiveness is the ability of the hedged instrument to offset any change in the fair value or cash flows of the hedged item. Effectiveness is tested when the hedge is initiated, every three months thereafter, and each time fi-nancial statements are prepared. If a hedge is completely effective, the change in the derivative’s fair value will equal the change in the hedged item’s fair value. As a result, earnings are not affected. However, if the hedge is not completely effective, the differ-ence between the changes in the fair value of the derivative and the hedged item will increase or decrease earnings. The change in earnings is the ineffective portion of the hedge. Derivatives that qualify as hedges can be classified in one of three ways: (1) fair-value hedges, (2) cash-flow hedges, and (3) foreign-currency hedges. Fair-value hedg-es are designated to hedge the exposure to changes in the fair market value of an ex-isting asset or liability, or a firm commit-ment (e.g., buying or selling inventory). The gains or losses on the hedged asset or liability and the hedging instrument are currently in the income statement. Cash-flow hedges are designated to hedge the exposure to changes in cash flows of an existing asset or liability (e.g., future interest payments on variable-interest debt) or an anticipated transaction (a futures contract that a processor will pay in two months for corn). The distinction between highly effective and ineffective hedges de-termines how gains and losses on cash flow hedges are recognized in income. The gain or loss on the ineffective portion of the hedge is reported in current income. The gain or loss on the effective portion of the hedge flows should be reported in other comprehensive income (not included in determining net income). Foreign-currency hedges are desig-nated to hedge the exposure to changes in currency exchange rates of an existing as-


set or liability, a firm commitment, a forecasted transaction, or a multinational company’s net investment in a foreign operation. In general, the FASB applies the fair value and cash flow hedge accounting rules to foreign currency ex-change exposure. However, a derivative desig-nated as hedging a net investment in a foreign operation has its gain or loss reported in other comprehensive income (i.e., not included in de-termining net income). The rules governing the reporting of derivative instruments were established by the Financial Accounting Standards Board (FASB) when FASB issued Statement of Financial Standards No. 133 (SFAS No. 133) entitled Accounting for Derivative Instruments and Hedging Activities, which became effective for all publicly held com-panies for fiscal periods starting after December 2000. This 233-page document included some of the most complex, arcane standards ever es-

tablished by the accounting profession. Although extensively revised since its introduction, SFAS 133 has been severely criticized by financial an-alysts for its inadequate disclosures (Hamlen & Largay, 2005). As a relevant example, a table of notional amounts is not required, making it dif-ficult to assess financial risk. Furthermore, deriv-atives and hedging activities are combined with other items in the financial statements obscur-ing analysis of their impact on risk. Finally, note disclosures regarding derivative performance are incomplete and generally inadequate. As a result, the FASB amended SFAS No. 133 by issuing SFAS No. 161, Accounting for Derivative Instruments and Hedging Activities, which became effective for financial statements issued after November 15, 2008. This Statement significantly expands the disclosure of informa-tion and presents such information in a format most useful to the user in evaluating the risk of

TABLE 3. Tabular Disclosure of (a) Fair Values of Derivative Instruments in a Statement of Financial Position and (b) the Effect of Derivative Instruments on the Statement of Financial Performance

In millions of dollarsAs of December 31

Fair Values of Derivative Instruments

Asset Derivatives Liability Derivatives

2010 2009 2010 2009

Balance Sheet

Location Fair Value

Balance Sheet

LocationFair

ValueBalance Sheet

LocationFair

ValueBalance Sheet

Location Fair Value

Derivatives designated as hedging instruments under Statement 133

Interest rate contractsForeign exchange contractsEquity contractsCommodity contractsCredit contractsOther contracts

Other assetsOther assetsOther assetsOther assetsOther assetsOther assets

$XX,XXX$XX,XXX$XX,XXX$XX,XXX$XX,XXX$XX,XXX



Other liabilitiesOther liabilitiesOther liabilitiesOther liabilitiesOther liabilitiesOther liabilities




Total derivatives designated as hedging instruments under Statement 133 $XX,XXX $XX,XXX $XX,XXX $XX,XXX

Derivatives not designated as hedging instruments under Statement 133

Interest rate contractsForeign exchange contractsEquity contractsCommodity contractsCredit contractsOther contracts









Total derivatives not designated as hedging instruments under Statement 133

$XX,XXX $XX,XXX $XX,XXX $XX,XXX

Total derivatives $XX,XXX $XX,XXX $XX,XXX $XX,XXX

Source: SFAS No. 161, p. 12.


these instruments. SFAS No. 161 (p. 2) indi-cates its intent to improve disclosure by amend-ing Statement No. 133 to provide users with a better understanding of the following issues:

How and why an entity uses derivative in-•struments.How derivative instruments and related •hedged items are accounted for under this Statement and related interpretations.How derivative instruments and related •hedged items affect an entity’s financial position, financial performance, and cash flows.

The Statement requires the disclosure of the objectives and strategies for using derivative in-struments for every annual and interim report-ing period for which a balance sheet and income statement are presented. Information about these instruments should reference their underlying risk exposures (e.g., interest rate, credit, foreign-exchange rate, com-bination of interest rate and foreign-exchange rate, or overall price). The description should distinguish between fair-value hedges, cash-flow

hedges, or hedges of the foreign-currency expo-sure of a net investment in a foreign operation. Information should be provided that would en-able users to understand the volume of derivative activity undertaken by the company (e.g., total number of interest-rate swaps). SFAS No. 161 requires two tables to disclose the risks that an entity intends to manage with derivatives: (1) balance sheet disclosures, and (2) income state-ment disclosures.

Balance Sheet DisclosuresAn entity must disclose in a table the location in the balance sheet of the derivative instru-ment and its corresponding fair value. The fair value amounts should be presented as separate asset and liability values and divided into those derivatives that qualify as hedging instruments and those that do not (see the FASB’s example disclosure reproduced in Table 3). Within these two broad categories, fair value amounts should be presented for each major type of derivative contract (e.g., interest rate, foreign exchange, equity, commodity, credit, or both).

TABLE 4. The Effect of Derivative Instruments on the Statementof Financial Performance for the Years Ended December 31, 2010 and 2009

Derivatives in Statement 133 Fair Value Hedging Relationships

Location of Gain or (Loss) Recognized in Income on Derivative

Amount of Gain or (Loss) Recognized in Income on Derivative

2010 2009

Interest rate contracts Interest income/(expense) $XX,XXX $XX,XXX

Foreign exchange contracts

Foreign currency gain/(loss) $XX,XXX $XX,XXX

Equity contracts Other income/(expense) $XX,XXX $XX,XXX

Commodity contracts Other income/(expense) $XX,XXX $XX,XXX

Credit derivatives Other income/(expense) $XX,XXX $XX,XXX

Other contracts Other income/(expense) $XX,XXX $XX,XXX

Total $XX,XXX $XX,XXX

Derivatives in Statement 133 Cash Flow Hedging Relationships

Amount of Gain or (Loss) Recognized in Other Comprehensive Income [OCI] on Derivative (Effective Portion)

Location of Gain or (Loss) Reclassified from Accumulated OCI into Income (Effective Portion)

Amount of Gain or (Loss) Reclassified from Accumulated OCI into Income (Effective Portion)

Location of Gain or (Loss) Recognized in Income on Derivative (Ineffective Portion and Amount Excluded from Effectiveness Testing)

Amount of Gain or (Loss) Recognized in Income on Derivative (Ineffective Portion and Amount Excluded from Effectiveness Testing)

2010 2009 2010 2009 2010 2009

Interest rate contracts $XX,XXX $XX,XXX Interest income/(expense) $XX,XXX $XX,XXX Other income/(expense) $XX,XXX $XX,XXX

Foreign exchange contracts

$XX,XXX $XX,XXX Sales/Revenue $XX,XXX $XX,XXX Other income/(expense) $XX,XXX $XX,XXX

Equity contracts $XX,XXX $XX,XXX Other income/(expense) $XX,XXX $XX,XXX Other income/(expense) $XX,XXX $XX,XXX

Commodity contracts $XX,XXX $XX,XXX Cost of sales $XX,XXX $XX,XXX Other income/(expense) $XX,XXX $XX,XXX

Credit derivatives $XX,XXX $XX,XXX Other income/(expense) $XX,XXX $XX,XXX Other income/(expense) $XX,XXX $XX,XXX

Other contracts $XX,XXX $XX,XXX Other income/(expense) $XX,XXX $XX,XXX Other income/(expense) $XX,XXX $XX,XXX

Total $XX,XXX $XX,XXX $XX,XXX $XX,XXX $XX,XXX $XX,XXX

Source: SFAS No. 161, p. 14.


Income Statement DisclosuresSFAS No. 161 requires the separate disclo-sure of gains for the following:

Derivative instruments that are desig-•nated and qualify as hedging instru-ments in fair-value hedges and related hedged itemsThe effective portion of gains and •losses on derivative instruments des-ignated and qualifying in cash-flow hedges and net investment hedges that was recognized in other compre-hensive income during the current periodThe effective portion of gains and •losses on derivative instruments des-ignated as qualifying in cash-flow hedges and net investment hedges that are recognized in other compre-hensive income during the period and reclassified into earnings during the current periodThe effective portion of gains and •losses on derivative instruments des-ignated and qualifying in cash-flow hedges and net investment hedges representing the amount of the hedg-es’ ineffectiveness and any amount ex-cluded from the assessment of hedge effectivenessGains and losses from derivative in-•struments not designated or qualify-ing as hedging instruments under SFAS No. 161 (pp. 4-5)

The foregoing information should be sep-arately reported by type of derivative con-tract (e.g., interest rate, foreign exchange, equity, commodity, credit, other). The dis-closure should identify the line item in the balance sheet where the gains and losses for each category of derivative instruments are included (see the FASB’s example disclosure reproduced in Table 4). Information about hedged items may be presented in a tabular or nontabular format.

DiscussionThe global economic crisis in 2008 in-cludes several cataclysmic features: a mort-gage meltdown followed by a credit crisis; precipitate declines in world stock markets ranging from 40 percent to over 70 percent; the collapse or buyout of major financial institutions; government rescue packag-es to bail out their financial systems; and economies worldwide struggling with the onset of recession. The absence of lending standards by banks and other financial in-stitutions led to a bubble in housing prices

and the creation of near-worthless mortgage paper. Bad lending and easy credit eventu-ally produced the mortgage crisis and the housing debacle that continues. Most notably, the global credit crisis was magnified throughout the financial system by derivatives, particularly cred-it default swaps. Derivative instruments have become a defining aspect of this crisis. The importance of ensuring oversight over derivatives was emphasized in the actions suggested on November 15, 2008, by the leaders of the G-20 developing and emerg-ing-market nations (including the United States) meeting in Washington, DC. The statement released by the G-20 listed as one of the “immediate actions by March 31, 2009” the following steps:

Supervisors and regulators, building on the imminent launch of central coun-terparty services for credit default swaps (CDS) in some countries, should: speed efforts to reduce the systemic risks of CDS and over-the-counter (OTC) de-rivatives transactions; insist that market participants support exchange traded or electronic trading platforms for CDS contracts; expand OTC derivatives mar-ket transparency; and ensure that the in-frastructure for OTC derivatives can sup-port growing volumes.

In issuing SFAS No. 161, the accounting profession has made a significant step in im-proving the disclosure of the objectives and strategies of using derivative instruments. Forensic specialists can work with compa-nies to ensure that derivatives are used ap-

propriately and that disclosures are reflec-tive of the substance of the transaction. Knowledge of the complexities of deriva-tives transactions can improve the process-es of prevention and detection of financial statement misstatements and managerial misuse of what was originally deemed a tool to reduce risk.

References Financial Accounting Standards Board (FASB). (1998, June). Statement No. 133: Accounting for de-rivative instruments and hedging activities. International Swaps and Derivatives Association (ISDA). (2003, April 9). Over 90% of the world’s 500 largest companies use derivatives. Retrieved from http://www.isda.org/statistics/surveynewsrelea-se030903v2.html Goodman, P. S. (2008, October 9). Taking a hard new look at a Greenspan legacy. The New York Times Retrieved from http://www.nytimes.com/2008/10/09/business/economy/09greenspan.html Clark, N., & Jolly, D. (2008, January 25). French bank says rogue trader lost $7 billion. The New York Times Retrieved from http://www.nytimes.com/2008/01/25/business/worldbusiness/25bank.html Hamlen, S. S., & Largay, J. A. (2005). Has SFAS 133 made derivatives reporting more transparent? A look at the Dow-Jones 30. Journal of Derivatives Ac-counting 2(2), 215-230. n

ABOUT THE AUTHORS

Earn CE CreditTo earn CE credit, complete the exam for this article on page 22 or complete the exam on-line at www.acfei.com (select “Online CE”).

Dr. Barbara Apostolou, PhD, CPA is professor of accounting and a faculty member in the Institute for Fraud Prevention in the Col-lege of Business and Economics at West Virginia University, where she teaches undergraduate and graduate auditing courses. She is the author or coauthor of numerous professional and academic articles on fraud research and financial accounting and is also the author of several Internet-based fraud detection technique courses.

Dr. Nicholas Apostolou, DBA, CPA, Cr.FA, DABFA is professor of accounting at West Virginia University and teaches MBA courses in financial and managerial accounting. He is a Fellow of the American College of Forensic Examiners. Dr. Apostolou has authored or co-authored extensively in the academic and professional literature on financial and forensic accounting topics. He has coauthored several books for Barron’s Educational Series on a range of investing topics.


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KEYWORDS: derivatives, swaps, options, futures, hedge

TARGET AUDIENCE: Accounting professionals

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1 A business transaction designed to insulate companies from interest or exchange risk isa. speculating.b. slamming.c. hedging.d. stacking.

2 When two parties agree to the sale of some asset or commodity on some specified future date at a price specified today, it is a/ana. swap contract. b. options contract.c. futures contract.d. cash flow hedge.

3 A type of forward contract that is traded daily on financial exchanges with many buyers and sellers is a/ana. swap contract.b. options contract.c. futures contract.d. performance contract.

4 A derivative that gives the holder the right, but not the obligation, to do something is a/ana. swap contract.b. futures contract.c. fair value hedge.d. options contract.

5 Hedging transactions can be used as follows:a. To speculate in foreign currency markets.b. To manage risk associated with changes in commodity prices.c. To offset a gain or loss on a hedged item with a loss or gain on the hedging instrument.

d. All of the above

6 A hedge of the exposure to changes in the fair market value of an existing asset or liability or a firm commitment is a/ana. mark-to-market hedge.b. fair value hedge.c. cash flow hedge.d. foreign currency exposure hedge.

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CE ARTICLE 1: Derivatives: A Cautionary Tale (Pages 14-21)

ABSTRACT

After studying this article, participants should be better able to do the following:Understand how derivatives can be used to hedge against financial risk.1. Identify the risk that is assumed by using derivatives.2. Understand how derivative instruments and related hedged items are accounted for by the accounting 3. profession.

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CE ACCREDITATIONS FOR THIS ARTICLE

Derivatives are financial instruments that were designed to mitigate financial risk. A fairly simple idea evolved over the past two decades into an enormous unregulated global market activity that has been at the center of financial statement frauds and mismanagement. Thus the very instrument that was intended to reduce risk has yielded its own peril. The complexity of the transactions can mis-lead financial statement users, thus creating a much greater risk than that conceived to be managed by the derivatives themselves. This paper describes derivatives, discusses some of the fraudulent activities that relied on their use, and presents new guidance from the Financial Accounting Standards Board intended to make derivatives transactions more transparent to the public. A forensic ex-aminer specializing in financial statements must be cognizant of the evolving developments with derivatives.


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Challenges and Psychological Dynamics of Negotiating Risks in Failed States:

The Somali Caseollowing a civil war and a drought, 350,000 Somalis had died by 1992. In response to a United Nations request for help, the United States sent Marines to secure the environment (UNO-

SOM—Operation Restore Hope). This initial effort was followed by UNOSOM II, a more ambitious UN mandate to disarm militias and reconcile political factions. This paper examines the decision-making, the effect of Conflicting Personalities, and the role of the unconscious as seen in the Non-Verbal Leak. The personality of former President Mohammed Farah Aideed is analyzed in the context of the aforemen-tioned conflict. An explanation of the relevance (or lack of one) of the interlocutors, the negotiating styles and venues, and the negotiating objectives is discussed.

Pictured here: A member of the Nigerian contingent of UNOSOM II

surveying the city of Mogadishu from his post at Police Headquarters.

By Barry Austin Goodfield, PhD,

FACFEI, DABFE, DABFM, DABPS and

Andre LeGallo, BA


CE ARTICLE: 2 CE CREDITS

IntroductionAs the world tried to deal with international crises following the end of the Cold War, the humanitarian intervention in Somalia has become all the more relevant as the war on terrorism brings countries with weak or no central governments to the forefront of international attention. In this article we will attempt to identify the unique chal-lenges to negotiating risks, together with their underlying psychological dynamics, when dealing with states that lack central authority.

From the initial negotiations between lo-cal warlords and officers of the American Central Intelligence Agency over safe land-ing for planes carrying food aid to the ne-gotiations for the safe release of hostages following a watershed battle on October 3, 1993, the United Nations as well as Somali authorities tried to reach their objectives and manage their risks through a combi-nation of force and negotiations. However, without the Cold War to structure UN and individual states’ actions, without clear and committed Somali interlocutors, with a multiplicity of diverse state and non-state actors, and without clear precedents, hu-manitarian intervention in Somalia pro-ceeded in a disjointed manner. There were tactical successes, but Somalia continues to be a lawless state. There were few “negotiations” in the for-mal sense. Most issues were discussed and bargained over, sometimes on a daily basis. However, these meetings-negotiations were essential to the United Nations’ limited suc-cess. Throughout, this case exemplifies the “behavior” theory of risk assessment rath-er than the statistical approach. Therefore, some focus will be given to the actors in-volved. This part of the article will first provide a historical setting, then focus on several specific issues where negotiations played a significant role, and provide this writer’s conclusions.

Historical OverviewSomalia became a nation in 1960, after ten years as a UN Trust Territory. The United Somali Congress (USC) emerged as the strongest armed faction from a civil war that erupted in 1991. The country became a quagmire of competing armed militias. The most politically relevant were those that emerged from the civil war with the most weapons, followers, and territory. By the end of 1992, the war and a drought had killed about 350,000 Somalis; anoth-er 1.5 million were in danger of starvation. International relief groups tried to mitigate the human suffering but were largely un-successful because of the uncontrolled se-curity situation. In 1992, the Security Council approved the deployment of 50 unarmed observers to monitor a tenuous cease-fire and estab-lished the United Nations Operations in Somalia (UNOSOM I) to begin the UN’s humanitarian effort. However, the security situation again kept the UN from deliver-ing food and supplies. Responding to the UN’s appeals, U.S. President Bush proposed sending combat troops to lead an interna-tional UN force to secure the environment for relief oper-ations.

This article is approved by the following for continuing education credit:(ACFEI) The American College of Forensic Examiners International provides this continuing education credit for Diplomates.

After studying this article, participants should be better able to do the following:1. Better understand the key role that personality

plays in international crisis.2. Understand the dilemma faced by international

organizations attempting to bring aid to this region.3. Understand the role of the unconscious process in

world affairs.4. Understand this historical development of the

regional conflict.5. Gain insight into methods of “reading” Non-Verbal

Leaks.

KEY WORDS: terrorism, warlord, civil war, non-state actor, Aideed, Sahnoun, Mahdi, Oakley, Clarke, NGO, UNITAF, UNOSOM, Restore Hope, Usama bin Laden, Boutros Boutros Ghali, Siad Barre, United Nations, Clinton, Jonah, NVL, Non-Verbal Leak, unconsciousTARGET AUDIENCE: Psychological professionalsPROGRAM LEVEL: BasicDISCLOSURE: The authors have nothing to disclose.PREREQUISITES: None


The UN agreed, and the first of 25,000 U.S. Marines (UNITAF, also called Operation Restore Hope) landed on the beaches in December. Its purpose was to open supply routes, get food moving, and prepare the way for a UN peacekeeping force. UNITAF eventually included forces from 24 countries. UNOSOM II took over from the U.S.-led UNITAF in May of 1992, with troops from 30 nations. UNOSOM II’s mandate included disarmament and nation-building. But UN troops lost their reputation for impartiality acquired earlier by UNITAF and, to the lo-cal players, became a foreign presence tak-ing sides in the conflict. The catalyst for the transformation of the UN/U.S. presence into hostile player sta-tus was an attack on Pakistani peacekeepers inspecting a weapons warehouse in June of 1993, by the Aideed faction. The UN then put a bounty on Aideed’s head, and a unit of U.S. commandos became the point of the spear to capture Aideed. A battle erupt-ed on October 3 between U.S. comman-dos and Aideed’s militia, with the recently claimed assistance of Usama bin Laden. U.S. President Clinton sent more troops as short-term reinforcements but declared that U.S. troops would be withdrawn by March 31, 1994. Aideed died from bullet wounds in Mogadishu on August 1, 1994. In 2002, Somalia still did not have a central government. The military factions are now too busy with internal fighting among sub-clan militias to fight each oth-er. A Transitional National Government (TNG) was established in 2001, as the re-sult of a conference of clan representatives, intellectuals, former civil servants, and sev-eral warlords. Other warlords, including the son of Mohamed Aideed, Hussein Aideed, oppose the TNG through the Somali Reconciliation and Reconstruction Council (SRRC) backed by Ethiopia. A main Western focus on Somalia is whether its permissive environment is being used by Al Qaeda.

Operational Challenges to Negotiating RisksAmong the challenges to negotiating risks in the context of humanitarian aid to failed states are the large number of actors and the resulting complexities of the decision-making process, the difficulty in identify-ing the relevant interlocutors, the incom-patible negotiating styles, the significance of the negotiating venues, and the divergent

objectives of the two sides. The risks being negotiated ranged from stopping the loss of life, to assuring the safety of the aid work-ers, and to losing the political constituencies for the effort. On the Somali side, the risks involved famine for the population at large and political power for the leaders. Numerous State and Non-State Actors—Most of the major international donor Non-Government Organizations were present in Somalia even before UN involvement. And while the United States was the major state actor, it was not alone. The Security Council members were active decision-makers and 30 countries eventu-ally provided troops. Paradoxically, involving more member states spread the risk among them but also

increased the need for effective communi-cation and actually decreased coordination and project coherence. Decision-Making, Coordination, and Communication—One of the constant problems on the UN side was the difficul-ty in communicating to the various chains of command and coordinating the mili-tary, political, and humanitarian efforts. For example, once U.S., part of UNITAF, forces landed, the major military force was no longer under direct UN command. Furthermore, the U.S. commando unit brought at UN request to implement a UN resolution, the capture of Aideed, answered to both its Central Command headquar-ters in the United States and to the U.S. military commander in Somalia who also

s A Somali mother nurses her baby while waiting for food at a UNICEF/Swede Relief feeding centre in Mogadishu.


served as the deputy UN commander. But U.S. support units—engineers, communi-cations, and logistics—were under a U.S. general who answered directly to a Turkish general in charge of UNOSOM II. And UN representatives in charge of political reconciliation efforts were separate from the military chain of command, thus mar-ginalizing them. The resignation of Ambassador Sahnoun, UN special representative to Somalia in 1992, serves to illustrate the communica-tions problem. An experienced and able diplomat, Sahnoun had obtained Aideed’s agreement after intense negotiations for 500 peacekeepers in August. Later that month, however, both Sahnoun and Aideed learned by way of the BBC that the UN, Boutros Boutros-Ghali, and the SC, had increased the number from 500 to 3,500. Aideed was enraged, feeling that he had been duped, and Sahnoun was astonished. His credibil-ity was damaged, to say the least. Sahnoun later resigned his position, as he did not believe the policies imposed by New York headquarters made sense with the situa-tion on the ground; he also disagreed with these policies because of the lack of coher-ent communications between his mission, the SC, the Somalis, the UN relief agen-cies, and the NGOs that he had neverthe-less worked hard to improve. On the other hand, Aideed was always in personal control of negotiations on all issues. Conflicting Personalities—The end of the civil war did not bring a national government into power. Instead, several warlords were pretenders to the throne. Two were stronger than others: Ali Mahdi Mohammed and Mohammed Farah Aideed. Both belonged to the Hawiye clan but to different sub-clans. Mahdi, a businessman and gentleman farmer, was a spokesman for the trades’ people of the Hawiye Abgal, the majority population in the pre-civil war Mogadishu area. Aideed, a former general in Siad Barre’s army who also spent seven years in jail and then served as ambassador to India, had led his mostly Hawiye Habr Gidr irregular forces successfully during the civil war. In short, both aspired to the pres-idency—especially Aideed, who thought of himself as Somalia’s savior and was far stronger militarily than Mahdi. The personality factor came into play almost immediately to affect negotia-tions. Immediately prior to handing over his responsibilities to Boutros Boutros-

Ghali, Secretary-General Javier Perez de Cuellar sent his Under-Secretary-General James Jonah to visit Somalia in January 1992. As a result, the SC received a letter from Somalia’s UN mission in New York transmitting a request from Somali’s “in-terim Prime Minister,” Ali Mahdi, that the topic of Somalia be included on the SC agenda. What the letter did not ask was significant and an augury of things to come. Jonah had met with both Aideed and Mahdi but was unable to convince Aideed to request the UN to involve itself in estab-lishing a cease-fire between his and Mahdi’s militias. The new UN Secretary General Boutros Boutros-Ghali then invited the two leaders to New York. While they did not speak to each other, they agreed through Boutros-Ghali’s good offices to a cease-fire, although Aideed declined to support the deployment of foreign troops. Because Aideed did not believe he was treated with the proper im-partiality during the negotiations, the cease-fire did not actually take place until March 1992, two months later. Aideed’s actions were affected not only by his political ambitions and his negative perceptions of Jonah, but also by a deep seated animosity toward Boutros-Ghali. The latter had served as Egyptian head of diplomacy and had been in the forefront of Egyptian financial support to the previ-ous Somali government led by Siad Barre. Aideed therefore always considered him hostile. Questionable Interlocutors—There were two groups of potentially relevant negotiating partners: the traditional vil-lage and regional councils of elders, and the armed militias. The UN side actual-ly dealt with both, depending on the is-sue. However, there was no question that the warlords were the final arbiters on the Somali side. In the absence of a legally-sanctioned lo-cal authority, the actions of the internation-al force could be governed exclusively by the UN. However, success dictated a certain level of coordination in order to co-opt lo-cal de facto leaders. Although the UN tried to pursue a policy of impartiality, it was necessary to negotiate with certain groups and choosing those interlocutors tended to immediately confer international legiti-macy on them. For example, going back to the beginning of UN involvement, Jonah’s initial task had been to decide with whom to consult regarding the UN’s possible role.

