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FFOORREENNSSIICC HHUUMMAANN IIDDEENNTTIIFFIICCAATTIIOONN An Introduction © 2007 by Taylor & Francis Group, LLC FFOORREENNSSIICC HHUUMMAANN IIDDEENNTTIIFFIICCAATTIIOONN An Introduction Edited by Tim Thompson and Sue Black BAHID British Association for Human Identification Boca Raton London New York CRC Press is an imprint of the Taylor & Francis Group, an informa business © 2007 by Taylor & Francis Group, LLC CRC Press Taylor & Francis Group 6000 Broken Sound Parkway NW, Suite 300 Boca Raton, FL 33487-2742 © 2007 by Taylor & Francis Group, LLC CRC Press is an imprint of Taylor & Francis Group, an Informa business No claim to original U.S. Government works Printed in the United States of America on acid-free paper 10 9 8 7 6 5 4 3 2 1 International Standard Book Number-10: 0-8493-3954-5 (Hardcover) International Standard Book Number-13: 978-0-8493-3954-7 (Hardcover) This book contains information obtained from authentic and highly regarded sources. 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For orga- nizations that have been granted a photocopy license by the CCC, a separate system of payment has been arranged. Trademark Notice: Product or corporate names may be trademarks or registered trademarks, and are used only for identification and explanation without intent to infringe. Library of Congress Cataloging-in-Publication Data Forensic human identification / [edited by] Timothy Thompson, Susan Black. p. cm. Includes bibliographical references and index. ISBN 0-8493-3954-5 (alk. paper) 1. Identification. 2. Dead--Identification. 3. Forensic pathology. I. Thompson, Timothy (Timothy J. U.) II. Black, Sue M. RA1055.F67 2006 614’.1--dc22 2006048966 Visit the Taylor & Francis Web site at http://www.taylorandfrancis.com and the CRC Press Web site at http://www.crcpress.com © 2007 by Taylor & Francis Group, LLC Foreword The British Association for Human Identification (BAHID) held its first scientific meeting at Glasgow University in October of 2001. As it now approaches its fifth birthday, it has grown to more than 500 members with a respected and recognized academic profile. The individual interests of the membership encompass a wide variety of disciplines within this multifaceted area, and one of the strengths of the association has been the introduction of members to each other’s areas of expertise at the scientific sessions. It was believed that an introductory textbook would be pertinent, especially as more than 20 percent of the members are undergraduate or postgraduate students. The text does not claim to be a definitive reference on identification but rather seeks to introduce the reader to a number of the different specialties that operate under the umbrella of human identification. It does not cover every single aspect of the subject but draws upon the specific expertise within the association and aims to provide an introduction — primarily to the student, but also to others interested in unfamiliar areas. The text has been separated into two parts. The first considers biological indicators and methods of determination in 21 chapters broken down into wider headings including biomolecular information, identification from prints and tissues, facial reconstruction, and personal effects. The second part considers the context and significance of biological human identification. It culminates in three case studies that exemplify the value of the identification process in criminal and humanitarian arenas. In recent years, the headlines have been dominated by disasters such as the Asian tsunami and the London tube bombings, so that never before has biological human identification been more relevant. It is a pleasure, as president of BAHID, to highly recommend this book as an introduction and to thank the participants who have willingly contributed so much of their time and energies to this project. Louise Scheuer President, British Association for Human Identification © 2007 by Taylor & Francis Group, LLC Editors Tim Thompson is a lecturer in forensic anthropology at the University of Dundee, Scotland. He holds a Bachelor of Science (Honors) degree in archaeological science and geography, a Master of Science degree in forensic anthropology, a postgraduate certificate in higher education and a Doctor of Philosophy degree in forensic anthropology. He has been a practicing forensic anthropologist since 2000 in both the U.K. and abroad for the Foreign and Commonwealth Office (FCO), British police forces, and private clients. He is membership secretary for the British Association for Human Identification, a registered practitioner with the Council for the Registration of Forensic Practitioners, an accredited member of the Forensic Science Society, and a listed expert on the National Centre for Policing Excellence database. Currently Dr. Thompson’s main research interests include the examination of heat- induced changes in bone; improving methods of human identification; the legal, ethical, and social ramifications of forensic anthropology; forensic anthropology and education; and the management of mass fatality incidents. He has published many papers on these topics, and peer reviews articles for several leading forensic journals. Sue Black, head of anatomy and forensic anthropology at the University of Dundee, is a founding director of the Centre for International Forensic Assistance. She holds a Bachelor of Science (Honors) degree and a doctorate in Human Anatomy. She also holds an honorary Doctor of Science degree in recognition of services to forensic anthropology and is a Fellow of the Royal Society of Edinburgh. Prof. Black has more than 20 years of experience in the national and international field of forensic anthropology and human identification, and has given evidence in criminal and coroner’s courts in the U.K., Europe, and U.S. In her professional capacity as a forensic anthropologist, she has assisted the British government, various European and foreign governments, national and international police forces, military investigators, the U.N., and the FBI. She is lead assessor for forensic anthropology and a registered practitioner for the Council for the Registration of Forensic Practitioners, founder member for the British Association for Human Identification, and a registered expert with the National Centre for Policing Excellence. She was awarded the Order of the British Empire in February of 2002 for services to forensic anthropology in Kosovo. Professor Black has published many academic papers and is coauthor of the award-winning text Developmental Juvenile Osteology. © 2007 by Taylor & Francis Group, LLC Contributors Sue Black Sibte Hadi Anatomy and Forensic Anthropology Department of Forensic and Investigative Science College of Life Sciences University of Central Lancashire University of Dundee Preston, U.K. Dundee, U.K. James H. Hardy Teri Blythe Dental Centre, Minley Identification and Reconstruction Department Gibraltar Barracks, Blackwater National Missing Persons Helpline Camberley, U.K. London, U.K. Ian Hill Dave Charlton Department of Aviation Pathology Scientific Support Unit RAF Centre of Aviation Medicine Leicestershire Constabulary Henlow, U.K. St John’s, Enderby Leicester, U.K. Emily Hines Association of Forensic Radiographers James Clarkson London, U.K. Ninewells Hospital Dundee, U.K. George J.R. Maat Barge’s Anthropologica John Daugman Department of Anatomy Computer Laboratory Leiden University Medical Center University of Cambridge Leiden, The Netherlands Cambridge, U.K. Gaille MacKinnon Vivianne Galloway Independent Forensic Anthropologist Scientific Support Unit Banffshire, U.K. Leicestershire Constabulary St John’s, Enderby Wolfram Meier-Augenstein Leicester, U.K. Environment and Engineering Research Centre M. Thomas P. Gilbert School of Civil Engineering Queens University Belfast Center for Ancient Genetics Belfast, U.K. Niels Bohr Institute University of Copenhagen Lynn Meijerman Copenhagen, Denmark Department of Anatomy and Embryology William Goodwin Leiden University Medical Center Department of Forensic and Investigative Science Leiden, The Netherlands University of Central Lancashire Christopher Milroy Preston, U.K. Department of Forensic Pathology Michael G. Grant University of Sheffield Plymouth Marine Laboratory The Medico-Legal Centre Plymouth, U.K. Sheffield, U.K. © 2007 by Taylor & Francis Group, LLC x Forensic Human Identification Amy Z. Mundorff Philip Sincock Department of Archaeology Devon and Cornwall Police Simon Fraser University Dorchester, U.K. Burnaby, British Columbia Iain Henry Stewart Terry Napier LGC-Questioned Documents