Since he didn’t stray far from Mogadishu, he ended up talking only with the Mahdi and Aideed factions, thus exacerbating their mutual hostilities. And at the end of the day, Aideed did not give Jonah high marks for impartiality when Jonah announced Mahdi’s agreement to the deployment of UN military observers to monitor a cease-fire and indicated UN support for Mahdi’s request for foreign troops in Mogadishu. Aideed’s subsequent cooperation with the UN was seriously affected by his perception of Jonah’s performance. Negotiating Styles and Venues—The negotiating methods of the UN partici-pants came from the traditions of European diplomacy consisting of scheduled confer-ences, more or less well-established agen-das, and binding decisions even on those who are not totally onboard. Somali polit-ical culture had a history of conflict man-agement through “ongoing consultations, assemblies, and negotiations” where nego-tiations were a process rather than a single event. These grassroots meetings drew on the circle of traditional leaders and meth-ods. These negotiations normally took place near the area of conflict. On the oth-er hand, the militia leaders preferred their conflict management to take place in the hotels of Nairobi and Addis Ababa, where no one had a home court advantage. Other social leaders either were not present or were there as observers. In the end it is not clear that one method was more successful. The UN also provided financial support to each of the participating Somalis for these international conferences, a not unimport-ant motivator to convince Somalians that another conference was needed. “With so much money to be made from staging peace conferences, peace building soon degener-ated into a cynical cottage industry domi-nated by entrepreneurial Somali politicians” (Menkhouse, 1997, p. 46). Political reconciliation (a UNOSOM II objective) touched the perceived vital interests of the armed militias and was difficult to negotiate. In fact, whether the UN method was incremental or more encompassing, failure seemed to be the norm, even if there were short-term agree-ments. For example, the Addis Ababa Conference on National reconciliation of March 1993, brought together the fifteen militia factions under the sponsorship of UNOSOM. Agreement was eventually reached on the creation of district councils. However, the agreement didn’t last and the


councils never were created. Another peace effort was the Jubbaland peace accord. It focused on community leaders to resolve fighting over control of the Lower Jubba Valley and the important port of Kismayu. Militias from outside the region engaged the fighting. An accord was reached in August 1993, after two months of meet-ings in Kismayu attended by 154 commu-nal leaders. However, the conflict erupted again in February 1994; the elders were unable to force the two militias to adhere to the accord. UNOSOM then tried to simply broker a comprehensive deal be-tween the most powerful militias in the country to solve the Kismayu conflict and use it as a template for national reconcili-ation. In May 1994, the then UN Special Representative Lansana Kouyate sealed the accord in Nairobi by saying, “The warlords are now peacelords,” an optimistic conclu-sion not borne out by subsequent events (as cited in Menkhouse, 1997, p. 53); the national reconciliation conference pledged in Nairobi never took place. Objectives—From the outset there were objectives that were not always entirely compatible, thus emphasizing the need for, and presenting serious challenges to, the concept of negotiating. As far as U.S. par-ticipation was concerned, pressure on Bush from the media, from Congress, from the NGOs, and from the Clinton camp dur-ing the presidential electoral campaign was significant and he decided to involve the U.S. President-elect Clinton, who agreed immediately with Bush’s decision. Clinton was inaugurated about a month later in January 1992. As his political goals were often determined by opinion surveys, he was undoubtedly aware of the media im-pact caused by reports of the 300,000 dead, either killed by the civil war or by starva-tion. Following the disastrous loss of life in the October 3 firefight (18 American com-mandos killed, one dragged through the streets of Mogadishu on worldwide TV, and hundreds of Somali casualties), the Clinton administration’s goals changed. Following Congressional hearings and considerable criticism for letting this mission get away from him, it was time to cut political losses and Clinton decided to get out. The international participants had a va-riety of motivations and objectives. Bruno Delaye, a Parisian National Center for Scientific Research professor and head of the African unit in the French president’s office, states:

You see, it is soon going to be Christmas and it would be unthink-able to have the French public eat its Christmas dinner while seeing on TV all those starving kids. It would be politically disastrous. Then I phoned several of our African friends, such as Houphouet Boigny, Diouf, Bongo, and Biya. They all agreed; as Francophone Heads of State, they would look ri-diculous in Africa if the Americans went and we stayed home. (as cited in Prunier, 1997, p. 135)

In truth, there might have been as many specific sets of motivations as there were UN participants ranging from the politi-cally self-serving to the truly humanitar-ian. Prunier states his own conclusion on European motives:

Their participation could be qualified as a sort of NATO-cum Desert Storm syndrome: Each involved European country had a prudent desire for “soli-darity” with the U.S. giant, a need to appear “caring” in the eyes of domestic public opinion saturated with horrify-ing TV picture, a preoccupation—espe-cially following the coalition war against Iraq the year before—with displaying its armed forces in an attractively humani-tarian role, and a feeling that its rank as a “power” (even secondary) was linked with membership in the Restore Hope club. (1997, p. 136)

Once engaged, the initial objective was obvious: feed the hungry. However, it was necessary to negotiate with the Somali pow-er brokers to begin since they considered food an instrument of power. However, political reconciliation (essentially asking the militias to play nice) turned out to be the “show-stopper.” The objectives of the Somali warlords were less complicated: use international aid to capture the leadership of the coun-try and the acceptance of the internation-al community. However, negotiations were necessary even among the Somali actors. In June 1991, the USC named Mahdi as in-terim president of Somalia and Mahdi rec-ognized Aideed as chairman of the USC, a careful balance of titles and power that worked in the short term. Another outcome of the USC conference was that Mahdi would form an interim government and that Aideed would form a national army. In October, Aideed changed his mind about cooperating with Mahdi, and the two fought over control of Mogadishu. By

December, a “green line” divided what re-mained of the city. In his review of UN actions in Somalia, Walter Clarke (1997), former deputy chief of mission at the U.S. Embassy in Mogadishu in 1993, and now adjunct pro-fessor of peace operations at the U.S. Army’s Peace-Keeping Institute, identifies other Somali objectives, which complicated the UN’s role and its ability to negotiate suc-cessful outcomes:

Gaining legitimacy from the inter-vening force—Describing the fre-quent meetings between a U.S. dip-lomat, Special Presidential Envoy Robert Oakley, and Aideed, Clarke states “these gestures were permitted to develop into a one-sided relationship favorable only to a communal leader whose crimes against his own people were less known.”

Maintenance of local power bases—Frequent meetings with U.S. diplomats allowed Aideed to claim that he was the chosen next leader of Somalia.

Neutralization of enemies—Aideed successfully convinced UNITAF to drive a hostile clan out of Kismayu in March 1993.

Enhanced credibility through special relationships—Aideed managed to have cameras on hand to record the frequent visits of U.S. and UN officials to his headquarters and replay them in the media to underline and publicize his essential role.

International standing and recogni-tion—UN-sponsored conferences in Nairobi and Addis Ababa allowed the participating warlords to demon-strate international standing. (Clarke & Herbst, 1997, pp. 3-19)

ConclusionsThe role and significance of negotiating risks in the Somali situation were affected by both the operational aspects discussed above, as well as by larger issues that the negotiators could not control. The UN underestimated the size of the problem and the level of commitment that would be necessary to success. While NGOs had been active in Somalia for at least 18 months trying to mitigate the starvation and disease, and while there was interest at the UN level in “doing something,” prin-cipal UN members approached their own involvement with hesitation and reluctance. There were few, if any, compelling strate-


gic imperatives; Somalia did not fall in any country’s “vital interest” zone, nor could the Cold War template be applied. Because the outside world was pushed into trying to help—by political pressures rather than pulled by traditional reasons of self inter-est, motivations were brittle and short-term. There was no interest in staying in Somalia for the long haul, and the estimate of the re-quired time horizon on the part of the UN

and its members was much too short. This factor had a significant effect on the effec-tiveness of negotiations; Aideed knew that his best strategy was to use the international interest in his favor, as much as he could and to wait until the United States and the UN pulled out in frustration or because of diminished interest. With UNOSOM II, the UN slid almost without notice from a relatively low-risk re-

gime during the initial, humanitarian effort to a high-risk level as its goals changed to peacekeeping and political reconciliation. The UN’s estimate and assumptions pre-ceding UNOSOM II were badly flawed. Where Aideed and other warlords were willing to negotiate/discuss how and when food and medical aid would be dispensed, they were less willing to engage in a process that could rob them of their power.


The ideals reflected in the UN Charter should not be assumed to be embraced by the Somalias of the world. It was clear throughout this experience that, to Aideed and others, the hundreds of thousand killed by famine and fighting were of little impor-tance compared with achieving political power. Because the UN’s level of commit-ment was insufficient, so were its tools and methods when the warlords perceived the risks to their vital interests to have increased measurably. Negotiations had helped to save lives under a humanitarian mission, but proved inadequate to deal with peacekeep-ing and nation building. The vital risk to be mitigated in part through negotiation was the cost in lives if the problem was ignored. The global com-munity clearly is not ready to take full re-sponsibility for failed or weak states. The perception of eventual failure was a risk in that it could, and did, have pro-found impact on the future of humanitar-ian and peacekeeping operations. While certain parts of the overall operation were successful, the U.S. withdrawal following the battle of October 3, 1993, certainly shaped U.S. thinking against peacekeep-ing as a valid foreign policy goal. Because of its experience in Somalia, the United States was not willing, until recently in its military operations against Al Qaeda in Afghanistan, to engage in an operation that might result in U.S. casualties. This led to air-only operations in Kosovo and its reluctance to commit in similar ventures in Africa. “A new and debilitating doctrine was born. Ever since Mogadishu the view has been that the United States won’t tol-erate casualties in humanitarian operation” (Crocker, 1999). And the claim by Usama bin Laden that the U.S. failure was his vic-tory (because he allegedly helped to train and equip Somali militias) has significant resonance in the Muslim world, giving strength to the radical Islamist movement and encouraging its members to believe that history is on its side in its fight against the non-Muslim world. The impact of the political process’ even-tual failure is evident today in that Somalia still lacks a central government. The area’s lawlessness has attracted terrorists and pi-rates. Summarizing, when vital interests are opaque, political will is weak. When one side is dominant but diffuses its power, a more focused but weaker opponent has the upper hand. The Somali case was the United Sates’ re-introduction to asymmetrical warfare.

The Somalia Case: High Risk Negotiating With High Risk PeopleA failed state means a breakdown of the structures of legitimate governmental pow-er on all levels. Warlords on land fight each other for power and position while pirates plunder shipping lanes with virtual impu-nity. The successful intervention by the United States Navy of the Maersk Alabama was a notable exception, as is that of other country’s navies.

A Retrospective Analysis Using The Non-Verbal Leak Negotiations broke down, and people died. This story overshadowed the evolutionary development of mankind’s endeavors to grow and develop. In hindsight, we can de-duce individual psychopathology at the heart of many of the worlds recent conflicts. Hitler, Idi Amin, Bin Laden, Milosevic, and Saddam Hussein all had troubled back-grounds as youths. This fact in itself does not guarantee psychopathology or even an unwillingness to negotiate. It does suggest, however, that psychological factors are important vari-ables to consider when attempting to un-derstand and negotiate conflicts from per-sonal to international levels. In the negotiation process, people bring expectations based upon past experiences, future prospects, and their conscious and unconscious realities that constitute their basic truth. Negotiation processes reflect the person’s basic efforts to win a point or position. Often there is an attempt to ma-nipulate the situation to one’s advantage by masking a hidden agenda with a “poker face” or controlled gestures and responses. Conversely, a person may overreact, reflect-ing an attempt to cover or divert attention away from another aspect of other dynam-ics within the negotiation. The UN/U.S. forces tried to maintain objectivity in a sea of powerful provocation. Eventually the natural human tendency to infer meaning and observe with judgment re-sulted not in negotiation or communication, but in escalation with disastrous results. Noted psychologist and semantics ex-pert, Dr. William H. Pemberton (1989), observed:

There seems little need to search for ex-amples of provocative diplomatic ex-change. Read any newsprint. Listen to and watch any newscast. Someone does

something, says something, in some kind of way that insults the receiver and the predictable response escalates the insult. (p. 162)

In any high-risk negotiation, there is both internal and external pressure to reach a so-lution to the differences dividing the par-ties. When the person leading one side of delegation is psychologically disturbed or systematically sabotaging the attempts to resolve the differences, the ability to de-tect this behavior quickly is of critical im-portance. This individual may sit, silently building roadblocks to obstruct a resolution to the disagreement. A negotiator has no problem, of course, saying little or noth-ing. It is more difficult, however, to block the non-verbal unconscious responses that we all have. These reactions, or “leaks” as I call them, are rapid observable distinct bits of behavior that show the true unconscious feelings of the person involved in a nego-tiation process. These leaks can be decoded to surface the true feelings of a person with whom an individual is negotiating. In most of the negotiation situations, we have little or no influence in choosing who will be the person or delegation on the other side of the table, let alone their mental stability. Regardless of this fact, we improve the chances of events not spiral-ing out of control as they did in Somalia if we can detect the signs of hidden agendas, insincerity, outright lies, or even hidden psychopathology. Before we consider the specific Non-Verbal Leak of one of the former key play-ers, Mohammed Farah Aideed, let us first examine the notion of the Non-Verbal Leak in general.

The Non-Verbal Leak (NVL) as a Tool in High Risk NegotiationsHow do those involved in critical high-risk negotiations observe the unconscious pro-cess in such a way that its driving forces can be utilized in the negotiation process? The answer is to learn to read the non-ver-bal messages shown that reflect the uncon-scious, the Non-Verbal Leak. The key to understanding the uncon-scious is in knowing that in most cases we are ambivalent about everything. We en-joy rich food but we know it’s not good for our cholesterol level and waistline. We love a person but sometimes dislike aspects of his behavior. We believe in our system of government but dislike paying for it with our taxes. To live is to be ambivalent. We


are ambivalent about our decisions on many levels. We show that ambivalence on both verbal and non-verbal levels. When we try to deny it, we usually end up showing it even more. On a verbal level, Freud called it a slip. On the non-verbal level, I call it a Non-Verbal Leak. It is a double message; moreover, it is the key to understanding our unconscious. At various times in life, events happen that are perceived as traumatic; we react-ed with decisions designed to avoid such events in the future. For example, a child gets burned on the stove and decides to be cautious around stoves in the future. On an unconscious level he may pair that event with other factors relating to that trauma. He might decide it is dangerous to be around mother when she is cooking. Later that Perceived Primary Event (PPE) could become generalized to include anxi-eties involving cooking or even women. This is certainly not a new idea. However, to have the ability to “read” those anxieties as they exist in the here and now can often provide invaluable information at the nego-tiation table or in any crisis situation. The Non-Verbal Leak (NVL) that reflects the PPE is an extraordinarily rapid, repetitive, patterned series of movements recorded from the shoulders up, reflecting an unre-solved primary perception and manifesting itself in a decision and a strategy from the past. The decision and strategy were believed appropriate at the time, but the strategy, which can be thought of as the old deci-sion with wheels influencing future actions and directions, is often maladaptive in the present. The primary factor—any event that is life threatening or perceived to be life threatening—creates a state of imbal-ance within the individual and reflects re-tention, a holding in of the tension. The NVL is the silent language of the unconscious—another part of our com-munications repertoire—and it can be read just as any other language can be read. In fact, many people without any training at all but especially skilled and experienced negotiators seem to have a natural talent for reading NVLs. Negotiators are often keenly aware of these incongruent messages but, because they have not raised them to a conscious level of awareness, may just call them a “gut feeling.” Others have learned the so-called body language principles. They believe that a person who crosses his arms while he talks is hiding something; a

leg moving up and down, he believes, in-dicates aggression. Just as our own language has patterns unique to each of us, so it is with regard to non-verbal language. A Manhattan matron may have different non-verbal gestures from a Masai matriarch; however, she may have similar Non-Verbal Leaks when it comes to reactions to fear, anger, sadness, or other ba-sic human emotions. The critical factor to decode is the NVL relating to a basic reac-tion to a basic feeling. Ekman & Rosenberg (1997), in their book, What the Face Reveals, offer a detailed study of reading non-verbals and the Facial Action Coding System. Their research pro-vides significant emphasis to this Somali study:

It may be suggested that the coher-ence demonstrated in this study was a particular to the stimulus situation; i.e., the viewing of disgust- and fear-eliciting films, and that it might not generalize to other emotional situations. It seems un-likely that humans would have evolved with emotional response systems that be-have in one way to films but differently to other emotion elicitors. This possibil-ity seems especially remote in the light of the fact that moderate levels of coher-ence among behavioral, physiological, and subjective measures have been dem-onstrated in the very different context of marital interaction research (Levenson & Gottman, 1983; Levenson & Gottman, 1985). We demonstrated that measurement of facial expression and self-report of specif-ic emotions on momentary basis provides solid evidence of a coherent emotional re-sponse, especially for more intense emo-tional events. The source of this coher-ence remains unclear. It is possible that the observed coherence was internally driven, externally driven, or both. Our findings are consistent with Tomkins’s (1962) notion of emotions as correlated responses, and provide the strongest ev-idence to date that this is true for facial and subjective measures. (pp. 82-83)

How does a person react when he is at-tempting to deceive, misrepresent, or out-right lie? The ability to spot a lie in a face that is a sea of stimuli is not an easy task but, with proper, adequate training, it can be done. Ekman also references his previous re-search with Friesen to further emphasize the import of expressions:

Although the fact would mislead the un-trained eye, “involuntary expression of emotions might leak despite a liar’s effort at disguise. The easy-to-see macro-expres-sions often would signal the liar’s deliber-ately intended false information, and the more subtle aspects of facial activity, such as micro-expressions, would nevertheless reveal true feeling. In a sense the face is equipped to lie the most and leak the most, and thus can be a very confusing source of information during deception” (Ekman & Friesen, 1969, p. 98, as cited in Ekman & Rosenberg, 1997)

A skilled negotiator could ask a few ques-tions that he knows will cause the person with whom he is in negotiation to distort or falsify his response. For example, “Are you concerned about the outcome of this ne-gotiation?” “Do you always win?” “Is there a hidden agenda in your position?” A few “yes” or “no” questions, custom fit to a spe-cific negotiation situation, should surface the desired baseline of truth; and with that data the NVL can be deduced. When the NVL is read correctly, it can unlock many mysteries in the underlying motivations in the negotiating process. Being able to more accurately read these messages from the unconscious does not mean that one will magically find success and happiness or, in Somalia’s case, that former warlord Mohammad Farah Aideed would acknowledge his hidden agenda(s). It does mean that those across the table could have seen clearly what others may have felt. They might have been able to use that information to redirect the nego-tiation process at the exact time it began to go wrong. The human body, striving for balance by lying or trying to deceive, creates imbal-ance. This imbalance is both visible to the trained eye and something a negotiator can learn to see and factor into critical high-risk negotiations. Ursula Hess and Robert E. Kleck (1997) wrote:

The literature on psycho-physiological markers of lying (e.g., Lykken, 1979) shows that deception is usually associat-ed with increases in arousal. Nonverbal indicators of arousal, such as blinking, pupil dilation, pitch, speech errors, and speech hesitation might therefore occur in increased frequency when a sender is lying. Another source of deceptive markers are indicators of affective states such as guilt or shame (Kraut, 1980) or


‘duping delight’ (Ekman, 1980). Ekman continued saying, “One might assume that most subjects do not like to de-ceive and might therefore show some signs of anxiety such as less eye contact, less direct body orientation, and more distance from communication partner (Mehrabian, 1971), as well as a decrease in the use of illustrators (Ekman,1980). Lastly, it is generally assumed that pro-ducing a deceptive message is cognitively more demanding than telling a simple truth. Senders of deceptive messages should therefore show indicators of cog-nitive effort such as speech pauses, lon-ger response latencies, pupil dilation, and fewer illustrators (Goldman-Eisler, 1968; Kahneman, 1973; Ekman & Friesen, 1972). (pp. 272)

This is important information for any person to have at his or her disposal. This knowledge is simply another life-viewing tool, albeit an extraordinarily powerful one that provides a deeper understand-ing of one’s self and those around. That knowledge tends to change life for the bet-ter because when we can literally see and understand the messages from the uncon-scious, we can truly become the masters of our own destinies and ultimately more skilled in high-risk negotiations that ulti-mately save lives. Human beings need and strive for bal-ance. This notion is basic to the Goodfield

Method. When a person communicates about a subject that has personal mean-ing or consequences regarding his or her response, there is pressure to express the whole truth. By expressing the total feel-ing, especially when he or she is ambivalent about an issue, he or she retains or restores balance within. A double message or in-congruent message is, in fact, an example of the system trying to express a more com-plete or congruent message of what he or she really feels. An old experience in his life has served as a learning point on a conscious level or a Perceived Primary Pvent (PPE) when on an unconscious level. When an event in the present triggers an old decision from the past, that old decision will be reflected in the form of a Non-Verbal Leak if the un-conscious message is not congruent with the old decision. When we perceive incongruence in an individual, it stands out as something that influences our memory of him. Somehow, the behavior we see does not fit into our recollection of our experience of this per-son. The Non-Verbal Leak is, by definition, a double message; and often we remember or are struck by the inconsistency between what an individual says and how he reflects that on a non-verbal level. As we look at the incongruence, it can create an imbal-ance within ourselves because the behav-ior does not fit.

The advantages of being able to decode these unconscious messages are obvious. Imagine how the outcomes might have been different if the negotiators, in trying to evaluate negotiated risk factors, could have had a clear picture of the NVL of those who sat across from them. It would have provided a glimpse into the real agenda and desire to resolve the crisis. The outcome might have been different or more quickly found, perhaps saving lives as a result. For example, if your old experiences taught you on an unconscious level (PPE) that it is not safe to speak about what you feel and you, on a conscious level, find yourself wanting to talk about your distrust or disapproval, an inconsistency exists within the system. The system, in an effort to reduce the in-consistency, sends both messages—one on a conscious level and the other on an uncon-scious level. The messages are presented as incongruence between verbal and non-ver-bal levels, the non-verbal reflecting the un-conscious aspect of what we feel. This is the origin of the Non-Verbal Leak, which origi-nates from a Perceived Primary Event. The Non-Verbal Leak can be broken down into three basic components: (1) what I initially felt, (2) what I initially wanted to do, and (3) what I actually did. Taken to the symbolic level for further analysis, we use the concept of Impact, Primary Emotion, and Primary Coping Strategy. The Non-Verbal Leak is the referential level of behavior. The SL-1, SL-2, or SL-3 is the symbolic level. The actual non-verbal responses are de-coded into their unconscious symbolic meaning, or SL-1, SL-2, SL-3. We may consider again the previous example. You verbally say, “I trust you.” Your Non-Verbal Leak, as you say those words, shows, I (eyes open) trust (eyes closed) you (eyes closed, top lip tightened, and swallowing down). The complete message, then, is: “I trust you, but I am anxious about telling you that because in the past I had bad experi-ences giving my trust to others. I have sub-sequently learned to avoid these areas, and I close up when they arise in my life.” This message, while a true and complete one, is not necessarily the best opening line when trying to make friends or entering into a negotiation. Both messages come out, one heard and the other felt on some level. There may be various explanations for this behavior but, once again, the issue is to see and hear the communication from both levels of consciousness. Here lies the


s A UNOSOM soldier from Turkey manning a lookout post near UNOSOM II military headquarters in Mogadishu.

Table 84-1. DSM-IV diag-nostic criteria for antiso-cial personality disorder

A. There is a pervasive pat-tern of disregard for and vio-lation of the rights of oth-ers occurring since age 15 years, as indicated by three (or more) of the following:

Failure to conform to social 1. norms with respect to law-ful behaviors as indicated by repeatedly performing acts that are grounds for arrest.Deceitfulness, as indi-2. cated by repeated lying, use of aliases, or con-ning others for personal profit or pleasure.Impulsivity or fail-3. ure to plan ahead.Irritability and aggres-4. siveness, as indicated by physical fights or assaults.Reckless disregard for the 5. safety of self or others.Consistent irresponsibility, 6. as indicated by repeated failure to sustain consis-tent work behavior or to honor financial obligations.Lack of remorse, as 7. indicated by being indif-ferent to or rationalizing having hurt, mistreated, or stolen from another.

B. The individual is at least age 18 years.

C. There is evidence of con-duct disorder (see American Psychiatric Association 1994, p.90) with onset be-fore age 15 years.

D. The occurrence of antiso-cial behavior is not exclusively during the course of schizo-phrenia or a manic episode.

basis for successful communication, mediation and negotiations, and human contact. In crisis and negotiated risk situations, the pressure is higher than in normal circumstanc-es. One can expect the NVL to be more ap-parent, as both halves of the message seek ex-pression. As adversaries seek compromises or total victory, other NVLs will become more apparent and, therefore, better tools to probe deeper into real agendas. In order to gain the benefits of this important information, the reader of the NVL must per-form one more step, to raise the hard data that has been gathered from the non-verbal level to the symbolic level. Here the raw data is inter-preted into clear and usable symbolic meaning. The raw data is the observed repetitive responses noted as the person speaks. The interpretation begins when that information becomes the ba-sis for what is referred to as the symbolic lev-el. When the NVL is being used as a means of gathering deeper underlying motivations of an action, a tactical plan of attack will emerge. The hard referential data of the NVL can be used tac-tically or clinically, depending on the need and/or objective. The person having the NVL data should consider the moral judgments and their impact on the emotions. Lennart Sjoberg (1998), of the Center for Risk Research, Stockholm School of Economics, Sweden, makes the following observation:

Although it can be debated whether mor-al judgment is entirely cognitive, it is cer-tainly closely related to emotional processes. Indignation involves anger, and hence emo-tional reactions should not be neglected in any discussion of risk perception. They may even be of major importance and a more important source of the societal problems connected with varying risk perception than cognitive.

If negotiations are to be successful, and cri-sis is to be avoided, understanding is critical. Observations of referential data need to be translated into useable information. That is what the symbolic level of the NVL is. When we decode the total conscious and unconscious messages of the person, real crisis management can take place with the greater possibility of achieving lasting, successful results. The im-pact (SL-1) is rooted in any PPE. It is real in the eyes of the person who experienced it. This shock to the system can be recorded on both levels of consciousness. Moreover, it im-pacts upon the person on intra-psychic, psy-cho-physiological, or interpersonal levels. The primary emotion (SL-2) to the impact is the first impulse that the person has to the traumatic event. It is what he really wants to do. If his response to the situation is anger in

the SL-2 stage, he wants to express it clearly and directly with no holding back. The primary coping strategy (SL-3) is what the person re-ally does. It is not what he wants to do. He may feel rage but he realizes that, if he gives in to these feelings, he could make the situation even worse. This is where the person finds a compromise that works for him at that moment. In psychoanalytic theory the concept of the id, ego, and superego seek to explain the decision-making process. Freud’s ideas are hypothetical constructs that add understanding to the deci-sion-making process. Impact, primary emotion, and primary coping strategy also help to decode the decision-making process; however, the SL-1, SL-2, and SL-3 are observable, testable reali-ties. With time and similar perceptions of what his world is like, the person develops repetitive strategies for similar situations. It could be said that the SL-3 is his basic strategy in dealing with those feelings in his life. But the NVL is reflected not just in the up-per part of the person; it is shown throughout the person’s body in his movements. This more complete expression of these unconscious mes-sages is referred to as the BNVL or the Body Non-Verbal Leak. We are a psycho-physiological system and, therefore, we must consider the total body. In crisis management, conflict resolution, and high-risk negotiations, as you attempt to resolve conflicts it is critical to observe the principals as they express their feelings. The observation of specific behaviors, such as arm and leg movements and breathing patterns, re-flect some of the body’s movements that must be considered. Reading the total system’s re-actions is what is meant when we decode the Body Non-Verbal Leak. The observed behav-ior, when seen in repetitive patterned form, provides the basis for the subsequent interpre-tation observation. As a result of close observation and analysis, we can see the physical responses of the system throughout the total body. The BNVL reflects the total recorded factors of a perceived trauma within the system. This observable uncon-scious movement forms the basis for part of the negotiation strategy and tactics. Primary or traumatic events are a state of im-balance within the individual, and reflect re-tention, which is a matter of holding tension inside. Our attempts to achieve balance often generate more imbalances. Often our attempt to regain balance results in more imbalances, and we may trip even more and fall. Balance and imbalance are daily factors in our lives and our attempts at resolving conflict. They are re-flected in our bodies’ actions and functions.


There are three key concepts in life: in-sight, action, and risk taking. By taking risks, an individual places himself in a po-sition where something might go wrong; however, something also might go right. Risk taking is a matter of self-concept. How you see yourself will affect what you do with regard to the opportunities with which you are presented on a daily basis.

Sins of the FatherWhen a stone hits a pond, a series of con-centric circles radiate outward. The radia-tion reflects the intensity of the stone’s im-pact. So it is with PPEs. Imagine a few small boats positioned at various points on a pond, one of the boats exactly positioned at the epicen-ter, another at the first concentric circle, and still another at the second, and so on. Of course, at the fifth or sixth con-centric circle, the small boat will expe-rience less distortion and impact than the boat at the center. If there were peo-ple on these imaginary boats, they would have sketchier primary information about the causality, origin, and implication as a result of their differing distances from ground zero. The consequence would be an increased speculation on the part of

those at greater distances. So it is with the Historical Interactive Non-Verbal Leak (HINVL). As the HINVL’s defini-tion suggests, past PPEs impact individuals from one generation to the next. “The at-tempt to find a peaceful settlement to the difficulties facing the Middle East seems bogged down because of two fundamental issues, the HINVL, and the inability to be open to difference” (Goodfield, 1999). When an individual has a major PPE that is not resolved in some satisfactory way, it will be passed along to the children in the family and their children and theirs until resolution is found in the perception of that individual. The primary mode of transmis-sion is through non-verbal messages that reflect the old strategies that resulted from the old decisions in relationship to the event that was initially perceived as a traumatic event. Actions, when reflecting an HINVL, are often taken but are usually not questioned. When they are questioned, the remarks made about them are usually vague, reflect-ing more of a feeling tone that says, “I don’t know why I do this or feel this way. We (fill in a family, clan, or tribal name) have done this in this way for generations. We have been always stoic and held our deeper

feelings inside.” These remarks reflect val-ues and traditions. When they don’t re-sult in repetitive pathological responses to the environment, these actions usually go on unchallenged by the unconscious mind. When, however, a vague feeling of un-easiness or discomfort impacts the per-son daily, the HINVL may be pushing an unresolved issue from someone else’s past. In that sense, we are in the pres-ence of the past, the boat at the epicenter. Ultimately, the person here and now has an NVL that shows his unconscious sig-nal of an emotional need. We need con-tact and affection but, if we have been taught that we of this family are unable to be successful at achieving real contact and intimacy, then we either don’t try or, when we do, we somehow unconsciously sabotage our efforts. The HINVL is an unconscious self-fulfilling prophecy that shapes our lives and influences the direc-tions we take. Deep-seated distrust based on old his-torical unresolved traumas, sabotages peace negotiations on a regular basis, and the lives of those who suffer from the absence of that peace. If there is a solution to this situation, it will come about when people, as negotiators, put the idea of peace before unconscious needs. Violent history, violent role models, and a profound sense of hopelessness create a dilemma. There are two basic paths from which to choose. Withdraw into despair and hopelessness, and find solace in what religious belief might offer. The second path is to give vent to the repressed rage that can accompany the daily injustice found in daily existence. This becomes the breeding ground for Mohammed Farah Aideed that infests the streets and waters off of Somalia. Let us look at a former Somali leader, Mohammed Farah Aideed, as he is illus-trative of many of those struggling to find balance in the unbalanced world in which they live. As Walter Clarke, Deputy Special Envoy, said of former warlord Aideed, ”If you are a warlord, I guess you need a war.” Aideed saw himself not as a warlord but as the top warlord fighting his own battle for power over historical enemies and forces from the past. Let us now consider the NVL of Mohammed Farah Aideed and the psy-chological dynamics that drove his behav-ior in the Somalia situation.

s Belgian and U.S. members of the Unified Task Force (UNITAF) in a military convoy.


Mohammed Farah Aideed’s Psychological Dynamics and the Negotiation Process

The NVL of Mohammed Farah Aideed

Eyes open1. Deepening lines between eyes 2. Top lip tightens, masseter muscles pulse3. Lines next to nose tighten and deepen4. Eyes open wider in anger5.

SL-1, SL-2, SL-3 of Mohammed Farah AideedSL-1 = Shock, shown in large eyes SL-2 = Anger out, shown in strong lines near mouth and tight top lip SL-3 = Controlled pressure, then impulsive and often explosive action, then a swal-low down. When looking at General Aideed, one is

immediately struck by the two deep lines between his eyes. A few conclusions can be drawn from these lines. When looking at his masseter mus-cles, the blockage of aggressive impulses

can be inferred. This blocked aggression was later given full vent. He was a person under a lot of pressure and who internalized even more. He could be seen as a Type A personality as well as an antisocial person-ality or psychopath.

How did pressure in the negotiation pro-cess affect his behavior? As has been pointed out in the general discussion of the NVL, pressure can and often does reinforce old decisions and strategies made as a child. What would those decisions and strate-gies as a child likely be?

Hang on in the face of intolerable 1. hardship. Pressure will justify the violence hid-2. den just below the surface.The views of others are irrelevant ob-3. stacles to gaining more power. Violence and revenge are justified, ap-4. propriate, and necessary.

A post hoc psychological diagnosis and evaluation of the deceased General Aideed could increase the understanding of the negotiation difficulties that took place in Somalia and the challenges it faces today.

Mohammed Farah Aideed was a charis-matic character who, based upon his known behavior and actions, fits the clinical criteria of a psychopath as defined by the American Psychiatric Association diagnostic criteria. What are the critera of a psychopath? J. Reid Meloy (1995) discloses important details on antisocial personality disorders for our studies: “Antisocial personality dis-order is the most reliably diagnosed condi-tion among the personality disorders, yet treatment efforts are notoriously difficult.” He goes on to present two tables, one de-scribing the criteria for antisocial personal-ity disorder (Table 84-1.) and, in a second table, the revised psychopathy checklist (Table 84-2.). What is clear with 20/20 hindsight is that the behavior of General Aideed fits the clinical features that distinguish the psycho-path from other forms of narcissistic per-sonality disorder. He was characterized by aggression and power in his interactions. He manifested sadistic and cruel behavior toward others. He had no interest in show-ing, rationalizing, or morally trying to jus-tify his behavior. There was no adherence to any value system other than the exploit-ative aggressive use of power. He showed no conscience and no ego, allowing famine to devastate his people. He appeared to know what others thought, but he did not care what they felt. This information in the hands of General Anthony Zinni, Director of Operations 1992–1993, might have built a tactical plan that would have incorporated this critical information into his negotiation strategies. The situation was not helped when General Aideed’s behavior was labeled by the United Nations as criminal. This would make any psychopath become defensive, less respon-sive, and ultimately more dangerous and unpredictable at the negotiation table. General Zinni in the 2002 Frontline TV program Ambush in Mogadishu, commented on the UN action saying: “I think that the resolution (UN) to declare Aideed a crimi-nal was ridiculous first of all, and secondly, we were now in some kind of counter-insur-gency operation or war” (Cran, 2002). This prophetic observation was to foreshadow the continued deterioration of the events in Somalia. What were General Zinni, Robert Oakley, Walter Clarke, and a host of oth-ers up against in attempting to negotiate with Mohammed Farah Aideed? Two fac-tors come to mind. First, as an antisocial

personality, Aideed developed with cer-tain characteristics. Meloy (1988) states:

In the child’s subsequent develop-ment, two separate processes coexist. One is characterized by a profound de-tachment from all relationships and from affective experience, while the oth-er is a more object–related path charac-terized by sadistic attempts to bond with others through the exercise of power and destructiveness. The psychopathic patient never be-comes aware of other people as separate individuals with feelings of their own. Hence these patients do not develop a capacity for depressive anxieties or for guilt stemming from concern that their actions can hurt others.

The second unknown factor at that time was that the Al Qaeda terror network lead by Usama Bin Laden was hastily pro-viding arms to fight and not negotiators to find solutions to apparent differences. What then would have been the best strategies the United States and the United Nations could have taken when attempting to negotiate with Mohammed Farah Aideed? Any negotiation approach that fed his ambi-tious need for power at the same time search-ing for others with more of a true commit-ment to peace and redevelopment in that war-torn region. This is easy to suggest and much harder to accomplish, given the play-ers then and even now in 2009. Somalia’s new leader, President Sheikh Sharif Sheikh Ahmed, faces the same uphill struggle as was faced by others caught in the brier patch called Somalia.

Concluding Thoughts The United States Navy’s attempted nego-tiation for the release of Captain Richard Phillips of the Maersk Alabama in April 2009, is emblematic of the difficulty faced by the West. Be it on sea or land, negoti-ating the non-negotiable is never easy. A failed state means a breakdown of the structures of legitimate governmental power on all levels. Warlords on land fight each other for power and position while pirates plunder shipping lanes with virtual impunity. Those involved in high-risk interna-tional negotiations face in two directions at the same time. Direction one is toward their capitals or the headquarters of their negotiation agencies. They must also face the persons across the tables that are also confronted with similar tasks. To suggest


Table 84-2.Psychopathy Checklist-Revised

Glibness/superficial charm1. Grandiose sense 2. of self-worthNeed for stimulation/3. proneness to boredomPathological lying4. Conning/manipulating5. Lack of remorse or guilt6. Shallow affect7. Callous/lack of empathy8. Parasitic life-style9. Poor behavioral controls10. Promiscuous 11. sexual behavior Early behavioral problems12. Lack of realistic 13. long-term goals Impulsivity14. Irresponsibility15. Failure to accept 16. responsibility for own actions Many short-term 17. marital relationships Juvenile delinquency18. Revocation of 19. conditional release Criminal versatility20.

Source. Hare.R: The Hare psychopathy Checklist-Revised Manual. Toronto, Multi-Health Systems, 1991.

“A man with much to think about and much more to do.

Sheik Sharif was a former schoolteacher, who

stood up to the warlords who fought for control of Mogadishu. He faces not only the problems

of a failed state, he also faces Usama Bin Laden who reportedly called

for him to be ‘dethroned, fought, and removed

with armed force.’” —CNN, March 19, 2009

that those involved with such colossal tasks puts more demands upon themselves and on their colleagues may seem unfair or unrealistic. It is not. In the long run, this effort will save time, en-ergy, and perhaps even lives if the true agendas of all parties present are surfaced, discussed in candor, and incorporate both the conscious and unconscious realities that bring them together and divide them at the same time. The events in Mogadishu, with its drought and starvation and problematic leadership, points to the futility of the situation in general. Mohammed Farah Aideed is gone. A clinically proven psychopath is no longer in control. The “government” (mostly in name only) still is struggling with other clans and desperate individuals. Those people are seeking power and position in an internal political struggle against other self-serving warlords that produces little hope for successful change. Sometimes the most successful thing a negotiator can do is to push away from the table when those across from him are showing in their actions, both verbally and non verbally, that it is a game no one can win. The Non-Verbal Leak can provide that clear data and direction. Perhaps a small hope comes from America’s war with Al Qaeda, which still has rep-resentation in that area. As long as there is a per-ceived threat of an Al Qaeda presence, there will be an interest on the part of the United States and the United Nations. Hope for these desper-ate people will only come when others see self-interest in the region.

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ABOUT THE AUTHORS

Barry Austin Goodfield, PhD, FACFEI, DABFE, DABFM, DABPS, is senior professor at Henley-Putnam University, instructing doctoral-level students from the intelligence and counterterrorism community. He holds a PhD in Psychol-ogy and Human Behavior. He is an international lecturer, author, and noted radio and television personality. He is founding director of the Goodfield Institute in Glendale, Arizona and the Netherlands. He is chairman of The Goodfield Foundation for the Study of Conflict Communication and Peace Building, an NGO in The Hague. He is partner at Goodfield Ilgen Expert Consultancy in Europe. He has lectured at University of California

Berkley and Oxford University as well as many other universities throughout the world. He holds two U.S. patents on his psychotherapeutic process relating to analyzing Non-Verbal Leaks. For more information, go to www.goodfieldinstitute.com.

Andre Le Gallo, BA, a retired senior Central Intelligence Agency officer, ran clandestine operations in 5 continents for three decades experiencing several coups, a revolution, and a war. He was the CIA chief of station in 4 countries and also served as the National Intelligence Officer for Counterterrorism. Following his CIA career, he was a vice president in an international energy company, a Visiting Fellow at the Hoover Institution, and President of the San Francisco chapter of the Association of Former Intelligence Officers. He has been a consultant for both private business and government. His

forthcoming The Caliphate (Dorchester Publishing, Feb. 2010) is a whirlwind adventure that will change the politics of the Middle East and springs from today’s headlines. Mr. Le Gallo is currently writing his second novel, Satan’s Spy.

s Maersk Alabama Capt. Richard Phillips, right, stands alongside Cmdr. Frank Castellano, commanding officer of USS Bainbridge (DDG 96) on Sunday, April 12, 2009, after U.S. Naval Forces rescued Phillips off the coast of Somalia. (U.S. Navy/MCT)


Law Enforcement


Information was relevant and applicable.1. Learning objectives were met.2. You were satisfied with the article.3. ADA instructions were adequate.4. The author’s knowledge, expertise, and clarity were appropriate.5. Article was fair, balanced, and free of commercial bias.6. The article was appropriate to your education, experience, and 7. licensure level. Instructional materials were useful.8.

1 2 3 4 51 2 3 4 51 2 3 4 51 2 3 4 51 2 3 4 51 2 3 4 51 2 3 4 5

1 2 3 4 5




Address: City:

State: Zip: E-mail:

Credit Card #



Signature Date



KEYWORDS: terrorism, warlord, civil war, non-state actor, Aideed, Sahnoun, Mahdi, Oakley, Clarke, NGO, UNITAF, UNOSOM, Restore Hope, Usama bin Laden, Boutros Boutros Ghali, Siad Barre, United Nations, Clinton, Jonah, NVL, Non-Verbal Leak, unconscious

TARGET AUDIENCE: Psychological professionals


DISCLOSURE: The authors have nothing to disclose.

PREREQUISITES: None

1 The implementation of policy (or working toward goals) cannot assume either cooperation or understanding from the other involved parties, even if “it’s good for them.” In this case, the U.S. goal was to provide humanitarian assistance. However, this was deemed NOT threatening by those who wanted to control the country. a. Trueb. False

2 Success will depend on understanding the others’ own objectives in the venture. To reach an adequate level of understanding, it is necessary to know the influences at work. Some will have originated from historical events, family and tribal (or associative) ties, and obli-gations. Traditional tribal ties and obligations are more important than loyalty to the idea of a nation, as loyalty is too abstract when day-to-day survival is at stake.a. Trueb. False

3 Accommodating the other party’s desires into a final solution is the only path to a sustain-able situation. Political reconciliation based on power rather than the self-interests of the negotiating parties will last only through force of arms. a. Trueb. False

4 The head emphasis movements, muscle tension in the eyes, and eyebrow lifts are signifi-cant predictors of recurrent CHD in univariate analyses. However, when the nonverbal indi-ces were examined in multivariate analyses with other behavioral variables, the nonverbal behaviors were no longer significant.a. Trueb. False

5 NVL pressure does not reinforce old decisions and strategies made as a child. a. Trueb. False

6 Mohammed Farah Aideed was a charismatic character who, based upon his known behavior and actions, fits the clinical criteria of a psychopath as defined by the American Psychiatric Association diagnostic criteria. a. Trueb. False



CE ARTICLE 2: Challenges and Psychological Dynamics of Negotiating Risks in Failed States: The Somali Case (Pages 24-35)

ABSTRACT

After studying this article, participants should be better able to do the following:Better understand the key role that personality plays in international crisis.1. Understand the dilemma faced by international organizations attempting to bring aid to this region.2. Understand the role of the unconscious process in world affairs.3. Understand this historical development of the regional conflict.4. Gain insight into methods of “reading” Non-Verbal Leaks.5.

LEARNING OBJECTIVES

In order to receive two CE credits, each participant is required to1. Read the continuing education article.2. Complete the exam by circling the chosen answer for each question. Complete the evaluation form. 3. Mail or fax the completed form, along with the $15 payment for each CE exam taken to: ACFEI, 2750 East Sunshine, Springfield, MO 65804. Or Fax to: 417-881-4702. Or go online to www.acfei.com and take the test for FREE.


TO RECEIVE CE CREDIT FOR THIS ARTICLEThis article is approved by the following for 2 continuing education credits:



Following a civil war and a drought, 350,000 Somalis had died by 1992. In response to a United Nations request for help, the United States sent Marines to secure the environment (UNOSOM—Operation Restore Hope). This initial effort was followed by UNOSOM II, a more ambitious UN mandate to disarm militias and reconcile political factions. This paper examines the decision-making, the effect of conflicting personalities, and the role of the unconscious as seen in the Non-Verbal Leak. The personality of former President Mohammed Farah Aideed is analyzed in the context of the aforementioned conflict. An explanation of the relevance (or lack of one) of the interlocutors, the negotiating styles and venues, and the negotiating objectives is discussed.


ATTENTION ACFEI MEMBERS: Journal-Learning CEs are now FREE when taken online. Visit www.acfei.com.As a Forensic Examiner, I am involved pri-

marily in the examination and evaluation

of evidence related to alcohol and drug

related crimes or accidents and answering

the question how, if at all, was intoxica-

tion a factor in an event. My knowledge,

training, and experience in neuropharma-

cology, anatomy and physiology, neuro-

science, and, of course, psychology (cou-

pled with extensive experience in testing

human subjects) has served me well in

my private practice. Like many forensic

examiners, I spent years in academia be-

fore developing a unique specialty in fo-

rensic psychopharmacology.

The summer of 2001 was like most summers: Busy. There were files of cases awaiting foren-sic evaluations of fatal or serious motor vehicle crashes, homicides, and other potential crimi-nal activities or various accidents in civil cases. At the same time, I was also reviewing articles in my capacity as an expert for various scientif-ic journals, conducting my own research, and writing. As busy as it was, it was a good time to catch up on these things because for several months I had been involved almost exclusively in writing a comprehensive training curriculum on biological warfare for a company in New York City. Biological warfare was not my chosen field of study, but my multi-discplinary training and teaching experience were needed to review and synthesize this complex field and develop a training program. It was interesting work, but I did not realize how acutely important it would become in the near future. Like most people, I remember exactly where I was the morning of September 11, 2001, when terrorists hijacked three jetliners, crashing two into the World Trade Center. The third was brought down in Shanksville, PA. I was at work when my friend Joe Birkbeck, a retired nuclear medicine specialist, called and told me to turn on the television. When I asked what channel, he simply said, “Any channel. I have to go now.” Writers more eloquent than I have captured the sentiment of the nation and how we all came together, at least for a while. For me, there was an urgency to “do something” in response to the terrorist attacks, but what? The answer came only a week later when letters containing anthrax spores were mailed to several news me-dia offices and two U.S. Senators, killing five people and infecting 17 others. It was obvious that my recent work on biological warfare was

A Memorable Day In the Life of Forensic Examiner Dr. John Brick


no longer an academic exercise, but that I was in a unique position of knowing exactly what was needed and what to do. I put all forensic cases, lectures, and other day-to-day projects on hold and, for all practical purposes, closed my fo-rensic practice. Everything, everyone, all efforts and resources of my office focused on one thing: Biological Warfare. The ten-hour workdays be-came fifteen-hour days when the Post Office in Hamilton Township, New Jersey, located twen-ty minutes from my office, was identified as the origination point for the anthrax attack. The importance of this work literally struck close to home. The result of my efforts was the Biological Warfare Matrix or, as Dr. O’Block calls it, “Brick’s Matrix” to bio-warfare. The Matrix identifies agents by the signs or symptoms they produce and explains how they are spread and how to minimize contagion. At the time it was first written, there was no single source where all of this information was available. The CDC “was working on one” but it was not yet com-pleted. It was, and continues to be, impossible to precisely predict when and how future ter-rorist attacks will come. But it is possible to be prepared for and respond to such an event. The

purpose of the Matrix is to provide informa-tion to identify and treat exposure to weaponized biologicals and understand how they are spread, avoid panic from misinformation, and empower with knowledge. The Matrix is now available for broad distribution through the American College of Forensic Examiners.

Who Will Benefit from the Matrix?Preparedness has multiple levels and expertise. Obviously, first responders who primarily work to identify casualties and provide Emergency Medical Care will use the Matrix. These include police, fire, EMTs, and physicians. At the time of the anthrax attacks, the Matrix was immediately disseminated to local and state law enforcement agencies and organizations, including the hos-pital where Hamilton Township postal workers were treated for anthrax exposure. The Matrix is easy enough to read that it can be used by lay-persons with basic medical training. Panic, fear, and hopelessness are likely to follow any mass attack, and probably more so when the enemy is a microbe that you cannot see. The Matrix can help eliminate some fear by identifying the threat and explaining prevention and treatment options.

“It was, and continues to be, impossible

to precisely predict when and how future

terrorist attacks will come. But it is possible

to be prepared for and respond to such an event.”

s Dr. Brick explaining the finer points of biological sample dilution as a function of a sample matrix. Visual explanations, whether used in the classroom, in the field, or in the court-room, are helpful in understanding and remembering information.


DR. JOHN BRICKYardley, PA 19067

([email protected])

ANTHRAX(Bacterial)

Pulmonary (p)Cutaneous (c)

G.I. (gi)

BOTULISM(Bacterial)

BRUCELLOSIS(Bacterial)

CHOLERA(Bacterial)

GLANDERS(Bacterial)

PLAGUE(Bacterial)

Pneumonic plague=ppBubonic

plague=bp

Q-FEVER(Bacterial)Q-fever,

Rickettsia

TULAREMIA(Bacterial)Ulcero-

glandular=ut

Typhoidal=tt

HEMORRHAGIC FEVERS

(Viral)Ebola, Marburg, Lassa, Argentine, Bolivian, Congo-

Crimean, Rift Valley, Yellow Fever, Dengue

(Viral)

SYMPTOMS

CARDIOVASCULARCV Compromise X (p) X Collapse

(pp) X Hypotense

Cyanosis X 2nd Stage X (pp)Edema X (p) X

Hemorrhage X(pp or bp)

X Easy bleeding

Diaphoresis X 2nd Stage XDiathesis X Bleeding (pp) X

Shock X (p) XTachycardia X 2nd Stage

PULMONARY Chest discomfort X Moderate

1st Stage X Pleuritic pain in 20% of cases

X Pleuritic chest pain X Pain X Pain

Cough X 1st StageNonproductive X 20% of cases X Non-

productive X (tt) Nonproductive

Dyspnea X 2nd Stage X (pp)Hemoptysis X (pp)

Respiratory distress X 1st Stage X Paralysis X Failure (pp)Respiratory failure X > 2-4 d X 2nd Stage

Stridor X 2nd Stage X (pp)Substernal discomfort X (tt)

MUSCULAR-SKELETAL Arthralgias

X

Myalgias X X X XRigors X

Sacroilitis XVertebral osteomyelitis X

NEURO Blurred vision X 1st StageChills/sweating X X Chills (pp) X X Chills (ut)

Dizziness X 1st Stage Diplopia X 1st Stage

Dysarthria X 1st StageFatigue X 1st Stage X Severe

Flaccid paralysis X 2nd StageHeadache X X X X (pp) X Severe X (ut,tt) X

Malaise X 1st Stage X (bp) X X (ut,tt) XMental Status Change X Depression X Confusion

Prostration X (tt)Ptosis X 1st Stage

Weakness X 1st Stage X Severe

IMMUNECervical adenopathy

X

Fever X 1st Stage X Irregular X Minimal X X High (pp,bp) X 104-105° X (ut, tt)

Flu-like symptoms X 1st Stage X

Lymph nodes X X Tender (bp) X Regional adenopathy (ut)

Splenomegaly X

G.I. Colic X Bloody diarrhea (gi)

X, “rice water” stool X

Diarrhea X X X XDysphagia X 1st Stage

Nausea/Vomiting X (gi) X X XUlcer X Local (ut)

Weight Loss X Anorexia X (tt)Dry mouth/throat X 1st Stage X Sore

SKIN Flushed face & chest X

Lesions, depressed eschars X (c ) Lesions → black eschars

Papular/pustular eruptions XHEMOLYTIC Petechae X

Toxemia X (pp)RENAL Renal insufficiency X

Decontamination solution: Hypochlorite is available as Clorox (5.25% sodium hypochlorite). To make 0.5% solution, mix 1 part Clorox and 9 parts water (1:9). Mix daily.The purpose of this chart is to provide concise guidance in the general identification and management of biological casualties. It is not a definitive text, but is designed to be a quick reference of the most common symptoms and treatments. This chart does not list all potential biological weapons. For some agents (e.g., T2 and other mycotoxins) and many hemorrhagic fever viruses, no specific therapies are available. Therefore, they were not included in this chart. Vaccines against some biological weapons are available (see reverse side). For more information, consult the references listed below and contact the CDC (770) 488-7100, or your state health agency.

References: Medical Management of Biological Casualties Handbook, US Army Medical Research Institute of Infectious Diseases, Operational Medicine Division (1998); Jane’s Chem-Bio Handbook, Jane’s Information Group (1998); Biological Warfare and Terrorism: The Military and Public Health Response, Satellite Broadcast: US Army, Centers for Disease Control, Federal Drug Administration, Public Health Network (1999).

* © COPYRIGHT 2009 ALL RIGHTS RESERVED. This document may not be sold, but it may be reproduced in its entirety without permission.

BIOLOGICAL WARFARE IDT MATRIX v9.24.01m.4 © 2009 JOHN BRICK, PhD, MA, FAPA INTOXIKON INTERNATIONAL


© Document may be reproduced in its entirety without permission**

ANTHRAX BOTULISM BRUCELLOSIS CHOLERA GLANDERS PLAGUEPneumonic plague=ppBubonic plague=bp

Q-FEVER TULAREMIAUlceroglandular=utTyphoidal-tt

VIRAL HEMORRHAGIC FEVER

THERAPY Supportive therapy may be required Electrolyte replacement therapy mix 3.5 g NaCl (Salt), 2.5 g NaHCO3 (sodium bicarbonate), 1.5 g KCl (potassium chloride); 20 g of glucose/liter water

Avoid contaminated biologicals, substances, objects (fomites)

Supportive therapy required

Self-limiting Early therapy very effective Intensive support may be required

Chloramphenicol Meningitis: 1 g IV qid x 10-14 d

Ciprofloxcin 400 mg IV, q 8-12 h No Cipro in pregnant women or children unless life threatening

500 mg q 12 h x 3 d

Doxycycline 200 mg IV x 1 plus 100 mg IV q 8-12 h

No Doxy in pregnant women or children unless life threatening

200 mg/d PO plus Rifampin 600-900 mg/d PO x 6 w

300 mg once or 100 mg q 12 hr x 3 d

200 mg IV then 100 mg IV bid x 10-14 d

100 mg q 12 h x 5-7 d

Erythromycin Adult: 500 mg q 6 hr x 3 dPediatric: 40 mg/kg/d divided into 4 doses x 3 d

Furazolidone Pediatric: 5 mg/kg/d divided into 4 doses x 3 d or 7 mg/kg/d x 1

Gentamicin 30 mg/kg IM qid 30 mg/kg/d (IM) in 2 doses x 10 d

3-5 mg/kg/d IV x 10-14 d

Ofloxacin 400 mg/d PO x 6 wPenicillin 2,000,000 U IV q 2 h plus

Streptomycin 30 mg/kg IM qid;Cutaneous-Procaine Penicillin 2,000.000 U qd until edema subsides then PO x 7-10 d

Ventilatory support critical. Trach or endotrach intubation will decrease fatalities

Ribavirin Rift Valley & poss. other HFVs: 30 mg/kg/IV then 15 mg/kg IV q 6 h x 4 d, then 7.5 mg/kg IV q 8 h x 6 d

Rifampin 600 mg/d PO x 6 wStreptomycin 30 mg/kg/d (IM) in 2 doses

x 10 d1 gm IM q 12 h x 10-14 d

Sulfadiazene Pediatric: 40 mg/kg/d divided into 2 doses x 3 d

100 mg/kg/d in divided doses x 3 w

Tetracycline 500 mg q 6 h x 3 dPediatric: 50 mg/kg/d divided into 4 doses x 3 d

500 mg PO q 6 h x 5-7 d

Trimethorprin Pediatric: 8 mg/kg/d divided into 2 doses x 3 d

PROPHYLAXISVaccine IND Vaccine No vaccine

Avoid unpasturized milk and cheese

Vaccine, but limited (50%) protection. Limited data on effectiveness against aerosol

No vaccine Vaccine Vaccine IND Vaccine Yellow Fever vaccine is licensed.

Prophylactic ribavirin may be effective for other VHF.

Ciprofloxacin 500 mg PO bid x 4 w 500 mg PO bid x 7 d

Doxycycline 100 mg PO bid x 4 w plus vaccine 200 mg/d PO plus Rifampin 600-900 mg/d PO x 6w

100 mg PO bid x 7 d 100 mg PO start 8-12 d post exposure x 5 d

100 mg PO bid x 14 d

Tetracycline 500 mg PO qid x 7 d 500 mg PO start 8-12 d post exposure x 5 d

500 mg PO qid x 14 d

Human-to-Human Transmission? No, except when skin broken No No Rare Low High Rare except in pneumonia cases

No Moderate

Transmission from Animals? Yes, from infected animals No Tissue, urine, milk, raw milk, cheese

Delivery Aerosol weapon;Contaminated, undercooked meatFly bites

Aerosol weapon; Food/vegetables

Aerosol or food supplyContact with infected animals

Aerosol weaponFood, contaminated water

Aerosol Inhalation of bacteria-laden droplets. Infected fleas, direct contact with contaminated tissue.

Airborne dustAerosolPlacental tissues, milk, urine, feces

Skin, mucous membranesInsect bitesAerosol, fomites,mosquitoes

Aerosol, respiratory systemFomites, direct contact with body fluids (except Dengue)Yellow Fever, Dengue: Mosquitoes

Precautions

Standard Precautions for healthcare workers = SP

SP SP SPAvoid unprotected contact with skin or mucous membranes Avoid unpasturized milk/cheese

SPAvoid contaminated biologicals, substances, objects

SP SP SP SP Contact Precautions for healthcare workers. Isolation and barrier nursing procedures apply.Avoid IM injections, aspirin, anti-coagulant drugs

Decontamination Clorox® 0.5% Clorox®for 10 min; and/or soap and water

0.5% Clorox® 0.5% Clorox® 2-5% Clorox® orHeat (162°F)

Soap and water or70% ethyl alcohol

Heat (131° F) Clorox®, phenolic decontaminants

Incubation period 1-6 d Inhalation – 24-36 hIngestion – several days

5-60 d; Avg: 1-2 m 4 h – 5 d; Avg: ~2-3 d 10-14 d> 14 d if from aerosol attack

Pneumonic – 2-3 dBubonic plague – 2-10 d

Pneumonia in 30-50%10-40 d incubation periodHighly infectious as inhalable cloud

1-21 dIllness lasts for > 2 w

2-7 d to 2-3 w

Fatal 24-36 h, 80-90% of cases Respiratory -60% mortalityDeath in 24-72 hMost lethal of all toxins

Not usually, if treated with antibiotics

50% in untreated cases- Severe dehydration.

If untreated–fatal within 3-4 wIn septicemic form – 7-10 d.

Pneumonic – 100% fatal if not treated within 24 h of onset.Bubonic – untreated – 50% fatality rate.

<1% fatality Moderately lethal if untreated Virus 5-20%+Ebola – fatal in 50-90%

BIOLOGICAL WARFARE IDT MATRIX v9.24.01m.4 © 2009


© Document may be reproduced in its entirety without permission**

ANTHRAX BOTULISM BRUCELLOSIS CHOLERA GLANDERS PLAGUEPneumonic plague=ppBubonic plague=bp

Q-FEVER TULAREMIAUlceroglandular=utTyphoidal-tt

VIRAL HEMORRHAGIC FEVER

THERAPY Supportive therapy may be required Electrolyte replacement therapy mix 3.5 g NaCl (Salt), 2.5 g NaHCO3 (sodium bicarbonate), 1.5 g KCl (potassium chloride); 20 g of glucose/liter water

Avoid contaminated biologicals, substances, objects (fomites)

Supportive therapy required

Self-limiting Early therapy very effective Intensive support may be required

Chloramphenicol Meningitis: 1 g IV qid x 10-14 d

Ciprofloxcin 400 mg IV, q 8-12 h No Cipro in pregnant women or children unless life threatening

500 mg q 12 h x 3 d

Doxycycline 200 mg IV x 1 plus 100 mg IV q 8-12 h

No Doxy in pregnant women or children unless life threatening

200 mg/d PO plus Rifampin 600-900 mg/d PO x 6 w

300 mg once or 100 mg q 12 hr x 3 d

200 mg IV then 100 mg IV bid x 10-14 d

100 mg q 12 h x 5-7 d

Erythromycin Adult: 500 mg q 6 hr x 3 dPediatric: 40 mg/kg/d divided into 4 doses x 3 d

Furazolidone Pediatric: 5 mg/kg/d divided into 4 doses x 3 d or 7 mg/kg/d x 1

Gentamicin 30 mg/kg IM qid 30 mg/kg/d (IM) in 2 doses x 10 d

3-5 mg/kg/d IV x 10-14 d

Ofloxacin 400 mg/d PO x 6 wPenicillin 2,000,000 U IV q 2 h plus

Streptomycin 30 mg/kg IM qid;Cutaneous-Procaine Penicillin 2,000.000 U qd until edema subsides then PO x 7-10 d

Ventilatory support critical. Trach or endotrach intubation will decrease fatalities

Ribavirin Rift Valley & poss. other HFVs: 30 mg/kg/IV then 15 mg/kg IV q 6 h x 4 d, then 7.5 mg/kg IV q 8 h x 6 d

Rifampin 600 mg/d PO x 6 wStreptomycin 30 mg/kg/d (IM) in 2 doses

x 10 d1 gm IM q 12 h x 10-14 d

Sulfadiazene Pediatric: 40 mg/kg/d divided into 2 doses x 3 d

100 mg/kg/d in divided doses x 3 w

Tetracycline 500 mg q 6 h x 3 dPediatric: 50 mg/kg/d divided into 4 doses x 3 d

500 mg PO q 6 h x 5-7 d

Trimethorprin Pediatric: 8 mg/kg/d divided into 2 doses x 3 d

PROPHYLAXISVaccine IND Vaccine No vaccine

Avoid unpasturized milk and cheese

Vaccine, but limited (50%) protection. Limited data on effectiveness against aerosol

No vaccine Vaccine Vaccine IND Vaccine Yellow Fever vaccine is licensed.

Prophylactic ribavirin may be effective for other VHF.

Ciprofloxacin 500 mg PO bid x 4 w 500 mg PO bid x 7 d

Doxycycline 100 mg PO bid x 4 w plus vaccine 200 mg/d PO plus Rifampin 600-900 mg/d PO x 6w

100 mg PO bid x 7 d 100 mg PO start 8-12 d post exposure x 5 d

100 mg PO bid x 14 d

Tetracycline 500 mg PO qid x 7 d 500 mg PO start 8-12 d post exposure x 5 d

500 mg PO qid x 14 d

Human-to-Human Transmission? No, except when skin broken No No Rare Low High Rare except in pneumonia cases

No Moderate

Transmission from Animals? Yes, from infected animals No Tissue, urine, milk, raw milk, cheese

Delivery Aerosol weapon;Contaminated, undercooked meatFly bites

Aerosol weapon; Food/vegetables

Aerosol or food supplyContact with infected animals

Aerosol weaponFood, contaminated water

Aerosol Inhalation of bacteria-laden droplets. Infected fleas, direct contact with contaminated tissue.

Airborne dustAerosolPlacental tissues, milk, urine, feces

Skin, mucous membranesInsect bitesAerosol, fomites,mosquitoes

Aerosol, respiratory systemFomites, direct contact with body fluids (except Dengue)Yellow Fever, Dengue: Mosquitoes

Precautions

Standard Precautions for healthcare workers = SP

SP SP SPAvoid unprotected contact with skin or mucous membranes Avoid unpasturized milk/cheese

SPAvoid contaminated biologicals, substances, objects

SP SP SP SP Contact Precautions for healthcare workers. Isolation and barrier nursing procedures apply.Avoid IM injections, aspirin, anti-coagulant drugs

Decontamination Clorox® 0.5% Clorox®for 10 min; and/or soap and water

0.5% Clorox® 0.5% Clorox® 2-5% Clorox® orHeat (162°F)

Soap and water or70% ethyl alcohol

Heat (131° F) Clorox®, phenolic decontaminants

Incubation period 1-6 d Inhalation – 24-36 hIngestion – several days

5-60 d; Avg: 1-2 m 4 h – 5 d; Avg: ~2-3 d 10-14 d> 14 d if from aerosol attack

Pneumonic – 2-3 dBubonic plague – 2-10 d

Pneumonia in 30-50%10-40 d incubation periodHighly infectious as inhalable cloud

1-21 dIllness lasts for > 2 w

2-7 d to 2-3 w

Fatal 24-36 h, 80-90% of cases Respiratory -60% mortalityDeath in 24-72 hMost lethal of all toxins

Not usually, if treated with antibiotics

50% in untreated cases- Severe dehydration.

If untreated–fatal within 3-4 wIn septicemic form – 7-10 d.

Pneumonic – 100% fatal if not treated within 24 h of onset.Bubonic – untreated – 50% fatality rate.

<1% fatality Moderately lethal if untreated Virus 5-20%+Ebola – fatal in 50-90%

JOHN BRICK, PhD, MA, FAPA INTOXIKON INTERNATIONAL TECHNICAL DOCUMENT NO.4


What is the Focus of the MATRIX?The Matrix focuses on the most likely bio-logical agents that can be easily weaponized by terrorists and those which possess the greatest threat to national security. The U.S. Center for Disease Control has identified three categories (A, B, and C) of critical biological agents: A (easily dissesminated or transmitted person to person, causes high mortality and potential for major public health impact, requires special action); B (moderately easy to disseminate, requires specific diagnostic and surveillance capaci-ties such as Q Fever, Brucellosis, Glanders, Venezuelan Equine Encephalitmyopies, Ricin toxin, and Staphococus Entero tox-in B); and C (pathogens that can be engi-neered for mass dissemination and a high potential for morbidity and mortality, such as hanta viruses, tick borne hemorrhagic en-cephalitis viruses and Yellow Fever). The Matrix focuses on the major classifications of biological weapons based on these cat-egories.

Use of the MATRIXThe Matrix is self-explanatory. You can check the columns for signs or symptoms that match what you are observing, iden-tify likely biological agents, and see what treatment (if one exists) should be started. You can also see how different agents are transmitted and decontaminated, as well as the incubation period (before symp-toms start) and the time course for fatal-ity. I am pleased that Dr. O’Block has tak-en interest in this project and that it will now have broader distribution through the American College of Forensic Examiners.

ABOUT THE AUTHOR

John Brick, PhD, FACFEI, DABFM, CMI-V, FAPA, completed a joint-degree graduate program in psychobiology where he completed both a Master’s in psychology and his Doctorate in biopsychology at Binghamton University, The State University of New York. He is the Execu-tive Director of Intoxikon International, which provides education and training in alcohol and drug studies primarily to law enforcement agen-cies and corporations, and he maintains a private practice in forensic psychopharmacology. Dr. Brick is the author of over 100 scientific pub-lications, including the President’s Commission on Model State Drug Laws, and was a member of the graduate faculty at Rutgers University and a research scientist at the Rutgers Center of Alcohol Studies for fourteen years. During that time, he was also Chairman of the Gradu-ate Curriculum on Biology of Alcohol and Associate Director of the Advanced School of Alcohol and Drug Studies. For several years, Dr. Brick was Chairman of Continuing Education for ACFEI and has worked as an expert consultant to the Executive Office of the President (The White House), the National Institute on Alcohol Abuse and Alco-holism, most scientific journals in his field, and to various county and state agencies in NY, PA, and NJ. His latest publication, Handbook of the Medical Consequences of Alcohol and Other Drugs, is now in its second edition. Dr. Brick has been a member of ACFEI since 1996.


certifiedforensicphysician®

Discover the Benefitsof Becoming a

LIMITED GRANDFATHERING PERIOD

The Certified Forensic Physician®, CFP program is an advanced credential that recognizes additional training and expertise for forensic physicians. The term forensic physician no longer applies to only pathologists, and as a physician it is likely you may be called upon to assist in a case by giving an opinion or testifying in court. The CFP designation will provide a mechanism for measuring scientific standards and procedures required to perform thorough forensic medical investigations and proper consultations. Applicants must meet the minimum requirements and submit a portfolio of relevant documentation.

Four Easy Ways to Apply1. Apply online at www.acfei.com

2. Call and apply by phone: (800) 423-9737

3. Complete and return application by fax: (417) 881-4702

4. Complete and return application by mail: ACFEI 2750 E. Sunshine St. Springfield, MO 65804


Many times plea agreements create a misleading picture of the true

essence of an offender’s spectra of criminal behavior. Criminal

history checks result in a summarized list of pleas and convic-

tions, but generally offer very little about what the offenses

involved. The pleas of disorderly conduct and burglary often

result from numerous charges, including assault and sex-related

offenses. To further complicate the situation, at times crimes may

appear to be non-sexual in nature when in fact they are sex-related.

When sex-related crimes are not charged as sex crimes, then an of-

fender escapes attention as a sexual predator. This article was written to

highlight this problem.

Masking a

Sex Offense:When a Non-Sex Crime

Really Is a Sex Crime


CE ARTICLE: 1 CE CREDIT

By Scott A. Johnson, MA, LP, DABPS

ProblemCases arise when a crime was committed along with a sexual offense, but the prima-ry motive was not sexual. Imagine a crime that involved some type of sexual act, but was not directly sexual in nature, a crime when the offender denies any sexual in-tent or sexual behavior. It can be difficult to determine whether the sexual behavior was incidental, accidental, or in fact delib-erate. The ramification is serious: If the of-fender engaged in a sex or sex-related crime and is not convicted of a sex offense, then the offender slips through the legal system and may continue to sexually offend with-out being detected. The result: The sex of-fender is not convicted as a sexual offender. Several case examples will help to illustrate the complexities involved in making such a determination.

Robbery, Assault, and Rape ExampleA young offender was incarcerated for his only known sex offense. His criminal histo-ry included numerous convictions and plea agreements involving burglary and other general offenses. His criminal conviction history began at age 14. His most recent offense involved breaking into a home and raping the female resident. After review-ing his lengthy juvenile and adult criminal history, I obtained copies of the criminal complaints of his prior convictions, most of which involved burglaries. No one ex-pected to hear what I had found. Ten years prior he had received his first juvenile conviction for burglary (age 14), which involved breaking into the home of an elderly couple with three accomplices. After he and his accomplices severely beat the male victim, he took the elderly female victim upstairs and attempted to rape her. He was stopped by his accomplices after he began digital penetration. No one suspected that this “burglary” conviction was sex-re-lated, nor did anyone have any idea of the severity of the assaultive behavior exhibited upon the victims. Records then indicated that several more burglary convictions in-volved rape or attempted rape as well. This is an excellent case to illustrate the importance and necessity of obtaining de-tailed information concerning all significant offenses any sex offender has (see Johnson, 2005; Johnson, 2007). After interviews and a careful review of this offender’s criminal records, this offender was deemed not a primary sexual offender, but an impul-sive criminal. He was a predator when it

came to selecting his victims and engaging in violent crime. But he offended sexually simply when the opportunity presented it-self. The sexual offenses occurred as part of and after completing the primary crimes of robbery and burglary. He was a generally violent criminal. It would be imperative to charge and convict him with sex offenses in addition to the other crimes he commits, so as not to allow his sexual behavior to go unnoticed.

Robbery ExampleA middle-aged man was convicted of several counts of robbery. The offenses involved the same general theme and pattern of behavior. He entered a business and robbed several female employees and customers at gun-point. When the robbery was finished, he forced the victims to remove their clothes. He bound at least two of the female victims with their own clothing and underwear. All of the victim-employees were female, and only a couple of the customers were male. The offender denies that he had any sexu-al intent. Was this a sex offense? If so, was the sexual component of having the victims remove their clothing a primary or second-ary function of the offense? Admittedly, the offense was primarily robbery, not a sex offense. The offender wanted the money. On the other hand, the offense involved sexual dynamics and there-fore was a sex-related offense. He may have forced the victims to remove their clothing to prevent them from escaping until he was gone. Certainly the offender’s thinking has some possible merit. The victims would not likely attempt to escape as quickly if they are naked. Or would they? If some-one fears for his or her safety or fears for his or her life, whether he/she is naked or clothed may play little if any role in an at-tempt to escape and to find help. However, even in the midst of a life and death crisis, pride and embarrassment can be powerful emotions and need to be factored into the victim’s judgment and decision. To flee im-mediately or to wait and re-dress may be a struggle for the victim. In general, the of-fender’s decision to have the victims remove their clothing appears to have been an ef-fective and integral part of the modus ope-randi, allowing the offender to successfully escape.

Sorting Through the DetailsHow should one go about determining the truth? Many offenders provide detailed con-


This article is approved by the following for continuing education credit:

(ASWB) This organization, American College of Forensic Examiners, Approval Number 1052, is approved as a provider for continu-ing education by the Association of Social Work Boards, 400 South Ridge Parkway, Suite B, Culpeper, VA 22701 (www.aswb.org). ASWB: Approval Period: 9/13/2004 to 9/13/2010. Social workers should contact their regulatory board to determine course approval. Social workers will receive 1 credit continuing education clock hour for partici-pating in this course.

(CBBS) The American College of Forensic Examiners International is an approved provider of the California Board of Behavioral Sciences, approval PCE 1896. Course meets the qualifications for 1 hour of continuing education credit for MFTs and/or LCSWs as required by the California Board of Behavioral Sciences. (ACFEI) The American College of Foren-sic Examiners International provides this continuing education credit for Diplomates.

After studying this article, participants should be better able to do the following:1. Illustrate the importance of obtaining and

utilizing official criminal records and police reports.

2. Explain the benefits and outcome of labeling and charging sex and sex-related offenses.

3. Identify how sex offenders slip through the radar.

KEY WORDS: sex offense, investigation of sex crimes, sex-related offenses, burglary sex crime, robbery sex crimeTARGET AUDIENCE: Social workers and therapistsPROGRAM LEVEL: BasicDISCLOSURE: The author has nothing to disclose.PREREQUISITES: None

fessions, and with proper and consistent ques-tioning will admit that they had some degree of sexual intent in their offense. However, there are offenders who refuse to cooperate with question-ing, or who provide only those details that allow them to save face. For our robbery example, the offender has little to lose to admit that he robbed the victims. He pled guilty, and the behavior involved in the robbery was not horrific in and of itself. The offender’s ego sustained little in-sult admitting to his robbery behavior. But the ramifications of admitting that he was sexually attracted to or aroused by any of the victims, or that his motives for having the victims remove their clothing was in any way sexually gratify-ing, carries more severe consequences. It is not as settling on one’s ego to admit that he had sexual intent, that he was sexually aroused, or that he may have committed a sexual offense. The of-fender may fear that he would be charged with a sexual offense if he admitted the sexual interest or intent. In addition, in many states, he would have been labeled a sex offender, undergone a sex offender assessment (which he indeed was ordered to do), face possible recommendations of having to participate in sex offender treat-ment, and be assigned a risk level to warn the community of his impending release and face other community notification procedures. So as you can see, the offender has little to gain by admitting any sexual intent or sexual behavior in his offense. But how could he force the victims to remove their clothing and not have at least a small de-gree of sexual intent? That would be highly un-likely. An important fact here is that after examining several of the robber’s previous crimes, the pat-tern of having the victims remove their cloth-ing escalated to using the clothing to bind the victims. All of the primary victims (store clerks) were female. The escalation involved having the females bound with their own underwear. Clearly the offender’s behavior is escalating into direct sexual intent and sexual behav-ior. The other side of this dilemma is the victim’s perception. In fact, the victim’s perception is an important factor determining what type of crime was committed. For example, consider sexual and nonsexual harassment, or even expos-ing one’s genitals in public. It does not matter what the offender’s intentions were. What the victim perceived to have occurred and how the victim was impacted or harmed is sig-nificant when determining if the crime was sex-related. Other crimes, including domestic abuse and sexual offenses, rely heavily on the vic-tim’s perception rather than on the accused of-

The Gray Area: What Constitutes a Sex Offense?

A sex offense is ambiguous by definition. Though specifics can vary from state to state, the term itself can refer to anyone convicted of crimes involving sex, includ-ing rape, molestation, sexual harassment, and pornography production or distribution (Peterson, 2009). But what should consti-tute a sex offense? A new addition to the file of question-able or controversial sex offenses is the issue of “sexting,” or sending nude or semi-nude pictures or videos. Text messages are now a common method of communication among teens, but the ease of such new technology also opens teens up to potentially devas-tating ramifications of impulsive behav-ior. Suggestive text messages expose youths to psychological and legal repercussions.

The seriousness of sexting was most recently illustrated by Cincinnati teen Jessica Logan’s suicide after the accidental forward of sexually explicit photos she sent to her boyfriend (Bassett, 2009). With this case forefront in the news, Philip Alpert, an 18-year-old Florida resident, was labeled a sex offender for forwarding a text mes-sage containing a nude photo of his then 16-year-old girlfriend. His girlfriend sent him the provacative photo, and Alpert forwarded it after the couple had a fight. Alpert is now a registered sex offender for distributing child pornography; he has since been expelled from college, has been unable to find a job, and will have this record until he is 43 (Bassett, 2009). While some assert that sexting is not serious enough to warrant the same punishments as other sexual predators, others argue that sexting is just as damaging and could be a stepping stone to other sexual of-fenses. Many states are tightening up holes in sex offense laws, hoping to deter these “gray area” sexual deviants before their offenses become more serious. But where is the line drawn? A Tennessee man, then 19, was charged with statutory rape when the par-ents of his 15-year-old girlfriend reported him. The man was added to Tennessee’s list of registered sex offenders. Nine years later, this man is an upstanding citizen, happily married to his girlfriend, and the couple has two children (Peterson, 2009). Despite their family’s—including the girl’s parents who originally filed the report—efforts, he is still a registered sex offender. Public urination and streaking are also sexual offenses in some states, but these offenses may not come from an intent to do harm. Intent cannot be reliably documented, however, and such actions could still offend or frighten those around. But do such intermediary offenses warrant the same label as child molestation or rape, when an individual’s reputation and record might never recover from such a black mark? “When we lump the technicalities in with the dangerous and predatory, it takes away from the seriousness of many crimes. It is also responsible for making members of the registry a target for scorn and ridicule. Some may say the offenders should have known better . . . but hindsight is 20/20” (Peterson, 2008). The ques-tion remains, however—what truly constitutes a harmless technicality from an in-nocent individual and what is a warning sign from an emerging sexual predator?

References Bassett, K. (2009, June 28). ‘Sexting’ can be sex offense. The Telegraph. Retrieved June 29, 2009, from http://www.thetelegraph.com/news/sex-28428-sexting-teens.html Peterson, S. (2009, Feb. 3). Definition of a sex offender. The All State. Retrieved June 29, 2009, from

http://www.theallstate.com/2.10101/definition-of-a-sex-offender-1.1341319 n


fender’s explanation. One of the reasons the offender’s explanation is less credible than the victim’s is that at times the accused has little to gain by being honest. The accused would certainly be prosecuted much easier if he or she confessed, and if he or she does not cooperate by providing a confession, the offender hopes to make a plea that less-ens the punishment or perhaps even results in pleading guilty to a much less serious crime. Consider the victim’s perception and experience of the offense. If the victim be-lieves that he or she is being harassed or abused, it is likely that in some way he or she is. For the man who was accused of exposing, he may claim that he was sim-ply urinating in public. But what is the difference? Whether he intended for any-one to see his penis may be an important question to determine whether the offense was primarily sexual in nature or simply a functional component to urinating. The bottom line is that regardless of whether he intended to expose to anyone, he was aware that someone might see him. And it is no accident if someone does see him. If he urinates outdoors, there is a high like-lihood that someone may see him. If he chooses to urinate outdoors in the city, the chances of being seen are greatly increased. Regardless of his motives, however, anyone seeing him may have been victimized, and the scope of the victimization varies widely depending on numerous factors including the victim’s perceptions, personalities, ex-periences, and general psychological well being. The victims have no way to know whether the man will rape or assault them, whether he is simply exposing himself, or whether he was in fact simply urinating in public. Regardless, the victims were affect-ed; they saw the man’s penis, and therefore the offense was sexual in nature. The bot-tom line is that the offender chose to expose his penis regardless of his intent to be seen, and he was seen. In this case he should be charged with a sex offense in addition to the public urination. Also, many offenders do not consid-er their criminal behavior to be criminal or wrong. Many justify their actions and blame the victim or circumstance, such as being under the influence of drugs or alcohol, for “causing” them to behave as they did. But the reality is that they en-gaged in behavior that caused someone to feel victimized and/or to have experienced psychological, physical, or sexual harm. I

do not believe that anyone would disagree that if someone forced you to remove your clothes, that you may experience at least some sense of having been sexually vio-lated. Even worse, you also may fear being raped in that situation. In the robbery case example, at least one of the female victims believed that she was, in fact, going to be raped. Given she was forced to remove her clothing and was bound, why would she not think that she might be raped? Imagine the impact the victims experienced of not knowing if they were about to be raped. It appears highly likely that the robbery example involved sex offense intent and behavior. The next question is identifying the role that the sexual behavior played in the offense and for the offender. Was the sexual behavior secondary to the crime of robbery or was it functional for a sep-arate sex crime? The secondary role of the sexual behavior (having the victims remove their clothing and being bound) does, in fact, appear to play a functional role for the modus ope-randi to facilitate successful escape. The offender’s selection of only female victims (all of the employees robbed were female) increases the likelihood that the offense in-volved at least some degree of sexual fanta-sy or sexual intent. Although the apparent primary offense was robbery, the offense behavior still had sexual intent.

Opportunistic or PredatoryProfessionals tend to agree on the basic defi-nitions of “predatory” and “opportunistic” when applying the terms to sex offenders. However, even when examining what ap-pears to be a clear case of opportunistic or predatory behavior, questions can remain about what degree of premeditation oc-curred as part of the offense. Opportunistic sex offenders select their victims more as a lucky find than as a pre-planned selection process. While these of-fenders may have been on the lookout for a place to offend, or waiting for the “right time,” it is merely chance that they select-ed the particular victim or situation. They may be out in the community shopping, with no intention of offending, and then see a particular victim type and decide to offend. Their offense is not premeditated; they did not set out that day to rape, but circumstances occurred that this offender type chose to act upon. “Opportunistic” does not in any way mean the offender is not dangerous, but

rather the offender may act more on im-pulse and react to situations rather than plan the offense. These offenders are still fully responsible for their offense behav-ior. The following example best illustrates this point. A burglar who enters a home with the intention of only stealing, but finds a victim sleeping and then decides to sexually assault the victim, is likely an opportunis-tic offender. However, if the offender was aware that the victim was home, and if he or she was in any way sexually interested or aroused by the victim, a decision to sexu-ally assault the victim may have come be-fore the offender entered the house. In this case, it would not be opportunistic because the offense situation already included the forethought of rape. The offender may have intended only to steal, but was aware that he or she was sexually interested in the victim. The line becomes gray here as to whether the intent was to commit a predatory sex offense or whether the primary goal involved theft, and that the sexual behavior occurred as an afterthought. The offender found that his or her situation allowed an easy opportunity to sexually offend. However, one must be careful not to base a decision on whether a crime was predatory or opportunistic sole-ly based on the offender’s statements. As mentioned earlier, the offender may have personal and legal reasons not to be hon-est. Regardless of whether the crime was primarily motivated by robbery or by sex, the crime is both a non-sex and sex-related offense, and the offender should be charged with both the robbery and sex offense. A predatory sexual offense involves plan-ning on the part of the offender. They plan the offense, select their victim, and perpe-trate the crime. This can be much more clear and easy to determine.

ConfusionOther examples of cases that are difficult to determine whether an offender is op-portunistic or predatory in nature involve incest and intra-familial sexual offending. Some offenders are both predatory and opportunistic sexual offenders, even when the same victims are molested over a pe-riod of time. Consider a case where a young male sexu-ally abused his younger sister over at least a ten-year period. The sexual abuse involved psychological coercion and at times violent force. He would even have others sexually


molest the victim at the same time he was molesting or raping her. He appears to be an opportunistic sexual offender in that the initial selection of his sister as a victim was likely out of the ease of access he had to her. On the other hand, he reported he was angry with her because she was spared most of the physical and emotional abuse from their mother, while he and his other siblings would get physically and emo-tionally beaten regularly. With anger and revenge entering the clinical picture, his offense also becomes one of a predatory nature. This offender is both an opportu-nistic and predatory offender. Consider another example. The offend-er breaks into a home and, while stealing items, sees the homeowner naked in the tub or in bed. If the offense occurred when the offender did not believe anyone was home or believed the owners were sleeping and not likely to have contact with them, then sexual offense was not likely the mo-tive; if sexual contact occurs, it would more likely be opportunistic in nature. On the other hand, it is difficult to prove that the offender was not considering raping the homeowner from the beginning of the of-fense, knowing that the offense occurred when the offender was aware the owner was present. Most burglars case the home be-fore entering it to ensure no one is home. At the point the offender deliberately engaged the victim, then the intent becomes more deliberately sexual in nature, even if upon entering the home no thought of rape oc-curred. Consider again that the robber who forces the victims to remove their clothes may not have intended to sexually assault them, and it is certainly possible that he had no sexual motivation. He may simply have wanted to slow the victims down to increase his chance to escape. However, it does not imply that the offender should not be charged with a sexual offense. He should be. His case is no different than when a drunk driver causes an accident—the drunk driver may not have intended to cause an accident, but chose to drive while under the influence, knowingly taking sig-nificant risks with the safety of others, and therefore should also be charged with as-sault or manslaughter.

ConclusionMany offenses appear to be primarily non-sexual in intent when, in fact, they are high-ly sexually motivated. Did the robber expe-rience any sexual interest or arousal towards

the victims that he bound naked? The vic-tims were clearly sexually violated. One even feared that she would be raped. The offender has nothing to gain by being hon-est. On the other hand, the veracity of any-thing that the offender claims has to remain suspect. His behavior in the current offense, as well as his criminal history, suggests that he is not an honest, trustworthy person. His word has to be carefully scrutinized. Criminals take what they want when they want to. Not all are psychopaths; in fact some are capable of rehabilitation and of change. But the criminal who lacks remorse, who is cunning and conning, who appears to be able to talk his way out of anything, and especially those who have psychopath-ic traits, are extremely challenging to work with. They may successfully con even the most experienced police officer or psycholo-gist. They are masters of deception. At times it is even difficult to determine which of-fenders are psychopaths, or regardless of whether they are psychopaths, to determine when they are being truthful. Numerous authors have written about the complex difficulties experienced when attempting to determine the veracity of an offender’s claims. The victim’s statements, the police description of the offense, and the offense situation often provide the most reliable information concerning the offender’s be-havior and motive. The offender’s version of the offense should never be taken as being totally truthful. It is imperative to examine the offend-er’s behavior, motives, victim statements, circumstances, and situation to determine the true motive behind a crime involving any incidental or direct sexual conduct. The sexual behavior may have the appearance of happenstance, or appear that the sexual

conduct occurred only to facilitate escape. But the real meaning lies within the offend-er. Careful examination of the evidence and careful interviewing strategies help discern the offender’s true motives. It has been this author’s experience that any sexual contact or sexual behavior has sexual mean-ing to the offender, and therefore justifies labeling the behavior as sex-related and la-beling the offender as a sex offender. Many sexual offenders can be both preda-tory and opportunistic, depending on the circumstances and offense situation. Both the opportunistic and predatory sexual of-fender are equally dangerous. The predatory offender is more organized and premedi-tated. The opportunistic offender is more impulsive and responsive to circumstances. However, both make a conscious decision to offend. It is important to charge offenders with all relevant charges based on the offender’s behavior and statements. If any sexual be-havior or statements are made, then the ap-propriate sexual charges should be applied. Whether the sexual behavior occurred as a primary or incidental behavior, it still oc-curred.

References Johnson, S.A. (2005). Forensic considerations for assessing violence. The Forensic Examiner, 14(3), 7-12. Johnson, S.A. (2007). Physical abusers and sexual offenders: Forensic and clinical strategies. New York: CRC/Taylor & Francis. n

ABOUT THE AUTHOR

Scott A. Johnson, MA, LP, DABPS has a Master’s degree in counseling and psychological services from St. Mary’s College. He is a Licensed Psychologist (MN), a Diplomate of the American Board of Psychologi-cal Specialties in Forensic Psychology, and a member of the Society for Police and Criminal Psychology. He is an adjunct instructor at several colleges and has taught at both the graduate and undergraduate levels. He has over 24 years of experience in the forensic field addressing abusers and sexual predators. He teaches nationwide to law enforce-ment, attorneys, judges, and mental health professionals. Two of his books include Physical Abusers and Sexual Offenders: Forensic Considerations & Strategies (2007) and When “I Love You” Turns Violent (1993/2005). The National Judicial Education Program for Legal Momentum is using Mr. Johnson’s textbook Physical Abusers and Sexual Offenders: Foren-sic Considerations & Strategies (2007) to educate judges about sexual offenders and abusers (www.njep-ipsacourse.org). Contact Scott A. Johnson at www.forensicconsultation.org.



Law Enforcement


Information was relevant and applicable.1. Learning objective 1 was met.2. Learning objective 2 was met.3. Learning objective 3 was met.4. You were satisfied with the article.5. ADA instructions were adequate.6. The author’s knowledge, expertise, and clarity were appropriate.7. Article was fair, balanced, and free of commercial bias.8. The article was appropriate to your education, experience, and 9. licensure level. Instructional materials were useful.10.

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Address: City:

State: Zip: E-mail:

Credit Card #



Signature Date



KEYWORDS: sex offense, investigation of sex crimes, sex-related offenses, burglary sex crime, robbery sex crime

TARGET AUDIENCE: Social workers and therapists


DISCLOSURE: The author has nothing to disclose.

PREREQUISITES: None

1 The criminal history checka. always provides an accurate picture of the offender’s criminal history.b. often underestimates the offender’s violent criminal history.c. may disguise an offender’s violent history as a result of plea agreements.d. should never be challenged.e. Answers b & c

2 The benefits of charging an offender with all apparently relevant sex-related charges include which of the following:a. The offender slips under the radar. b. The offender’s criminal history more accurately reflects the offender’s sex and non-sex-

related behavior and motives.c. Offenses that do not appear as sex-related but in fact are sex-related will be identified.d. Answers b & c.e. Answers a & c.

3 A burglar who fondled the victim during the course of the burglary is not a true sex offender and should not be charged with a separate sex offense.a. Trueb. False

4 Sex offenders slip through the radar bya. concealing their sexual behavior or motives.b. blaming alcohol or the victim’s perceptions.c. denying any sexual arousal to their victims.d. offering explanations to justify non-sexual intent for forcing their victim to remove clothing.e. Answers b & c.f. Answers a, b, c, & d.g. Answers b & d.

5 Having the victims remove their clothing to allow the perpetrator to escape has no sex-ual component.a. Trueb. False

6 Charging offenders with all of the crimes involved in their offense (e.g., assault, DWI, sex assault) helps ensure that the offender’s span of criminal interest and activity are documented.a. Trueb. False



CE ARTICLE 3: Masking a Sex Offense: When a Non-Sex Crime Really Is a Sex Crime (Pages 44-48)

ABSTRACT

After studying this article, participants should be better able to do the following:1. Illustrate the importance of obtaining and utilizing official criminal records and police reports.2. Explain the benefits and outcome of labeling and charging sex and sex-related offenses.3. Identify how sex offenders slip through the radar.

LEARNING OBJECTIVES

In order to receive one CE credit, each participant is required to1. Read the continuing education article.2. Complete the exam by circling the chosen answer for each question. Complete the evaluation form. 3. Mail or fax the completed form, along with the $15 payment for each CE exam taken to: ACFEI, 2750 East Sunshine, Springfield, MO 65804. Or Fax to: 417-881-4702. Or go online to www.acfei.com and take the test for FREE.


TO RECEIVE CE CREDIT FOR THIS ARTICLEThis article is approved by the following for continuing education credit:

(ASWB) This organization, American College of Forensic Examiners, Approval Number 1052, is approved as a provider for continuing education by the Association of Social Work Boards, 400 South Ridge Parkway, Suite B, Culpeper, VA 22701 (www.aswb.org). ASWB: Approval Period: 9/13/2004 to 9/13/2010. Social workers should contact their regulatory board to determine course approval. Social workers will receive 1 credit con-tinuing education clock hour for participating in this course.

(CBBS) The American College of Forensic Examiners International is an approved provider of the California Board of Behavioral Sciences, approval PCE 1896. Course meets the qualifications for 1 hour of continuing education redit for MFTs and/or LCSWs as required by the California Board of Behavioral Sciences.



Many times plea agreements create a misleading picture of the true essence of an offender’s spectra of criminal behavior. Criminal history checks result in a summarized list of pleas and convictions, but generally offer very little about what the offenses involved. The pleas of disorderly conduct and burglary often result from numerous charges, including assault and sex-related offenses. To further complicate the situation, at times crimes may appear to be non-sexual in nature when in fact they are sex-related. When sex-related crimes are not charged as sex crimes, then an offender escapes at-tention as a sexual predator. This article was written to highlight this problem.



PoliceCriminalistics:Learning Modalities and Evaluation

The field of forensic science has an in-

creasingly significant impact on criminal

justice curriculum. Police criminalistics

and criminal investigation courses unite

and bridge both curriculums. Active

learning simulations (i.e., homicide

gravesite excavation and moot court

simulations) appeal to multiple learning

styles. Meaningful active learning expe-

riences enhance the educational envi-

ronment. An imbedded student survey

assessment concerning a gravesite exca-

vation and crime scene learning simula-

tion evaluates student perceptions. This

summative evaluation was designed to

assess the gravesite excavation learning

simulation and instructional strategies.

By Thomas E. Baker, MS, MEd, CAGS


INTRODUCTION & OVERVIEWCriminal justice and forensic science pro-grams have overlapping and related cur-riculum requirements. The former con-centrates on the investigative process and crime scene coordination, while the latter is primarily concerned with scientific analy-sis. Innovative scientific technologies have altered approaches police investigators em-ploy to perform their investigative mission. Forensic advances require classroom lectures and the application of academic concepts to facilitate active learning simulations. Active learning simulations are widely applied in aviation and emergency medical services, but to a less significant degree in higher education. Three essential compo-nents promote successful active learning simulations: (1) active, rather than passive, learner participation, (2) learning scenarios and simulations that approximate investiga-tor field experiences, and (3) performance-oriented behaviors. Excellent field performance requires com-petent investigators equipped with multi-tasking, critical thinking, and problem-solv-ing skills. Classroom lectures/instruction and content-related learning objectives help participants succeed and offer opportuni-ties to apply knowledge in practical field simulations. Coordinated learning simula-tions, based on realistic scenarios, provide

opportunities to participate in superior field experiences. Instructors place emphasis on substantial team interaction and coordina-tion with appropriate forensic specialists. Many science courses include laboratory requirements where learners apply related theories, concepts, and knowledge; howev-er, criminal justice instructors often dem-onstrate a less interactive lecture approach. A learning simulation requires the total integration and application of concepts to related hypothetical case studies and relevant field scenarios. The investigative process course consid-ers appropriate investigative procedures concerning major criminal investigations. The classroom homicide investigation and Federal Courthouse simulations focus on the preservation and admission of evidence. An analysis of specific investigative theo-ries, courtroom applications, and critical thinking skills serve as the foundation for the learning simulations. The police criminalistics course requires participation in a gravesite excavation sim-ulation where emphasis is on the coordi-nation of physical evidence with scientific laboratories. This article focuses on a crim-inalistics gravesite learning simulation, its learning outcomes, and course summative evaluation.

GRAVESITE EXCAVATION CASE SCENARIOThe primary purpose of this learning sim-ulation is to assist in developing investiga-tive expertise concerning gravesite excava-tion procedures. One major goal of the field scenario is to follow appropriate protocols for protecting the crime scene. Learners also complete preliminary investigative and follow-up reports and coordinate with appropriate scientific laboratories and fo-rensic experts.

Gravesite Excavation: Learning SimulationA jogger finds several bones near a remote park area. Numerous investigative ques-tions quickly emerge: (1) Are they human bones? (2) Can the person’s identity be es-tablished? (3) What was the cause of death? and (4) What other details will the crime scene reveal? At this point, the learners re-quire basic knowledge concerning crime scene processing, and they understand the

need to coordinate with scientific experts (i.e., forensic archeologists, forensic an-thropologists, forensic entomologists, and forensic odontology specialists). The responding officer preserves the scene and notifies police headquarters. The learning coordinator dispatches the inves-tigative and evidence teams to the site. Twenty-six learners are assigned to one of five investigation teams and rotate through five learning stations: (1) main gravesite, (2) scattered bones, (3) dried bloodstains, (4) evidence collection and chain of custody, and (5) entomology. Each station requires evidence collection, note taking, photo-graphing, and sketching. Initially, the teams conduct a walk-through preliminary search. This involves finding all associated evidence, such as miss-ing body segments, clothing, weapons, shell casings, hair, blood, and other related items. The search focuses on the skeletal remains and surrounding gravesite. Visual inspection involves moving outward from the center to related sites until all body parts are recovered. Thus, the search starts at the site, moving away in the cardinal directions and fanning out away from the body (Byers, 2002). A few samples of torn clothing are re-covered nearby that appear to have been in contact with carnivores. In addition, the material appears to be cut, possibly by a sharp instrument. Student investigators respond to the scene, along with the medi-cal examiner and forensic anthropologist. The entire scene is initially photographed, and the skeletal remains are excavated and photographed before being transported to an imaginary city morgue. The instructor evaluates stations 1–5 for the successful completion of all require-ments. Particular attention is devoted to appropriate evidence collection and chain of custody procedures. The primary assess-ment tools include the preliminary, supple-mental, and related laboratory reports sub-mitted by participants. Designated students assume command, supervise students, and coordinate the learn-ing stations. In addition, they arrive early and rotate through the learning stations be-fore the simulation begins. Ultimately, ev-eryone plays the role of evidence techni-cian when collecting evidence samples and taking crime scene photographs.

CASE STUDY By Thomas E. Baker, MS, MEd, CAGS

This article is approved by the following for con-tinuing education credit: (ACFEI) The American College of Forensic Examiners International provides this continu-ing education credit for Diplomates.

After studying this article, participants should be better able to do the following:1. Identify the concept of a learning simulation.2. Define an organizing center.3. Describe the elements of a learning objective.4. List the elements of kinesthetic learning modality.5. Cite the various learning modalities.6. Distinguish the role of formative evaluation.7. Illustrate the role of summative evaluation.8. Describe the role of the case study supporting

method.9. List the principles of the visual inspection and

walk-through preliminary search.

KEY WORDS: criminalistics, forensic science, active learning, learning simulations, case studiesTARGET AUDIENCE: Criminal investigators and educatorsPROGRAM LEVEL: BasicDISCLOSURE: The author has nothing to disclose.PREREQUISITES: None


Computer Applications Students play expert forensic science roles, and forensic Web sites support the excava-tion simulation. The gravesite excavation scenario, description of potential suspects, and related trace evidence clues provide the pathway to solving the case. Investigative leads are posted on a Web site that pro-vides additional information for solving the mystery of the unidentified human re-mains. Active learning computer applica-tions continue to expand, limited only by the participant’s imagination. Web sites diversify the active learning pro-cess, extend the influence of the lecturer into another dimension, and build technology skills in the classroom (Smith & Benscoter, 2000). Computer technology offers oppor-tunities for criminal justice learners to think critically and enhances the learning environ-ment when synchronized with excellent lec-ture and active learning simulations.

Organizing Center, Goals, Learning ObjectivesThe police criminalistics educator poses the first basic question: “Where are we going?” The answer determines the goals and orga-nizing center and also defines appropriate criminalistics learning objectives related to the gravesite excavation simulation. The organizing center (gravesite learning sim-ulation) is a goal frame of reference. The emphasis is on the focal point of instruc-tion (i.e., the gravesite excavation simula-

tion and concepts around which instruction and learning are centered). The second question, “How will you get there?” is answered by developing goals and the derived learning objectives for the gravesite learning simulation. Organizing centers enhance the learning design through the articulation and sequencing of the re-lated goals and learning objectives. Learning objectives originate from specific goals and inform students of the standards and learn-ing progressions. Learning objectives, occasionally re-ferred to as behavioral objectives, serve as learner-centered guidance. In addition, they measure specific criteria or learning competencies. Learning objectives have three parts: (1) an action verb, (2) content area, and (3) measurable criteria. Refer to Table 1 (above) and Figure 1 (next page) for related goals and learning objectives concerning gravesite procedures.

Educational FoundationWhen students have opportunities to re-spond to varied instructional methods, they can assess and select their preferred instructional style. In addition, consider-able research demonstrates that the use of multiple senses (including hearing, seeing, and application) increases learner retention (Emerson & Mosteller, 1998). Building a bridge from theory to practical appli-cation stimulates an effective learning response that creates student curiosity.

Students should explore theories and con-cepts before integrating them into their own individual learning styles (Wilkens, 1996).

Learning Styles: Learning Simulations ConnectionHow does cognitive learning style influence learning and retention? Some learn best by listening (auditory learners), meaning they rely on hearing information from others, while other learners depend on visual pre-sentations, such as educational videos and PowerPoint. A third type of learner depends on his/her psychomotor awareness and learns best by physical activity. Research evidence suggests that learners retain more information when all senses are involved. The combination of auditory, visual, and kinesthetic experiences reinforces the learn-ing process even when there is a preference for one learning modality. Researchers re-port that criminal justice majors respond best to a variety of teaching methods (Greek, 1995). Teaching methods that in-volve students in active learning (i.e., role-playing and the application of factual and conceptual material) prove most engaging (Wilkins, 1996; Wells, 1997).

Case Study Method: Learning Simulation ConnectionThe case study, combined with learning simulations, permits learners to apply theories to real or hypothetical scenari-os and allows maximum use of the sens-es. Superior presentations are interactive case studies that require student participa-tion and active learning. Students read the case, present solutions on the blackboard, then compare and contrast their decisions. Approximately ten lead-up case studies form the foundation for the gravesite learn-ing simulation. The learning progressions specifically relate to skills required for suc-cessful completion of the weekend gravesite excavation simulation. Case studies and scenarios encourage learner activities that enhance the learn-ing process. Group dynamics and active learning simulations offer opportunities for involvement, expression, and develop-ment. The emphasis is on the integration of concepts, analysis, and problem-solving related to addressing the presented scenario. Examples of learner preparation case studies include (1) chain of custody, (2) marking and measuring the gravesite, and (3) victim identification.

Table 1: Samples of Student Learning Objectives

Organizing Center

GRAVESITE EXCAVATION SIMULATIONDescribe four steps in the excavation of human remains. •

Organize a walking ground search.•

Describe the need to follow proper protocols once human remains •have been located.

Describe the use of flags and wooden posts to protect the crime •scene.

List requirements of the marked remains and their relationship to •grid square and datum point.

List suitable containers for transporting human remains and •biologically associated materials to the proper facility.

List the elements of chain of custody that are maintained •throughout the recovery process.

For example, Holkeboer (1993) suggests that when learners work as a team with case studies, a three-step critical thinking pro-cess develops where students (1) identify the core problem, (2) brainstorm possible solutions, and (3) agree on the best solu-tion. In addition, case studies make critical thinking possible by requiring students to identify theories and concepts in authen-tic situations, thereby building analytical skills.

CURRICULUM ASSESSMENT/METHODSAssessment is necessary to redirect the cur-riculum process and help reorient the plan-ning process. It answers three crucial ques-tions: (1) Has the criminalistics educator arrived? (2) Where is the criminalistics cur-riculum now? (3) Where does the criminal-istics educator go from there? It provides the future roadmap for developing strategic goals and objectives; furthermore, it pro-vides plans for directing learners to future behavioral objectives. The police criminalistics course meets the elective requirement for the criminal justice program and free area for other ma-jors. Learner demographics were diverse and included majors in communication (1), criminal justice (22), political science (1), forensic chemistry (1), sociology (1), and undeclared (1). Twenty-six learners took the survey in the fall of 2006. Survey instrument questions addressed twelve gen-eral items concerning the students’ learn-ing experiences. The Likert Scale choices were collapsed because of the small popu-lation. The overwhelming majority were not freshmen, but sophomores, juniors, and seniors, which is not surprising since this is designated as an upper-level course. Furthermore, most respondents were male (19) and the remaining (7) female. Survey participants responded to the items by indicating one of the following: (1) agree, (2) undecided, or (3) disagree. The survey results indicated that 100% of the respondents agreed that they improved their knowledge of forensic evidence coor-dination. In addition, 88% agreed they im-proved their understanding of the investiga-tive process, team investigative process, and coordination with scientific laboratories. Moreover, 85% of the respondents agreed they improved their crime scene reconstruc-tion skills, and 96% of the learners agreed their ability to coordinate the investigative process improved.

Seventy-three percent of the respondents agreed that preliminary and supplemental investigative report assignments improved their understanding. Respondents were of-fered classroom lectures, hard copy models, and Web site links that supported the writ-ing assignments. Instructors may encounter resistance to in-depth writing assignments. Moreover, considerable support should be available concerning the completion of in-vestigative and laboratory reports. The survey items on learning styles re-vealed that approximately 12% of the re-spondents indicated they were primar-ily auditory learners, while 3l% described themselves as visual, and 50% tactile learn-ers. Several respondents cited two cate-gories, and the scores do not reflect their choices in the calculations of the percent-ages. Auditory learners appeared to have more undecided or disagree responses. The survey question that measured pref-erences of the gravesite field simulation in-dicated that 85% agreed the experience of-fered insight into the scientific community. Some contradiction to that premise is noted concerning active learning and the hands-on component of the course, with 92% of the respondents agreeing with the tactile (hands-on) component. The gravesite excavation survey provided

preliminary data regarding the effective-ness of the learning process and the learn-ing simulation approach to teaching police criminalistics. The responses measured only the opinions of the students enrolled in one section, and results generalized beyond this target audience would be inappropriate. The purpose of the classroom survey was to illustrate how teachers might experiment in their own classrooms. The intent was not to generalize beyond these students.

DISCUSSION AND CONCLUSIONThis philosophy of education is based on the premise that participants learn best when they are directly involved with their own active learning. The crime prob-lem and moot court simulations are de-signed to offer opportunities for realistic role applications that support critical thinking and active learning. Key criti-cal thinking instructor responsibilities in-clude leadership, coaching, and guidance during the case study and gravesite simu-lation process. The ideal time for coaching is during the suppression hearing, before trial at the Federal Court House. Participants present evidence and the defense team challenges admissibility. The suppression hearing pres-ents a non-threatening rehearsal opportuni-

Figure 1: Gravesite Organizing Center and Goals

Organizing

Center:GravesiteSimula4on

Goals&Ob8ec4ves

Cri4calThinking

ProblemSolving

DecisionMaking

Evalua4onProcedures

EvidenceCollec4on

CrimeBeconstruc4on

CaseSolving


ty to develop witness skills and teach learn-ers how to play the various investigator and expert witness roles. Critical thinking, active learning, and role-playing are mutually reinforcing. Learners have diverse cognitive learning styles; varied learning strategies expand op-portunities to reach the learner population. Active instructional methods that address the learners’ affective, social, and cognitive domains have the potential to influence learning outcomes. Refer to Table 2 for an illustration of critical thinking, basic con-cept of investigation, and curriculum evalu-ation coordination. The instructor assumes responsibility for leadership and demonstrates enthu-siasm for accomplishing the learning ob-jectives. Instructor feedback reinforces the learning outcomes. Evaluations should be diagnostic, rather than punitive, pro-viding ongoing feedback concerning the instructor/learner process. The emphasis is not on grading, but rather on learner formative evaluation. This form of learner evaluation concerns coaching the learning responses. Quizzes, peer assessment, labo-ratory exercises, and case studies focus on the mastery of the learning content. Why should educators experiment in the classroom and attempt to apply di-

verse instructional methods and learning simulations? Experimentation and analy-sis improves the quality of instruction. Summative evaluation fosters new and im-proved instructional ideas and innovative learning modalities. The summative eval-uation concerns the success of the course and learning simulation, not the individual learner. The assessment provides essential feedback on how to improve the curricu-lum and leads to final judgments concern-ing global effectiveness of the course and learning gravesite-learning simulation. This course and learning simulation rep-resents a small component of what actually occurs at a gravesite excavation. However, the learning process encourages insight into scientific community collaboration and team coordination. Coordination with

scientists and securing exceptional forensic evidence can mean the difference between a closed or cold case file.

References Byers, S. (2002). Introduction to forensic anthropology: A textbook. Boston, MA: Allyn and Bacon. Emerson, J.D., & Mosteller, F. (1998). An interac-tive multimedia in college teaching. Part II: Lessons from research in the sciences. Educational Media and Technology Yearbook 23, 59–75. Greek, C. (1995). Using active learning strategies in teaching criminology: A personal account. Journal of Criminal Justice Education 6, 152–62. Holkeboer, R. (1993). Right from the start: Man-aging your way to college success (p. 4). Belmont, CA: Wadsworth, Inc. Smith, S., & Benscoter, A. (2000). Student technol-ogy skills and attitudes toward Internet based courses: The potential benefits of an internet tutorial. Journal of Criminal Justice, 22(1), 97–109. Wells, J., & McKinney, M. (1997). Assessing crimi-nal justice student learning styles for multimedia in-struction. Journal of Criminal Justice Education 8(1), 1–18. Wilkins, D. (1996). Are we using the wrong teach-ing method in our criminal justice classes? Journal of Criminal Justice Education 7(1), 23–34. n

Additional photos on page 50 provided by Meagan Moran.

ABOUT THE AUTHOR

Thomas E. Baker, MS, MEd, CAGS is an associate professor of crimi-nal justice at the University of Scranton. In addition, Tom served as a Lt. Col. (Ret.) United States Army Reserve Military Police Corps, Special Agent, and Commander with United States Army Criminal Investigation Command. His civilian experience includes having been a former police officer for Henrico County Police, Richmond, Virginia, and Montgom-ery County, Maryland. His research focus includes criminal investigative analysis, criminal investigation, and police criminalistics. He is the author of three books and over 125 articles.



Table 2: Focus Points (Concepts of Investigation and Critical Thinking)

Basic Investigation Concepts

Mathematical probability

Class characteristics and similarityComparisonIndividualityRarityTheory of exchange and transferPreserving the scenePhotographing the sceneChain of custodyEvidence control

Critical Thinking Concepts

Critical thinkingAnalyzing evidenceDefining termsJudging definitionsJudging source credibilityObserving and judgingObservation and reportsDeducing and judging deductionsInducing and judging deductionsIdentifying assumptionsDeciding on an action

Sources of Information

Neighborhood canvasWitnesses and suspectsCrime sceneGravesite excavationAutopsy second sceneSuppression hearingMoot court

Curriculum and Assessment

Curriculum goals and objectivesOrganizing centersCase study supportRole playingFormative evaluationSummative evaluationFuture and global learner changes


Information was relevant and applicable.1. Learning objectives were met.2. You were satisfied with the article.3. ADA instructions were adequate.4. The author’s knowledge, expertise, and clarity were appropriate.5. Article was fair, balanced, and free of commercial bias.6. The article was appropriate to your education, experience, and 7. licensure level. Instructional materials were useful.8.

1 2 3 4 51 2 3 4 51 2 3 4 51 2 3 4 51 2 3 4 51 2 3 4 51 2 3 4 5

1 2 3 4 5




Address: City:

State: Zip: E-mail:

Credit Card #



Signature Date



KEY WORDS: criminalistics, forensic science, active learning, learning simulations, case studies

TARGET AUDIENCE: Criminal investigators and educators


DISCLOSURE: The author has nothing to disclose.

PREREQUISITES: None

1 Which of the following describe(s) the learning simulation? a. Active learning b. Passive learning

c. Field orientedd. a & ce. None of the above

2 Which of the following illustrate(s) an organizing center?a. Learning objectivesb. Curriculum goalsc. a & bd. None of the above

3 Which of the following illustrate(s) the learning objective?a. Action verbb. Content areac. Measurable criteriad. All of the above

4 Which of the following illustrate(s) the kinesthetic learning modality? a. Auditoryb. Psychomotorc. Visuald. None of the above

5 Which of the following illustrate(s) the various learning modalities?a. Auditoryb. Visualc. Physicald. All of the abovee. None of the above

6 Which of the following illustrate(s) the principles of the visual inspection and walk-through preliminary search?a. Moving outwardb. From the centerc. Moving away from cardinal directionsd. All of the above



CE ARTICLE 4: Police Criminalistics: Learning Modalities and Evaluation (pages 50–54)

ABSTRACT

After studying this article, participants should be better able to do the following:Identify the concept of a learning simulation.1. Define an organizing center.2. Describe the elements of a learning objective. 3. List the elements of kinesthetic learning modality.4. Cite the various learning modalities.5. Illustrate the role of formative evaluation.6. Illustrate the role of summative evaluation.7. Describe the role of the case study spporting method.8. List the principles of the visual inspection and walk-through preliminary search.9.

LEARNING OBJECTIVES

In order to receive two CE credits, each participant is required to1. Read the continuing education article.2. Complete the exam by circling the chosen answer for each question. Complete the evaluation form. 3. Mail or fax the completed form, along with the $15 payment for each CE exam taken to: ACFEI, 2750 East Sunshine, Springfield, MO 65804. Or Fax to: 417-881-4702. Or go online to www.acfei.com and take the test for FREE.


TO RECEIVE CE CREDIT FOR THIS ARTICLEThis article is approved by the following for 3 continuing education credits:



The field of forensic science has an increasingly significant impact on criminal justice curriculum. Police criminalistics and criminal investigation courses unite and bridge both curriculums. Active learning simulations, i.e., homicide gravesite excavation and moot court simulations appeal to multiple learning styles. Meaningful active learning experiences enhance the educational environment. An imbedded student survey assessment concerning a gravesite excavation and crime scene learning simulation evaluates student perceptions. This summative evaluation was expressly designed to as-sess the gravesite excavation learning simulation and instructional strategies.



At some point in your correctional health-care career, you may be asked to accompa-ny a forensic patient. The definition of fo-rensic, in this context, refers to the patient who is in the custody of law enforcement or a correctional system. It may be from your institution to an-other facility, or a return to your institution from another location. For those correc-tional medical staff that have not practiced outside the clinic or treatment area, this can produce anxiety. The stable, secure environ-ment of the clinic or infirmary becomes an unpredictable and mobile one, and help is not always readily at hand. This article will discuss pre-transport planning, potential interventions during transport, and delivery of the patient. This information will equip staff to confidently develop the skills needed to safely escort the forensic patient, whether they are based in a jail facility or prison institution. These tech-

niques can apply to intra-system transports as well.

Your Mission, Should You Choose To Accept ItPatient transfers begin with a request for patient movement. This contact may be initiated by transportation staff or a facil-ity. Data to gather immediately includes the name of the patient, nature of the ill-ness or injury, why the need for medical escort staff, the location of the patient and intended destination, date to be moved, current treatment plan, and any follow up care needed. If the patient is incarcerated in your correctional system, print out a “snap shot” of his or her care while incarcerated, and note the demographics. If the medical record is stored at your location, it is help-ful to mail it to the receiving facility prior to the patient’s arrival.

Patient PlacementPlacement is determined after reviewing data submitted by the sending facility (hos-pital, prison, jail, or mental health facility), and in speaking with the appropriate cor-rectional transportation staff. A good rule of thumb is to routinely request a copy of the booking sheet (if moving from jail to jail or jail to prison), a copy of the medical records, and medication administration re-cord (MAR). A decision is made based on the patient’s needs: inpatient or infirmary care, outpatient care, mental health servic-es, or acute offsite care. These necessities can include services as diverse as dialysis, obstetric care, cardiac surgery, and physi-cal therapy. The need for a major medical center to be nearby will also factor into the equation. Keeping these factors in mind will assist you in placing the patient in the ap-propriate facility for continued care.

CASE STUDY

Planes, Vans, and Automobiles:Medical Escort of the Forensic Patient

By Heidi Bale, RN, CFN


Plane, Van, or Automobile?If the transportation will be within your region, a car or van will generally suffice. You may need a van that is wheelchair accessible instead of the usual passenger van. The patient must be able to sit up and wear a safety restraint. Also keep in mind the terrain to be covered (such as des-ert, mountain, or the possibility of inclement weather), route to be followed (EMS accessibil-ity, rural roads versus interstate highways), and any planned stops for a restroom break or care interventions. Out-of-state transportation generally in-volves air transport, either commercial or small plane. Air transport involves both altitude and space constraint considerations. Despite cabin pressurization, the aircraft cabin environment is different from that at ground level. Commercial aircraft cabins are pressurized for 6,500 to 8,000 feet depending on the aircraft; smaller aircraft can alter their cabin pressure with a bit more lee-way as needed. (Keep in mind that flying lower will generate more fuel stops, which increases barotraumas from more take offs and landings.) Due to the flight environment, there is virtually no water vapor or moisture in the air, and the partial pressure of oxygen is reduced, which can cause relative hypoxia. The reduced barometric pressure can exacerbate or create acute compli-cations for those patients with respiratory or cardiac ailments, head injuries, and orthopedic conditions.

Contraindications for FlightThe patient must always have a physician’s ap-proval to travel, especially by air. Escorting a forensic patient is not comparable to an aero medical transport by a professional service. There are medical contraindications to flight, especially for those not traveling by a profes-sional air medical transport. These contrain-dications include recent myocardial infarction; significant surgical procedures; cerebral vascular events; head injury, including cranial and facial fractures; blood clots; being acutely ill or non ambulatory; fractures, including compartment syndrome; having a contagious illness; and ane-mia. Medical staff would be wise to also con-sider acute mental health illness and dental con-ditions that can be affected by barotraumas. If these conditions are present, the options are to refer them to a professional transport company, or wait until the patient is recovered sufficiently to fly or travel by ground. Keep in mind that the elevation of limbs for casts and splints is prohibitive in commer-cial aircraft and challenging in smaller aircraft. Drainage bags, catheters (both should be emp-tied before flight), and complicated dressings

are challenging in small spaces or tiny rest-rooms (private aircraft may not have a rest-room). Decreased oxygen saturation at higher altitudes creates more cardiac workload on a patient who may already be stressed from a medical condition.

Bridging the GapEnsuring continuity of care is a primary con-cern. Gathering data from the sending facil-ity and relaying it to the receiving facility can be challenging. Document all contact persons, dates, fax and phone numbers, and information received. After gathering a snapshot of the pa-tient to be transferred, contact the facility that is the most appropriate for receiving the patient. If your healthcare or correctional system has an

electronic health record, this makes sharing information easier. Make sure that medical records are exchanged according to HIPAA standards. Whenever possible, speak with the healthcare manager, onsite physician or psychiatrist, and nurse manager for direct patient information. A staff to staff report is encouraged, and the numbers and con-tact information are shared with both in-stitutions. Upon acceptance of the patient, the planning for transport moves forward. During this entire process, communica-tion is ongoing with transportation staff regarding the destination, patient’s needs, and information related to their safety. It is a good idea to document who accepted the patient at the facility and any reference numbers for contact during transport.

Whether by Land, Sea, or Air…The patient’s medical issues will dictate the equipment carried, but there are some basic items that should be carried during each trip. A rescue mask, gloves, antisep-tic wipes, etc, are carried in a fanny pack or small bag. A larger, more inclusive bag may include a stethoscope, blood pressure kit, penlight, duct tape, scissors, pen/pa-per work, cell phone with contact num-bers, and a bottle of water. Other items may be added depending on the patient’s needs. These can include a glucometer and supplies for a diabetic, with a sugar source like a tube of frosting or honey; a urinal (for small aircraft), zip ties, plastic baggies; moisture proof pads; and a pulse oxime-ter (borrowed from a facility). An oxygen cylinder, nasal cannula, and facemask can be borrowed for special transports as back up, making sure that the oxygen cylinder is flight certified. An example of a patient-designed trans-port bag includes items needed for a patient with a fractured, wired jaw: wire cutters (sent through airport screening with trans-portation staff ), biohazard bags, gloves, air-way maintenance supplies, airsickness bags, straws, and plastic spoons. Small packets of wipes are also a good idea. These supplies can easily be incorporated into an existing transport bag.

“The Bird Is in the Air.”When transporting a patient, a few small details should be kept in mind. How is the patient going to get from the facility or hos-pital bed to the plane? How are they going to get from the curb, through the terminal, to the gate, and on to the plane? You may

need to rent a vehicle on arrival in order to travel to the patient’s location, and trans-port you and your patient from the facil-ity to the plane, when you are traveling on commercial flights. For smaller aircraft, ar-rangements should be made to have trans-portation available at the airfield (perhaps through a local service), or have the patient delivered to the aircraft. (These arrange-ments are made by transportation staff with input from medical staff.) Consider requesting a van or small sports utility ve-hicle, as they are easier to transfer a patient into and out of, especially for a patient with restraints and in a wheelchair. After check-in at the terminal, you will accompany your transportation staff and patient to the screening area. It is a good idea to have a small blanket to drape over the patient’s lap in order to shield the re-straints from the public. Due to their law enforcement status, your group will be screened in a different area. At the gate, transportation staff will generally speak to the gate agent to explain their status, and you will board first. At the completion of the flight, you may deplane last.

“De Plane! De Plane!”Now that your patient is settled in his seat, it is a good time to look around and see where the emergency equipment is stored and introduce yourself to the flight crew. When necessary, advise the flight attendants of any possible medical issues that may arise during the flight. On a smaller aircraft, talk with the pilots about any concerns; they are more than happy to assist. An oxygen cylinder, AED, and medical supplies are usually located in First Class and near the rear galley on commercial aircraft. The pi-lots on a small aircraft will show you how to exit in an emergency and where emer-gency equipment is located. Depending on the needs of your patient, have a plan in mind for emergencies before you leave for the airport. Do you need a snack for

a diabetic patient? Medication, oxygen, or wire cutters for that wired jaw? Play with a few scenarios in your head before the day arrives to make sure you are ready to handle an event during transport. The patient will be seated next to security staff, but you will generally have line of sight.

“The Eagle Has Landed.”After the plane has landed, contact the re-ceiving institution with an update on the patient’s status, and an updated ETA. Upon arrival at the destination, deliver any medi-cal records you have transported, give onsite medical staff a report, and provide contact information for the sending facility in case they have questions. Many physicians and hospital staff are unwilling to discharge patients to a correc-tional environment, feeling that the patient will be returning to a cell, without medical care or medical supervision. It is up to you, the liaison, to communicate the level of care and quality of correctional health-care given at the receiving facility. This information should include details regard-ing inpatient care, outpatient clinics, visit-ing specialists, and services provided, such as physical therapy or dialysis. As a rule, encourage a physician to physician com-munication prior to transport.

Thoughts for the RoadBe prepared. Communicate. Remember that you are a team member with the cor-rectional transportation and security staff; work with them hand in hand. Have fun. Be safe.

Special thanks to: Transportation Unit, Washington State Department of Corrections; Aviation Section, Washington State Patrol; Executive Flight, Inc. n

ABOUT THE AUTHOR

Heidi Bale, RN, CFN, is currently employed by Harbors Home Health and Hospice in Hoquiam, Washington. She has held cer-tifications in Emergency Nursing and Correctional Healthcare, and she currently serves on ACFEI’s Board of Forensic Nursing. Ms. Bale has a 26-year career in Nursing, with practice in critical care transports, forensic patient transports, emergency nursing, and correctional healthcare. Ms. Bale will be presenting at AC-FEI’s 2009 National Conference in Las Vegas. She can be reached at [email protected]


CERTIFIED FORENSIC NURSE, CFN®

New Opportunities in a Growing Field:ACFEI’s Forensic Nursing Program

The term “forensic nursing” was first used in the early 1990s and originally focused on sexual assault nurses. Since then, the term has taken a broader meaning and now refers to nurses with specialized training that includes forensic evidence collection, criminal pro-cedures, legal testimony expertise and medicolegal death investigations, and providing care for victims of violence. Forensic nursing is an exciting and rapidly growing specialty field that offers great opportunities and rewarding career options for nursing profession-als. However, it can be challenging to set yourself apart from your peers to get the rec-ognition and respect you deserve, both in the medical community and the legal arena. Though this highly specialized designation of nursing is an emerging specialty not yet mainstream in most hospitals, this only increases the vitality of a quality forensic nursing program. ACFEI’s Certified Forensic Nurse, CFN® program was established in 2004, and the program has now expanded to include a new Introduction to Forensic Nursing course. This new course will count toward one of the prerequisites for the certification and helps ACFEI continue to provide the highest quality training for the forensic nurs-ing profession. The Certified Forensic Nurse, CFN® program provides the resources necessary for nurses to care for the health and legal needs of vulnerable populations and victims of vi-olence. The Introduction to Forensic Nursing course covers a variety of specialty areas. The course addresses the history and processes of forensic nursing, specifically looking at violence and victimology; injury identification, interpretation, and documentation; crimi-nalistics, evidence, and forensic science; and nursing and the legal interface. The certifi-cation exam further provides nurses with the knowledge and training necessary for this growing and competitive field of nursing. Earning the CFN designation demonstrates to a nursing professional’s colleagues, patients, clients, employers, and the health care com-munity that he or she has an extensive base of knowledge and education, direct profes-sional experience, and a commitment to continuing education and excellence within the forensic nursing profession. The CFN designation can also help contribute to the weight and relevance of the Certified Forensic Nurse’s testimony and the applicability of the evi-dence that the nurse presents in a court of law.

“It was my distinct pleasure to have taken part in the Introduction to Forensic Nursing Course. Working my way through it, I found that I needed to call upon my many years of nursing study and practice, as well as my Master’s studies in criminology to tie in these two important areas toward forensic nursing. The course itself was well organized into per-tinent topics that made the study very clear and easy to follow and understand. In these times when factual evidence is so crucial to the lives of the people that we serve, this course is a well-spring of knowledge and resource. Not only do I now feel confident in the course mat-ter, but I have ready references to details that I may be called upon to use at some time in the future. I now look forward to becoming a Certified Forensic Nurse. Thank you for mak-ing this possible.”—Dana Galloway, MS, RN, CDP-I


Dianne Ditmer, RN, PhD, CFN, DABFN, CMI-III, CHS-III, SANE, FACFEI, is a certi-fied forensic nurse and clinical educator at Kettering Medical Center in Dayton, Ohio, with a background in emergency nursing, risk management, and medical error investigation. Dr. Ditmer is committed to improving the quality of care

provided to vulnerable populations and victims of violence through education of multi-disciplinary professionals. Dr. Ditmer was appointed to the Governor’s Taskforce on Child Abuse and Childhood Trauma. She collaborates with educators, law enforcement, and legislative members to de-velop evidence-based educational programs for school sys-tems, healthcare providers, and foster families. In addition to her role as an educator, Dr. Ditmer provides direct care for living victims of abuse, neglect, and sexual assault. With 30 years of experience as an RN, Dr. Ditmer has worked as a Nurse Resident in a Trauma Center for one year and has also been an Emergency Department Nurse manager for 7 years and a Sexual Assualt Nurse Examiner for 8 years. As a credentialed Fellow of the American Col-lege of Forensic Examiners Institute (ACFEI) and Diplo-mate of the American Board of Forensic Nursing (DABFN), she serves as chairman of the American Board of Forensic Nursing and board member of the Ohio Healthcare Task-force on Family Violence. As a member of the Montgomery County Sexual Assault Response Team and contributing au-thor of the Montgomery County Sexual Assault Protocol Manual, Dr. Ditmer collaborates with members of law en-forcement, coroner’s office, and the prosecutor’s office. She has been an integral part of the forensic nursing program as author of ACFEI’s Intro to Forensic Nursing course, and has seen the benefits of the certification firsthand.

What is the importance of forensic nursing and how did you first become involved with the this program?Six thousand acts of violence are committed every day across the United States. Victims of rape, abuse, neglect, and trauma occupy beds in our medical centers, clinics, and private practices. Victims are much more than faceless numbers; they are our patients. They come to us with acute injuries exacerbated by chronic illness and social issues. They are physically fragile, emotionally devastated, and experience extreme humiliation and denial. Nurses, by training and a commitment to excellence, apply the foundations of physi-cal, biological, psychosocial, and spiritual aspects of man to the evidence-based investigation and treatment of vulnerable popula-tions. Forensic nurses are in a unique position to make a difference in the lives of our patients through prevention, community and family education, and early identification and universal screenings. Multidisciplinary collaboration and intervention through compre-hensive utilization of community resources are foundational to the health of our patients and the safety of our society. Awareness of the prevalence of violence and the opportunity to care for victims launched my personal interest in developing fo-cused curriculum that would provide a broad-based introduction to forensic nursing. Developing a program that allows nurses to investigate the application of forensic principles and standards of care while integrating this contemporary science into the nurs-ing process will result in better patient care and evidence-based practice.

How does forensic nursing as a specialty fit into the medical world today?Forensic nursing is the application of the nursing process to medical and legal investigations. Nurses apply forensic aspects of healthcare to the scientific investigation of trauma, abuse, violence, death, and criminal activities related to medical-legal issues. We care for vulnerable populations, both living and deceased, and apply the foundations of physical, biological, psychosocial, and spiritual aspects of academic training to the scientific investigation and treatment of physical or emotional injuries. Based on the nurs-ing process, forensic nurses perform a thorough assessment, iden-tify injuries or wounds, and document our findings. The forensic nurse’s unique ability to obtain and document information ensures that evidence is secured for further forensic analysis. As advocates for our patients and advocates for the truth, foren-sic nurses are healthcare’s response to violence based on specialized knowledge and clinical training to do the following:

examine and care for individuals through the lifespan, includ-•ing victims and perpetrators.collaborate with multidisciplinary colleagues.•offer consultative services to physicians and law enforcement •agencies.identify, collect, and preserve evidence.•interface with the Judicial System by providing expert testi-•mony.

CFN in Context: An Interview with Dr. Dianne Ditmer

INTERVIEW


How would you describe the role of the forensic nurse in the major types of medical/legal forensic cases and engage-ments?Forensic nursing combines the traditional nursing process with the principles of forensic science and criminal justice when caring for the most vulnerable—victims of violence; investigating legal mat-ters; evaluating product tampering and liability; leading death in-vestigations; and investigating child and elder abuse, custody mat-ters, and domestic violence and trauma. There are many sub-specialities within forensic nursing, which allow for a multi-disciplinary approach and collaborative practice in which knowledge and responsibility are shared in order to reach common goals.

Specialities include:Sexual Assault Nurse Examiner (SANE) Nurse AttorneyDomestic Violence Forensic Nurse Police NurseForensic Pediatric Nurse Forensic Geriatric NurseForensic Nurse Examiner Legal Nurse ConsultantNurse Death Investigator Nurse Coroner Forensic Psychiatric Nurse Forensic Nurse ConsultantForensic Clinical Nurse Specialist Correctional Nurse Forensic Nurse Educator/Researcher Disaster Response

The common thread for all forensic nursing sub-specialities in-cludes specialized education and experience, conducting research in their area of expertise to substantiate evidence-based care, tes-tifying in legal matters, identifying and evaluating injuries for all types of crimes and all patient populations, and taking care of le-gal and healthcare needs.

Forensic nurses, based on expertise and specialized knowledge, ben-efit the patient populations they serve in the following ways:

recognizing and caring for vulnerable populations, including •those who are incarcerated or mentally ill, abused or neglected children, the elderly, or victims of intimate partner violenceproviding specialized nursing care for living and deceased.•determining unsafe conditions and products resulting in in-•juries or death.investigating product tampering or toy-related injuries and •deaths.dealing with hazards in the workplace including equipment, •toxins, and violence.

Supporting the community is also an essential role of forensic nurses. They educate other healthcare professionals based on iden-tified community health needs, risks, or crime data. Forensic nurs-es also benefit the legal community by serving as liaison between healthcare and the justice system. They bridge the gap between nursing and law enforcement with their ability to collect and pre-serve evidence in the following ways:

gather critical information and evidence based on clinical as-•sessment.

identify injuries from weapons or human abuse.•interview patients to evaluate method and mode of injury.•determine whether injury or death can have forensic implica-•tions.testify to the medical findings and evidence collected.•

What are some of the focal points of the Introduction to Forensic Nursing course?Introduction to Forensic Nursing allows nurses to investigate the application of forensic principles and standards of care while in-tegrating this contemporary science into traditional healthcare. Meeting the healthcare and legal needs of vulnerable populations and victims of violence through the lifespan is explored with pre-vention and intervention as the focus. Topics include assessment and interview strategies with consideration of physical and cognitive limitations, age specific needs, gender-related concerns, and eth-nic- and cultural-specific risk factors. Red flags and warning signs of school violence as well as individual and community strategies to prevent youth violence are evaluated. Physical, emotional, and psycho-social implications of children witnessing acts of domestic violence are explored. Wound and injury identification is included to provide an in-depth comparative focus on traumatic wounds in-dicative of abuse, self-inflicted injuries, and anticipated, age-specific injuries. Cause, manner, and mechanism of death are examined in relationship to working with the coroner’s office. Documentation skills and evidence collection techniques are enhanced while learning about individualized examination techniques, forensic terminology, body maps, and photographic techniques that are the best practice. This course evaluates the role of the forensically trained nurse in the courtroom and with law enforcement as supported by ethical, legal, and moral principles that guide daily practice and lifelong commitment to our patients, the victims of violence.

What is the significance of a CFN designation and how will earning this designation set someone apart from other nurs-ing professionals?The Certified Forensic Nurse certification credential is an important indicator to patients, employers, the public, and other professional colleagues that the certified nurse is qualified, competent, and cur-rent in this nursing specialty. Certified Forensic Nurses have met rigorous requirements to achieve this expert credential. n

To become a Certified Forensic Nurse, CFN®, a candidate must meet all eligibility criteria as established by the ABFN and ACFEI. CFN candidates must submit the completed CFN application form and payment, then successfully pass the cer-tification examination. For more information, call us at (800) 423-9737 or check out www.acfei.com.

CERTIFIED FORENSIC NURSE, CFN®


Suporting patients while protecting their rights

Forensic nurses are often the bridge that spans medicine and justice. They tend to the needs of victims and help gather and protect the evidence that can lead to a conviction and ultimate justice.

The Certified Forensic Nurse, CFN® program helps forensic nurses get the respect they deserve and unites them in a supportive community of fellow professionals who are dedicated to their field.

“Forensic Nursing is a newly recognized specialty in the fields of Nursing and Forensic Sciences. The ACFEI Forensic Nursing Certification is an important credential that indi-cates advanced expertise and distinguishes those nurses who possess the special skills and knowledge base required in Forensic Nursing”

–Mary K. Sullivan, RN, BSN, Phoenix, AZ

Call (800) 592-1399 for more information.


From the desk of Dr. Philip R. Cohen,The University of Houston Health Center, University of Houston, Houston, Texas; the Department of Dermatology, The University of Texas M.D. Anderson Cancer Center, Houston, Texas; and the Department of Dermatology, University of Texas-Houston Medical School, Houston, Texas

An 82-year-old man resides in a nursing home while he receives antineoplastic therapy for his metastatic and progressing colon can-cer. He has continued to lose weight and now requires assistance with routine activities of daily living. One night, he unexpectedly dies. His family, who had visited him one week earlier, is concerned when they see that his right cheek is red with blisters; they did not receive notification that he had experienced a burn to his face and accuse the nursing home staff of neglect and possible abuse. The management of the nursing home denies the accusations. The family concerns result in an autopsy, which confirms the man’s diagnosis of metastatic adenocarcinoma of the colon; evalu-ation of the right coronary artery and heart show occlusion and tis-

sue necrosis, respectively, consistent with acute myocardial infarc-tion. Skin biopsies from the edge of the facial blisters for routine pathology evaluation, special stains, and cultures are performed. Multinucleated keratinocyte giant cells are observed in the epider-mis; the cells are positively stained with an antivaricella zoster an-tibody by the immunoperoxidase method. Subsequently, the viral tissue culture grows varicella zoster virus. The findings established herpes zoster as the cause of the man’s right cheek erythematous-based blisters and excluded the possibility of a burn, neglect, or abuse by the nursing home staff. Forensic dermatology and forensic dermatopathology are a natu-ral, yet currently undeveloped, extension of dermatology and der-matopathology awaiting further definition, categorization, and in-vestigation. The tools for discovery already exist. Within the next decade, it is likely that the implementation of currently available and new techniques for the diagnosis and relevance of skin and mucosal conditions will continue to provide significant scientific advances in this promising area of forensics. n

LETTER TO THE EDITOR

Forensic Dermatology and Forensic Dermatopathology:The New Frontiers in Forensic Science

Philip R. Cohen, MD

The Certified Forensic Nurse,CFN® Program


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Officers Don Craig and Jack Alberts were on patrol when they received the call about a rob-bery at Gorman’s Fine Jewelry. Hal Tinker, the skinny, nail-biting sales clerk, was beside him-self with worry when he unlocked the front door and allowed them entry. “I didn’t know what else to do,” he told the officers, while trying to block the mass departure of the customers he’d locked in. I’ve only been on the job for a week, and the owner is gonna go ballistic when he finds out I’ve lost a valu-able emerald pendant. I’ll probably lose my job over this!” Once the officers were inside, Tinker quickly locked the door behind them. “Have any other customers been here and left since you opened up this morning?” Craig asked. “Not a chance,” Tinker answered defiantly. “As soon as I noticed the necklace missing, I rushed over and locked the doors. No one got out, which means that one of these people had to have taken it.” “This is insane!” barked an older gentleman with a wooden cane. “Surely you don’t suspect us? My wife and I have been loyal patrons of this store for years.”

“And you are?” asked Officer Alberts. The man huffed and wrapped an arm around his wife. “We are Mr. and Mrs. John Trimble.” He pointed a bony finger at the clerk. “And let me assure you, young man, once Mr. Gorman hears about how my wife and I have been treat-ed like common criminals, this will be your last day on the job.” Alberts put both hands in the air and made a suggestion. “Why don’t we just start off by having everyone tell us what they were doing here.” A tall, leggy blonde with a large shoulder purse offered her explanation. “I’m Claire Winters,” she spat out. “I work part-time at the insurance office two doors down. I had planned to just run in here and find something nice for my boss’s birthday. But I doubt my boss is going to be too pleased with me now, since I’m already thirty minutes late.” “Under the circumstances, I’m sure your boss will understand,” Alberts insisted. Next on the list of suspects was a nervous young blonde mother with a baby stroller. “I’m Sara Bealls,” she offered, with a tremble in her voice. “Little Jimmy and I just came in to use this $10 coupon I received in the mail. I

THE DETECTIVE’S CORNER

The Forensic Examiner is proud to announce its new fiction mystery fea-

ture, The Detective’s Corner. Read the mystery

and make your predictions. Then go online to www.acfei.com to find the solution.

A Jewel of a Case

By Shirley McCann


thought I might find a good bargain, but I never dreamed we’d be accused of theft!” Officer Craig turned to the Trimbles. “Oh very well,” Mr. Trimble huffed, nod-ding toward his wife. “We might as well co-operate so we can get this over with quickly. But I can assure you that your boss is gonna hear all about this, Mr. Tinker.” Mrs. Trimble wiped a tear from her eye. “Our niece is graduating in a few weeks. We thought we might find something spe-cial for her in here. Mr. Gorman always has some unique selections on hand.” The two officers exchanged glances. “Mr. Tinker, are you positive no one could have left before you locked the door?” Craig asked again. “Absolutely not. These people were the only customers in the store when I brought out the locket. And no one came in after that.” “What about a security camera,” Detective Craig suggested. “Maybe we could view that and see if the theft was caught on camera.” Hal Tinker laughed. “Are you kidding? Mr. Thomas is so cheap he didn’t even both-er to change the name on the door when he bought it two years ago. There’s no way he’d spring for any kind of a security system.” “Well, this obviously isn’t helping any-thing,” Mr. Trimble said. “I’ve never been so insulted in all my life. It wouldn’t sur-prise me if Mrs. Bealls pulls this kind of stunt all the time. After all, it would have been easy for her to slip the necklace from the counter into the stroller. No one would be the wiser.”

“You’ve got a lot of nerve!” Mrs. Bealls screamed. “I’ve never stolen anything in my life!” She spun around and pointed an accus-ing finger at Claire. “Why don’t you show everyone what’s in your bag?” she suggested. “You could have easily stashed the pendant in that huge purse of yours.” “You’ve gotta be kidding, lady,” Claire said. “I would never want anything that gaudy. I prefer diamonds.” Officer Craig turned to his partner. “It ap-pears that everyone here had the opportunity to steal the necklace,” he said. “We could set-tle this quickly if everyone would just submit to a search of their belongings.” “You go right ahead,” Mr. Trimble shouted, leaning his cane against the counter and put-ting his arms out. “I have nothing to hide.” “Well, neither do I,” Mrs. Bealls ex-claimed. “Neither do I,” Claire stated firmly. “Although I can assure you that if you lay one hand on me, you’ll be hearing from my attorney.”

“There’s no need to call your attorney,” Alberts said. “Although a search would make things a lot easier, I think we can nar-row down the list of suspects by starting at the beginning.” Officer Craig scratched his head. “You’ve got a suspect?” “I do,” Alberts said. “And if you’d been paying attention, you’d know who the thief is too.” The suspects exchanged worried glances. Claire started for the door. “I’m not stay-ing around here for this witch hunt,” she exclaimed. “Me neither,” shouted Mr. Trimble. “I demand you open that door right now.” Alberts caught Mr. Trimble’s arm and re-moved his cane. “Not so fast,” he said. He unscrewed the tip, turned it upside down and watched the necklace fall to the floor.

How did Detective Alberts know that Mr. Trimble was the thief? n

Go online to read the solution!www.acfei.com

ABOUT THE AUTHOR

Shirley McCann’s fiction has appeared in Woman’s World Magazine, Orchard Press Mysteries, and Alfred Hitchcock Mystery Magazine, as well as many of the confession magazines. She is the co-founder of Sleuths’ Ink, a mystery writers group in Springfield, Missouri, where she lives with her husband of 28 years. She also has two children and one granddaughter. Shirley maintains a blog at http://cleverchronicles.blogspot.com, as well as a Web site at http://shirleymccann.com

Share your expertise—submit an article on a forensic topic for po-tential publication in future issues of The Forensic Examiner®!

No matter what your specialty or interest in the forensic science arena, we’re sure you have important insight and information to share with fellow forensic professionals. The Forensic Examiner® in-cludes scientific articles, case studies, new research in the areas of forensic information, and interviews with forensic professionals, and we will accept article submissions on any topic of interest to our diverse membership base. Share your knowledge and experi-ence with our readers!

Submit your articles to The Forensic Examiner® editorial department by e-mailing them to [email protected].

Visit www.theforensicexaminer.com or call (800) 423-9737 for more information. Any suggestions on improvements to The Forensic Examiner® publication? Please let us know; we are always open to suggestions!

The Forensic Examiner’s Call for Submissions


Welcome New ACFEI Members!

New MembersApril L. BreniserJoseph J. De NataleMichael A. GroffLawrence A. LondonSmita PatelDanah L. RichardsThomas W. WaltersPatrick LinnenbankAbdallah AmiriZenaida T. AsuncionRebecca CleggJohn D. DolanNigel A. R. GrahamAkeem A. LasisiChristine R. McDonaldZubaida ZainGlenn W. AhavaBrad ApitzJames BearupChrista V. BilleaudDale T. BowenVirginia E. BradenRic L. BraunDouglas A. BrushDavina K. BurnsMrutyunjaya ChittavajhulaChristopher D. CoigneJoseph T. Czaja

Terry L. DonatRobert DoneganSusan M. DownsMarilee T. ElliottTimothy M. EtheridgePaul D. FriedmanCurtis L. FunkeKatherine A. GilbertThomas GillmoreIldefonso GonzalezSteven R. GraboffDavid L. GrayShayna T. GuidryLinda A. HuberLisa M. JohnsonLeslie J. KallusDennis B. KeenanJerri KisselCindy L. KnightLinda E. LewisEvonne L. LopezWendy E. LyttleManuel MendozaJose J. NavaRobert PeckGary M. PooleLeon Y. QueLisa RouthGregory H. Salerian

David T. SchultzLarry SettlesWilliam A. SeymourCharles D. Shamburger, Jr.Lisa D. SmithAndrew M. SmullenJames R. SpearGerald A. StragRobert J. Telfer, Jr.Moises ToledoCaridad VasalloCheryl WardJames L. WarnerDana M. WayEllen C. WeldVadon M. WillisDavid A. Withrow Lori K. WoodburyNichol K. ZimmermannEarlene M. O’BrienArthur PeoplesJermaine T. PriceAvrianna BacchiocchiScott N. CoreMark A. DietrichLouise L. GreeneGeorg Grosse-HohlKeisha S. HarrisJose A. Nieves Romero

Karina D. ParkerRobert L. RobeySoheyla Zarandi

New DiplomatesStanley Friedman Alex KwechanskyRay W. LondonEmil Moldovan Carl PatrassoDouglas J. TaberMark Withrow

New FellowsMargaret M. BaileyPaul L. BaileyRichard H. BloomerSharon J. McNairHenry RinderKandiah SivakumaranDeborah A. StonePaul Tanners

New Life MembersGary M. KleinDebra M. RussellStephen M. RussellRay T. Weeks

To join the commission, applyonline at www.forensiccommission.com or call Anna at (800) 592-1399

Attention Forensic Educators

THE COMMISSION ON FORENSIC EDUCATIONSM

The Commission on Forensic Education, developed by The American College of Forensic Examiners, emphasizes the importance of forensic science programs in education and is committed to their expansion. The Commission offers guidance on instruction, provides help to those who teach or study forensic science, and reviews professional certification programs. The Commission is an effective and essential network that helps educators and students stay informed of the latest innovations, breakthroughs, and important research in the field. Commissioner membership is open to college and university administrators and full-time, part-time, and adjunct professors; Associate Commissioner membership is open to high school science teachers. The Commission helps educators advance the field and inspire future forensic professionals through providing supportive services:

Helping educators network with fellow teaching professionals and top experts •in the field.Teaching potential students about the importance and the benefits of studying •forensic science.Giving members a highly visible forum to publish and distribute their research.•Helping members stay current in a constantly evolving field by providing quality •continuing education.Providing certification programs that recognize achievement.•

SM

NEW MEMBERS


Protect Your Homeland.Become Certified in Homeland Security, CHS® today.

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The CHSSM program has earned its reputation as the premier group dedi-cated to providing certification, training, and continuing education to professionals across the nation who are committed to improving home-land security. We boast a total commitment to our country’s safety, an extraordinary knowledge base, and an in-place organizational structure that delivers the highest-quality certification and continuing education op-portunities in homeland security.

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(Baltimore, MD)— The American Association of Integrative Medicine (AAIM) announced today that Dr. Zhaoming Chen, a physician from Saint Agnes Hospital, has been appointed Chair of the Executive Advisory Board and Chief Spokesperson for the organization. Dr. Chen was selected to serve as Chair and Chief Spokesperson by the AAIM Executive Advisory Board because of his knowledge in both neurology and complementary alternative medicine, and be-cause of his unique ability to link Eastern and Western medicine in both realms of the medical field. In his new roles, Dr. Chen will be responsible for maintaining the integrity of the organization while also assisting in the development of the national conference, developing and maintaining existing and new certification programs and online courses, and participating in continuing education activities. “Dr. Chen is a qualified individual who exemplifies the profession-alism so deeply valued in the AAIM organization,” said Dr. Robert O’Block, President, CEO and co-founder of the AAIM. “Dr. Chen’s extensive experience in both Western and complementary medicine offers him a unique perspective on health care in the United States. The American Association of Integrative Medicine is honored to have him as both the Chair and Chief Spokesperson of our organization.” Dr. Chen received his medical degree from Shanghai JiaoTong University College of Medicine and his Ph.D. in Neuroscience from Drexel University College of Medicine. He completed his neurology residency at Georgetown University Hospital and held three fellowships that include a Neuroscience Fellowship at Thomas Jefferson University,

Senior Neuroscience Fellowship at the University of Pennsylvania, and a Clinical Neurophysiology Fellowship at Georgetown University Hospital. Additionally, Dr. Chen received two acupuncture certificates, one from Harvard University and the other from Shanghai University of Traditional Chinese Medicine. Dr. Chen is a resident of Rockville, Maryland and has been playing Tai Chi and Qigong for decades. He is part of Saint Agnes Integrative Neurology Specialists. The American Association of Integrative Medicine (AAIM) was established in 2000 and was created as a place where professionals from Western medicine and other complementary medicine models could come together as peers to bring effective, safe, and affordable health care to their patients and clients. Saint Agnes Hospital is a 307-bed hospital founded by the Daughters of Charity in 1862. Saint Agnes is a full service teach-ing hospital with residency programs in a number of medical and surgical specialties. Key services include: The Saint Agnes Cancer Center and Center for Blood Disorders, The Chest Pain Emergency Center, The Bariatric Center of Excellence, Joint and Spine Care, Cardiovascular Services, Women’s Health Services, and Seton Medical Group. Saint Agnes is a member of Ascension Health, the largest non-profit health care organization in the nation. Ascension Health is dedicated to reaching new heights in health care and ser-vice to communities, as well as serving as a model for faith-based health care throughout the world. For more information on Saint Agnes, visit www.stagnes.org. n

The American Association of Integrative Medicine (AAIM) recognizes that a multi-

disciplinary approach to medicine provides the maximum therapeutic benefit. AAIM’s advocacy

for broader treatment options facilitates a bond between integrative and Western medicine, and

the end result is a gathering place for healers, educators and researchers from all specialties to

compare notes and combine forces, benefiting both the patient and the health care provider.

Join AAIM today asBoard Certified in Integrative medicine, BCIMSM

Zhaoming Chen, MD, PhD, MS Named Chair and Chief Spokesperson of The American Association of Integrative Medicine

ACFEI News

YOUR SECURITY IS AT STAKE!

Information theft, corporate espionage, and trade secret compromises are at all-time highs. Are you armed with the training to protect your sensitive personal and business documents?

The Sensitive Security Information, Certified® program, developed by the American Board for Certification in Homeland SecuritySM, will train you to be an effective guardian of sensitive information in all its forms. Certification shows your present and future employers that you are well-trained and dedicated to protecting information security—a sought-after skill in today’s public and private sectors.

Become Sensitive Security Information, Certified® Today!

An Essential Certification for All Who Handle Sensitive Information

Call Toll-free (800) 592-1399 or visit www.acfei.com/forensic_certifications/ssi to register!

This April, Anna Pry and Evan Clarke represented the American College of Forensic Examiners Institute (ACFEI) at the 2009 Computer Forensics Show in Washington DC. Some of the other organizations represented at the conference included groups special-izing in high-tech forensic devices and computer security. The two-day conference coincided with other topical conferences, giving Ms. Pry and Mr. Clarke an expanded opportunity to network with many individuals from around the world. Attendees from all of the conferences were able to benefit from the information that ACFEI had to offer. From the conference, Ms. Pry and Mr. Clarke traveled to Quantico, Virginia, to visit Dr. Greg Vecchi, the head of the Behavioral Science Unit at the FBI and dedicated member of ACFEI. In order to get in to the building, the two ACFEI repre-sentatives had to be admitted through two guarded check-points, were fingerprinted, and underwent background checks. Even then, a personal escort led them to Dr. Vecchi’s office, which is located in the basement of a bomb shelter. Dr. Vecchi graciously greeted the ACFEI representatives and ex-plained the kind of training, research, and consultations that take place in the Behavioral Science Unit (BSU). The BSU trains new FBI agents in such subjects as applied behavioral science, juvenile crime, death investigation, and many others. The academy was full of high-tech classrooms, a full-size auditorium, an impressive library center, and a large gymnasium and swimming pool for physical fit-ness and training.

However, possibly the most notable section of Quantico is Hogan’s Alley, a realistic training ground built by Hollywood to give new agents a place to practice their acquired skills. The training ground was built to resemble a real small town, though its bank is robbed about twice a week for simulation purposes; Hogan’s Alley gives agents a real world view of what to expect when working in the field. Dr. Vecchi works to build a community of new and highly skilled agents in order to advance their efficiency, and he also continues to volunteer his skills to the ACFEI. ACFEI staff ’s DC visit was a valuable opportunity to illustrate this shared devotion to excellence with the forensic community and the FBI. n

s Anna Pry and Dr. Vecchi, next to a Hannibal Lector mannequin at the Behavioral Science Unit in Quantico


Staff Represent ACFEI in DC

ACFEI News

BRIGITTE GABRIEL: ACFEI FEATURED SPEAKER IN LAS VEGASThe American College of Forensic Examiners Institute welcomes Brigitte Gabriel as a keynote speaker at the 2009 national conference in Las Vegas. Ms. Gabriel’s authority on terrorism comes from the tragedy of personal experi-ence. Raised as a Christian, she lived through the Islamic occupation of Lebanon as a child, narrowly surviving a bombing that destroyed her family’s home. She and her family were forced to live in a one-room bomb shelter for years as the re-ligious attacks raged around them. She escaped to Israel as a teenager, eventually becoming the news anchor for an Arabic evening news broadcast. In 1989, she immigrated to America and began her own television production and advertising company. Fluent in four languages, Ms. Gabriel has since become a prominent speaker, writer, and activist. After the tragedy of September 11, 2001, Ms. Gabriel turned her experiences as a perse-cuted Lebanese Christian into an emotional, emphatic testimony to raise aware-ness on the threat of radical Islam to world peace and national security. A member of the board of Advisors of the Intelligence Summit, her New York Times best-selling books include Because They Hate: A Survivor of Islamic Terror Warns America and They Must Be Stopped: Why We Must Defeat Radical Islam and How We Can Do It. Ms. Gabriel is a prominent speaker, regular guest on worldwide news and radio stations, and the founder of American Congress for Truth. She admonishes our politically correct tolerance and lack of knowledge of Islam, asserting that their cultural invasion can do as much damage as bombs and head-on attacks. Though she regularly receives death threats from terrorists for speaking out about her ex-periences, Ms. Gabriel has devoted her life to educate and inspire Americans to stand up against radical, militant Islam.

“A compelling and captivating

personal story with a powerful

lesson about threats to freedom

in our time.”

—R. James Woolsey, Director of

Central Intelligence, 1993-95

“In the afternoon of September 11th, 2001, I was like all Americans, glued to my TV screen in the family room, tears in my eyes, feeling utter pain, sorrow, and helplessness over what transpired that morning . . . I knew that the same cancer that was confined to the Middle East had now spread throughout the world’s body. That’s when I knew I had to speak up because my past is America’s future unless Americans wake up in time to see what is coming our way.” –Brigitte Gabriel

NATIONAL CONFERENCE / FEATURED SPEAKERS

We are in for the fight of our lives. That we have not yet had another terrorist attack in the United States is remarkable, but it will happen. Al Queda keeps its promises.

How do I know this? I was born in Lebanon and raised as a Christian. When the Lebanese Civil War broke out, our family, and our Maronite community came under vicious attack by Islamic extremists. They prom-ised to destroy us, and as you know from the recent war in Lebanon, the country is now nearly Islamic.

I was nearly killed by a mortar. Our home was destroyed. We lived in a bomb shelter for seven years. Most of my childhood friends were killed. That’s how I know.

We must make the connection between individual safety and a strong national defense, increase civic preparation and political responsibility, and train all Americans to become defenders of our community safety and national security.

Anguish struck the citizens of the United States of America on 9/11 as a handful of hateful men murdered nearly 3,000 innocent people. A heavy pall of grief covered our nation. Many of us wondered if we’d ever laugh again.

But 9/11 wasn’t the only act of terrorism. Bali, London, Madrid, Jerusalem...the list goes on and on. Yet the West does not fully realize the bloodthirsty intentions of the menace of fundamental Islam. This enemy—is relentless. It is determined.

Why Does Our Struggle Matter? It Matters Because . . .If we don’t win the war against Islamofascism, other issues won’t matter at all. We won’t have an economy to worry about. We won’t have equal rights for all. We won’t have our cherished freedom. And we will live un-der Sharia Law.

From Ms. Gabriel: This Is The New Reality (Information retrieved from www.americancongressfortruth.com)


The American College of Forensic Examiners is proud to announce that Frank Abagnale will be the keynote speaker at this year’s National Conference in Las Vegas, Nevada. Frank W. Abagnale is one of the world’s most respected authorities on forgery, embezzlement, and secure documents. For over 30 years he has worked with, ad-vised, and consulted with hundreds of financial institutions, corporations, and gov-ernment agencies around the world. Mr. Abagnale’s rare blend of knowledge and expertise began more than 40 years ago when he was known as one of the world’s most famous confidence men. This was depicted most graphically in his best-selling book, Catch Me If You Can, a film of which was also made, directed by Steven Spielberg and starring Leonardo DiCaprio and Tom Hanks. Between the ages of 16 and 21, he successfully posed as an airline pilot, an attorney, a college professor, and a pediatrician. Additionally, he cashed $2.5 million in fraudulent checks in every state and 26 foreign coun-tries. Apprehended by the French police when he was 21 years old, he served time in the French, Swedish, and U.S. prison systems. After 5 years he was released on the condition that he would help the federal government, without remuneration, by teaching and assisting federal law enforcement agencies. Mr. Abagnale has now been associated with the FBI for over 30 years. More than 14,000 financial institutions, corporations, and law enforcement agencies use his fraud prevention programs. In 1998, he was selected as a distinguished member of “Pinnacle 400” by CNN Financial News—a select group of 400 people chosen on the basis of great accomplishment and success in their fields. In 2004, Mr. Abagnale was selected as the spokesperson for the National Association of Insurance Commissioners (NAIC) and the National Cyber Security Alliance (NCSA). He has also written nu-merous articles and books including The Art of the Steal, The Real U Guide to Identity Theft, and Stealing Your Life. For more information on ACFEI’s National Conference or to reg-ister, please contact ACFEI Member Services at (800) 592-1399.

Standard Register Company—since the early 1980s worked with and •developed security features used on car titles, birth certificates, doc-tors’ prescription pads, negotiable instruments, packaging, and luxury items.Novell—helped develop identity management software used by thou-•sands of corporations, governments, and financial institutions.Affinion Group—helped develop PrivacyGuard, a credit monitoring ser-•vice now used by over 6 million Americans, as well as in Canada and the United Kingdom.ADP—designed their current payroll check issued more than 800 million •times a year for the payrolls of thousands of corporations.First Data Corp (FDC)—designed the Integrated Payment Systems (IPS) •Check, which is currently the official bank check of over 3,000 financial institutions.Safechecks, Inc.—designed the SuperCheck and SuperBusiness Check •considered to be the most secure checks in the world and used by thou-sands of municipalities, mortgage companies, title and escrow offices, and corporations.Appleton Papers—designed the Frank W. Abagnale signature water-•mark paper, one of the most secure papers in the world with numerous security features built into the paper stock and distributed exclusively by Standard Register Company, USA.

Audemars Piguet—designed the anti-counterfeiting technology incorpo-•rated in one of the world’s most luxurious watches.Leigh-Mardon (Australia)—one of the world’s most sophisticated secure •document printers and manufacturer of credit cards and smart cards. Helped design the Australian passport, Australian postal money order, and numerous official international bank checks.The 41st Parameter—partnered with and helped develop ImageMask—•software that digitally blocks information on checks and documents from being seen online. This technology is used by some of the nation’s larg-est banks.Staples, Inc.—partnered with the world’s largest office supply store bringing •security products and solutions to their consumer and business customers.Sanford uni-ball—helped develop the uni-ball 207 writing instrument. •The only pen in the world that cannot be altered by chemicals or sol-vents. Over 20 million are sold annually in the United States alone.In the past 31 years Mr. Abagnale has worked with 65% of the Fortune •500 Companies in America.Author of three books on white collar crime and identity theft—• The Art of the Steal, The Real U Guide to Identity Theft, and Stealing Your Life.Designed SequrZ secure number font used by thousands of corpora-•tions, government agencies, and financial institutions to secure the writ-ten and dollar amounts on negotiable instruments.

“Abagnale’s lecture may be

the best one-man show you

will ever see.”

—Tom Hanks

FRANK ABAGNALE: ACFEI FEATURED SPEAKER IN LAS VEGAS

Accomplishments (Information retrieved from www.abagnale.com)


The 2009 National Conference will be held at the Rio All-Suite Hotel. If any casino hotel embodies the rhythm and spirit of Las Vegas, it is the Rio All-Suite Hotel & Casino, where the atmosphere pulses with activity, color, and uninhibited excitement. Get swept up in the Rio’s vibrant backdrop: every room a suite, every turn a new adventure, every need fulfilled.

A special discounted group rate has been established for conference attendees. For room reservations, call (888) 746-6955, choose option #1 to connect to Suite Reservations, and reference the group code SRACFE9. Rooms are limited, so call today. The cut-off date to receive the group rate is Friday, September 11, 2009.

Hotel Information

SCHEDULE-AT-A-GLANCE

Wednesday, October 14Registration and Exhibitors...............................................................12:00pm-8:00pm

ABCHS Pre-Conference Session........................................................3:00pm-5:00pm Keynote Speakers: John Bridges, III, FACFEI, DABCHS, CHS-V, and LTC DE Smith, CHS-V

Welcome Reception..............................................................................5:00pm-7:00pm

Thursday, October 15Exhibit Hall Opens/Continental Breakfast.......................................................7:00amGeneral Session.......................................................................................8:00am-9:00am Catch Me if You Can, Presenter: Frank Abagnale

Morning Break.........................................................................................9:00am-9:30amBreakout Session..................................................................................9:30am-11:30am The Art of the Steal, Presenter: Frank Abagnale

Lunch on Own......................................................................................11:30am-1:00pmBreakout Sessions..................................................................................1:00pm-4:45pmAnnual Banquet......................................................................................5:30pm-7:30pm Keynote Speaker: Peter S. Probst

Friday, October 16Exhibit Hall Opens/Continental Breakfast.......................................................7:00amGeneral Session.......................................................................................8:00am-9:00am They Must Be Stopped, Presenter: Brigitte Gabriel

Morning Break.........................................................................................9:00am-9:30amBreakout Sessions.................................................................................9:30am-11:00am

Lunch on Own....................................................................................11:00am-12:30pm

ABCHS Working Luncheon (Additional Registration Required)....12:00pm-1:30pm Keynote Speaker: Steven G. King, Deputy Director, Infrastructure Collection Division, US Department of Homeland Security

Breakout Sessions..................................................................................12:30pm-5:30pm

2009 NATIONAL CONFERENCE



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In 1877, a young Arthur Conan Doyle went to study medicine in the progres-sive atmosphere of Scotland’s University of Edinburgh. During his second year, he clerked at the Royal Infirmary for Dr. Joseph Bell, a lean, fortyish profes-sor with an aquiline nose, decisive man-ner, and piercing eyes. Bell, a noted pa-thologist, was Queen Victoria’s personal physician whenever she was in Scotland, because she liked what she observed in his wards. This in itself gave him an air of authority, but he also taught “The Method”—a disciplined approach to de-ducing subtle facts about patients from swift, keen observation. Conan Doyle interviewed new patients before Bell saw them, but Bell hardly seemed to need the assistance. Without asking a single question, Bell could state many facts that matched his clerk’s notes about these virtual strangers. He relied on such things as tattoos, skin disorders, ac-cents, scars, and even the color of soil on their shoes. He seemed a virtual wizard, and Conan Doyle was sufficiently im-pressed to later transform Bell into a fictional character—Sherlock Holmes. In Conan Doyle’s only filmed interview he firmly attested to his mentor’s in-fluence, and in a letter to Bell he once wrote, “It is most certainly to you that I owe Sherlock Holmes.” Bell even wore a cloaked coat and deerstalker cap. Yet in many ways, Bell was not Sherlock Holmes. He cared about people, had a wry sense of humor, and was highly com-passionate. To colleagues he wondered if Conan Doyle had seen his better side. While Bell is not as famous as British pathologists like Bernard Spilsbury or Francis Camps, who drew a great deal of media attention and published popu-lar books about crimes, Bell’s influence is just as enduring. Given his indirect inspiration to several leading lights in the field of crime investigation, he is rightfully credited as a forensic forefa-ther.

The MethodBell grew up during the mid-1800s in a medical family and became protégé

to a renowned Scottish physician, Dr. James Syme. He married and had three children, although his wife died young. An amateur poet, birdwatcher, and avid shooter when not at work, Bell drove a pair of bay horses he’d named Major and Minor. Far-sighted and aware of the needs of patients, he organized sys-tematic lectures for nurses and agreed to teach the first female medical students, against whom there was substantial preju-dice. For twenty-three years, Bell edited the Edinburgh Medical Journal as a firm proponent of science, and he authored several important medical texts. He also devoted considerable time to handwrit-ing analysis and dialectology—the iden-tification of accents, linguistic oddities, and speech patterns—which he added to his Method. Bell’s classes were always crowded as he demonstrated how to sort out im-portant material from the “lumber room of the mind.” The successful diagnosis, he told students, rested on three things: “Observe carefully, deduce shrewdly, and confirm with evidence.” For him, the Method—the “accurate and rapid ap-preciation of small points in which the diseased differs from the healthy state”—was one of the most important things he could impart to young medical minds. Among the reasons was that impressing patients with such intimate knowledge inspired their cooperation in the healing process. It was paramount, then, to make a study of people. “Nearly every handicraft writes its sign-manual on the hands,” Bell once wrote. “The scars of the miner differ from those of the quarryman. The carpenter’s cal-losities are not those of the mason. The soldier and sailor are different in gait.” Ornaments, tattoos, and clothing add-ed more dimension, as did posture and demeanor. But “mere acuteness of the senses” was not enough. One also had to study in minute detail subjects that would aid in making distinctions: the diverse odors of poison, for example, or of different perfumes. As Bell walked energetically around the lecture room, he impressed upon his

s Dr. Joseph Bell


Observe Carefully, Deduce Shrewdly: Dr. Joseph Bell

CASE STUDY By Katherine Ramsland, PhD, CMI-V


students the importance of performing a close and critical study before diagnosis. To demonstrate, he would bring in one of his waiting out-patients—someone he did not know—and from subtle clues he’d de-scribe details about that person’s occupa-tion, health, and recent activities. In one case, an elderly woman dressed in black entered, and Bell asked, “Where is your cutty pipe?” Startled, she produced it from her purse. Bell then told his students that from a small ulcer on her lower lip and a glossy scar on her cheek, he knew she used a short-stemmed pipe that lay close to her cheek when smoking. Convinced that nuances mattered, Bell asserted that nothing was more use-ful to medical work than finely honed sen-sory observation, guided toward a specific purpose. Whenever he called on students to try the Method, he’d urge them not to touch a patient, but to “use your eyes, sir, use your ears, use your brain, your bump of perception…” and “never neglect to rat-ify your deductions.” That is, once they’d deduced information, they had to check each notion with the patient. (There were times when a patient contradicted Bell, and while he admitted to sometimes be-ing wrong, he might also be vindicated by proving a lie.) Among Bell’s training tricks was to pass around an amber-colored fluid, which he described to students as a potent drug that tasted quite bitter. Still, because they must learn how different substances tasted and smelled, they’d have to follow his example. He would dip his own finger, taste it, and make a face, and then pass it to a student. The concoction did taste quite bad, but each aspiring physician obediently tast-ed. Bell would then tell them that they’d missed the most important part of the ex-periment: he’d used one finger to dip into the liquid, but placed a different finger into his mouth. He hadn’t tasted the bit-ter brew at all. Thus, they’d seen but not “truly observed” him. Among his lessons, Bell also described the problem with tunnel vision. “The fatal mis-take which the ordinary policeman makes is this,” he said, “that he gets his theory first and then makes the facts fit it, instead of getting his facts first and then making all his little ob-servations and deductions until he is driven irresistibly by them into an elucidation in a direction he may never have originally con-templated.” That is, hypothesize for guid-ance, but remain flexible and observant.

Forensic ApplicationsIn 1892, Bell told a reporter that he’d been engaged for two decades in the practice of medical jurisprudence for the Crown, but since he considered the details to be pri-vate, he refused to reveal anything more. However, he seems to have been at work in the sensational case of Elizabeth Chantrelle. Elizabeth Dyer was a fifteen-year-old student of the charismatic Eugene Marie Chantrelle, a French immigrant. He se-duced her and then had to marry her. For the next ten years, he degraded and abused her, bragging that he could kill her in any number of ways. In 1877, Chantrelle in-sured his wife against her wishes for a con-siderable sum. Three months later, Elizabeth fell seriously ill. Her maid found her un-conscious in her room and fetched the doc-tor. When they returned, the maid noticed odd changes: a half-full glass of lemonade on the bed table was now empty and some orange segments and grapes were gone, yet Elizabeth was still unconscious. Chantrelle was at the window, from where he quickly moved, as if to keep from drawing attention to that area. Also, there was now a smell of coal gas in the air. The doctor thought Elizabeth had suf-fered from accidental coal gas poisoning; he removed her to a clinic, but she soon died. He called in a noted toxicologist from the university, Sir Henry Littlejohn, who en-listed Bell as a consultant. They examined the deceased woman, but contrary to the physician’s impression, they thought her symptoms were consistent with narcotic poisoning. They informed the police, and Chantrelle was arrested. To acquire more evidence, Littlejohn and Bell collected vomit from the pillow and nightgown. Under analysis, it proved to contain a solid form of opium. Then an investigation turned up Chantrelle’s re-cent purchase of thirty doses. Although he protested his innocence and claimed he’d smelled gas in the room, the maid affirmed that she’d noticed this odor only after re-trieving the doctor. The gas company found a broken gas pipe just outside the victim’s bedroom window, and Bell located a gas-fitter who had once repaired this very pipe under Chantrelle’s watchful eye—and at-tested to Chantrelle’s keen interest in how it worked. The circumstances seemed clear: Chantrelle had poisoned his wife with opi-um and staged her room to resemble an ac-cidental death from a burst gas pipe.

The murder trial lasted four days, and deliberations took just over an hour. With Littlejohn’s powerful testimony, Chantrelle was convicted. On May 31, 1878, just be-fore the noose was put around his neck, he puffed on his cigar, removed his hat, and said, “Bye, bye, Littlejohn. Don’t forget to give my compliments to Joe Bell. You both did a good job in bringing me to the scaf-fold.” Ten years later, Bell became involved in another case—Jack the Ripper. After five murders of prostitutes in London’s Whitechapel slums went unsolved during the fall of 1888, Scotland Yard sought help from specialists around Britain. Among them was Dr. Littlejohn. When he received the full report of the investigation and au-topsies, along with a suspect list and some of the “Ripper” letters, he gave a copy to Bell for handwriting analysis. Separately, Bell and Littlejohn studied the murders and derived a conclusion. They then ex-changed their work, and each was gratified to see that they’d picked the same suspect. To a journalist, Bell said, “When two men set out to investigate a crime mystery, it is where their researches intersect that we have a result.” They sent their reports to Scotland Yard, but unfortunately, no such reports are in the archives and there was no recorded comment, so it remains spec-ulative as to which suspect they picked. Yet Ripper expert Donald Rumbalow be-lieves that, from among the suspects that Scotland Yard had considered seriously at the time, Bell would most likely have se-lected Montague Druit, a young unsettled physician who feared his mother’s schizo-phrenia and who committed suicide after the last official murder. Bell also participated in what Scottish newspapers called “the biggest crime of the decade,” a case of fraud and murder. In 1890, Alfred Monson became the private tutor for a young man named Cecil, heir to a considerable fortune. Monson was appar-ently a patient man, for it was three years before he took out a substantial insurance policy on his young charge, with himself as benefactor. He told the agent that he’d loaned Cecil a lot of money against his in-heritance and the policy was to protect his own stake. It was granted. Monson then took Cecil out in a boat, which sprang an “unexpected” leak, and sank. But they were close enough to land for the boy to get ashore. Stymied, Monson took the boy shooting the next

day, and this time a tragic “accident” claimed his life. Monson quickly filed for the insurance payout, but then learned that the policy was invalid. The company alerted police about the circumstances, and Cecil’s body was exhumed for detailed examination. Littlejohn and Bell performed the autop-sy and wound analysis. They determined the fatal shot could not have come from Cecil’s weapon and teamed up with a bal-listics expert, Dr. Patrick Heron Watson (the inspiration for Holmes’s sidekick), to support a charge of murder. All three said the boy had been killed by an assailant who stood about 8 to 10 feet away. Newspapers made much of the fact that Watson and Bell were on the same team, and even dubbed Bell “the original Sherlock Holmes.” Using human skulls, these experts demonstrated how the triangular wound could not have come from Cecil’s gun, not unless he had abnormally long arms. With more than 100 witnesses, the Crown made a case that Monson was a conman who had insured and then murdered his charge. However, the judge warned the jury against using Monson’s questionable character as a fac-tor in deliberations. They acquitted, based on insufficient evidence. Monson neverthe-less got himself arrested again on another charge of insurance fraud and landed in prison anyway.

Lasting LegacyBell insisted that a physician’s duty was to consider minutia that most people would view as a trifle and to utilize the wealth of information it provides. Apparently Conan Doyle absorbed this lesson well. In 1886, he completed a story about the “consulting detective” Sherlock Holmes, who relied on observation and logical deduction to help solve crimes. The first of what would be-come a series of tales was A Study in Scarlet. Ward, Lock & Co. published it in 1887 as part of a Christmas annual. It found success the following year as a book. (For a later edition, Bell even penned a foreword.) Due to its popularity, the series about the im-mortal detective ran until 1927, and among the reasons Holmes endured was the tech-nical expertise that Conan Doyle added, as well as the clear explanation of how he de-duced facts from clues. As forensic science merged with crime investigation, Holmes became the prototype of the brilliant detec-tive who has an intellectual edge over the ordinary “copper.”

No doubt, this is why so many inves-tigators sought to emulate him. Sydney Smith, an assistant to Littlejohn before he came into his own as a renowned forensic expert, was impressed by Holmes’s three directives: the power of observation, the power of deduction, and a wide range of exact knowledge. Using these guidelines as his touchstone reminded him to always look beyond the obvious. In France, Edmond Locard wanted to develop a crime labora-tory just like his hero, Sherlock Holmes; when he failed to persuade the police in Lyon to support it, he paid for the world’s first private crime lab himself. It opened for business in 1911, the year that Joseph Bell died. The list of other crime analysts and investigators who followed in Holmes’s footsteps is long, with one after another la-beled “the real life Sherlock Holmes.” But Joseph Bell was truly the prototype. The Joseph Bell Centre for Forensic Statistics and Legal Reasoning (JBC) in Edinburgh still honors the late pathologist and promotes his ideas by applying academ-ic research to the field of criminal justice. It offers training, both on-site and online, to expand the skills of lawyers, forensic sci-entists, law enforcement officials, law stu-dents, IT security staff, and the judiciary. In 2006, the Royal College of Surgeons opened an exhibit in Surgeon’s Hall, “Conan Doyle and Joseph Bell, the Real Sherlock Holmes,” to recognize the link between Bell, Edinburgh, and Conan Doyle’s tales. In a let-ter now owned by Bell’s descendants, Conan Doyle noted the similarity of Bell’s approach to that of Holmes: “I do not think that his analytical work is in the least an exaggeration of some effects which I have seen you pro-duce in the outpatient ward.” While Conan Doyle’s son mounted an aggressive protest against the claim that Bell had been such an inspiration, plenty of scholarship attests to its truth. And Bell, plagued by reporters, wasn’t always happy about it.

Even after Bell retired, he continued to see patients in the country, and on October 4, 1911, he died peacefully. His funeral, at-tended by many grateful patients, former students, and respectful colleagues, was one of the largest Edinburgh had ever seen.

References Davidson, G. (2006, June 29). Detecting signs of Holmes from home. Edinburgh Evening News. Guthrie, D. (1949). Medicine and detection: Dr. Joseph Bell and others. Medicine Illustrated 3(5), 223-226. Joseph Bell Centre. (2005). Retrieved from http://www.cfslr.ed.ac.uk/ Liebow, E. M. (1982). Dr. Joe Bell. Bowling Green, OH: Bowling Green University Press. More, J. W. (1908). Famous Scottish and British tri-als: The trial of A. J. Monson. Edinburgh: W. Hodge. Smith, S. (1959). Mostly murder: An autobiography. New York: Dorset Press. Wagner, E. J. (2006). The science of Sherlock Hol-mes. New York: John Wiley & Sons, Inc. Wallace, I. (1955). The real Sherlock Holmes. The fabulous originals. New York: Alfred A. Knopf. 22-46. Wilson, C. & Wilson D. (2003). Written in blood: A history of forensic detection. New York: Carroll and Graf Publishers. n

ABOUT THE AUTHOR

Katherine Ramsland, PhD, CMI-V, has published 35 books, including The Devil’s Dozen: How Cutting Edge Forensics Took Down 12 Notorious Se-rial Killers and Beating the Devil’s Game: A History of Forensic Science and Criminal Investigation. Dr. Ramsland is an associate professor of forensic psychology and the department chair at DeSales University in Pennsyl-vania. She has been a member of the American College of Forensic Examiners since 1999.


BOOK REVIEWS

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The Devil’s Dozen: How Cutting-Edge Forensics Took Down 12 Notorious Serial KillersBy Katherine Ramsland, PhD, CMI-V

Katherine Ramsland’s latest book, The Devil’s Dozen, once again highlights her command of history and forensic knowledge, fusing it with her interest-ing and approachable narrative voice. In the book, Ramsland examines the cases of 12 serial killers, offering de-tailed descriptions of the killers and in-sightful commentary on their crimes. Each chapter illustrates how these cas-es affected forensic developments and investigation techniques. The Devil’s Dozen is a collection of some of the

most fascinating cases and instances of innovative investigation. It lauds the trailblazer. Ramsland explains this collection: “Over and over, we see someone at a dead end in a frustrating investigation looking around for a technique, approach, or technology that no one had yet considered, and boldly trying it out.”

Ramsland’s introductory example takes us to Germany in the 1800s, when an aging woman of no means had limited options for providing for herself. Anna Maria Schonleben nee Zwanziger’s most feasible solution? Get hired as a wealthy man’s most dedicated servant and entice him to marry her. If the man had a wife compli-cating this plan, Anna could always poison her with arsenic. As the body count began to add up in Anna’s attempts to safeguard her fu-ture, investigators closed in as they developed the earliest techniques of arsenic analysis. This unique case is just a teaser for the reader; though an engaging story and a remarkable tale of investigation, the German poisoner isn’t even one of the focal cases of The Devil’s Dozen. The 12 cases featured in the book span the course of two centuries, multiple countries, and vary in both nature of the crime and methods of investigation. Justice prevails based on the results of handwriting or chemical analysis, behavioral profiling, and even careless slip-ups by the killers. The investigating authorities were constantly developing techniques and pushing themselves beyond limits. Ramsland asserts this necessity, “Common to all the cases presented in this book are persistence, flexibility, the importance of innovative thinking, and the ability to initiate dialogues across disciplines. The Devil’s Dozen is not only a series of compelling case studies, but also an inspiration to investigators. n

COFE Update

LeadAmerica, COFE’s partner as-sociation, recently held its first CSI summer camp of the year in San Francisco at the University of California at Berkeley. LeadAmerica’s mission is to “inspire and empower the next generation to achieve their

full potential and instill a sense of purpose, integrity, and personal responsibility.” Their youth leadership conferences offer students unique and dynamic career-based simulations. A 10-day program, the CSI camp offers students the chance to gain first-hand forensic experience to hone their skills and spark their

passion for the art of the investigation. Some highlights of the camp experience include a crime scene simulation, hands-on forensic train-ing in multiple fields, interactive leadership development workshops, field experiences and excursions, as well as briefings, lectures, and dis-cussions with forensic experts. Students who attend the camp can earn up to 2 college credits. COFE also grants an official certificate recognizing each student who successfully completes this program. Upcoming conferences will take place at Bentley University in Boston and Fordham University in New York.

For more information on this and upcoming LeadAmerica camps, go to http://www.forensiccommission.com/ and click on the LeadAmerica link. n

SM

Katherine Ramsland, PhD, CMI-V, has published 35 books, including The Devil’s Dozen: How Cutting Edge Forensics Took Down 12 Notorious Serial Killers and Beating the Devil’s Game: A History of Forensic Science and Criminal Investigation. Dr. Ramsland is an as-sociate professor of forensic psychology and the department chair at DeSales University

in Pennsylvania. She has been a member of the American College of Forensic Examiners since 1999.


COMMISSION ON FORENSIC EDUCATION

After 16 years, 2 months, and 27 days in custody of the Illinois Department of Corrections for a murder he did not commit, Thaddeus Jimenez was released. He was released at age 30, con-victed at 14—making him Illinois’s youngest person at the time of his arrest ever to be fully exonerated. A February 1993 gang shooting in Chicago resulted in the death of 18-year-old Eric Morro. Morro was walking with his friend, 14-year-old Larry Trueffel, when the two got into an altercation with two other teens. Morro was shot in the chest and died at the scene. Initially, no eyewitnesses identified Jimenez’s presence at the scene, much less his guilt. Later that night, one of these eye-witnesses called the police and amended his statement, saying that Jimenez shot and killed Morro (Center on Wrongful Convictions [CWC] & Katten Muchin Rosenman, 2009). Thirteen-year-old Jimenez had a long arrest record linked to his involvement in the gang; despite contrary evidence pointing to another suspect, the primary investigation focused on Jimenez. Trueffel was brought in again for questioning; police brought the 14-year-old to the station in the middle of the night and inter-rogated him for hours without his parents present. Trueffel even-tually agreed that Jimenez was the murderer, though he had never mentioned Jimenez in his previous statements. Jimenez was arrested early the next morning. Victor, an accomplice to the murder who would be Jimenez’s co-defendent, did not know Jimenez and identified Juan Carlos Torres as the shooter. Police even had a taped confession by Torres, whom Jimenez fingered as the murderer during his ini-tial trial (Walberg, 2009). The father of a 12-year-old allegedly present at the crime provided a tape of Torres admitting that he ran following shooting Morro and that he was glad the police had charged someone else with his crime (Dimanno, 2009). But this tape was not given consideration in the original investigation, and eyewitness testimony secured Jimenez’s conviction. At the sentenc-ing, the judge described Jimenez as a “little punk, probably too young to shave, but old enough to commit a vicious murder” (as cited in Dimanno, 2009). At the age of 14, Thaddeus Jimenez was sentenced to 45 years in prison.

The Center on Wrongful Convictions (CWC) of Northwestern University’s School of Law and Katten Muchin Rosenman LLP have pursued Jimenez’s case since 2005. This partnership of Steven A. Drizin, Alison R. Flaum, and Joshua A. Tepfer of the CWC, and Stuart J. Chanen, Rachel M. Vorbeck, Patrick C. Harrigan, and Aaron M. Chandler of Katten Muchin Rosenman LLP has put in thousands of hours of pro bono work on Jimenez’s behalf. The CWC’s Steve Drizin states, “There were so many red flags point-ing the police and prosecutors in the direction of the true perpetra-tor, and we had to do that again 16 years later” (as cited in CWC, 2009). Finally, on July 31, 2006, Trueffel offered them a taped statement revealing that Torres, not Jimenez, was the shooter. May 2007, another eyewitness recanted her testimony against Jimenez as well. Jimenez’s lawyers took the case to authorities in September of 2007 (Dimanno, 2009). It was at this point that investigators more closely analyzed the tape with Torres’s confession. They fi-nally gave due attention to the evidence that would clear Jimenez’s name—evidence that had been available all along. The morning of May 1, 2009, police arrested Torres for the murder of Eric Morro. At 7 pm that night, Jimenez was released from prison and greeted by several of the lawyers who had worked so hard to set him free (CWC, 2009). From there, they took Thaddeus Jimenez to a steak dinner and drove him home for a tearful reunion with his mother. The newly issued certificate of innocence should help Jimenez find a job, and it entitles him to claim up to $200,000 as com-pensation from the state for his years of wrongful imprisonment (Walberg, 2009). Like many individuals who are exonerated after long incarcerations, Jimenez just wants to get his life back: “I’m happy that it’s done. I’m out. It’s over with. I’m a free man and I have a new start. . . . Let bygones be bygones” (as cited in Hussain, 2009). Drizin says Jimenez’s case highlights the need to electroni-cally record all investigative interviews of children and for courts to be more receptive to evidence of innocence, especially of a third-party’s guilt and recantation evidence (CWC & Katten Muchin Rosenman LLP, 2009). But for now, Drizin and his associates can take pride in their role in Jimenez’s remarkable story. Drizin de-scribes Jimenez’s immersion into a new world of freedom, includ-ing the young man’s confusion when being handed a cell phone for the first time: “Slowly but surely, he’s trying to stick his toe into the real world” (as cited in Dimanno, 2009).

References Center on Wrongful Convictions (CWC). (2009). CWC client arrested for murder at 13, exonerated at 30. Northwestern Law Retrieved May 27, 2009, from http://law.northwestern.edu/wrongfulconvictions Center on Wrongful Convictions (CWC) & Katten Muchin Rosenman LLP. (2009). Press release. Northwestern Law Retrieved May 27, 2009, from http://law.northwestern.edu/wrongfulconvictions Dimanno, R. (2009, May 6). 16 years later, justice and freedom. The Star. Retrieved May 27, 2009, from http://www.thestar.com/news/columnist/article/629657 Hussain, R. (2009, June 3). Man wrongly convicted as teen of murder formally cleared. Chicago Sun Times Retrieved May 27, 2009, from http://www.suntimes.com/news/metro/1605617,thaddeus-jimenez-wrong-conviction-060309.article Walberg, M. (2009, June 4). Piece of paper means the world. Chicago Tribune Retrieved June 4, 2009, from http://www.chicagotribune.com/news/local/chi-ex-onerate-04-jun04,0,6929640.story n

FALSELY ACCUSED

Falsely Accused: Wrongly Convicted Teen Set Free

sJimenez moments after his release from the Hill Correctional Center in Galesburg, IL (in the background). To his left is attorney Stuart Chanen, to his right is Steven Drizin.



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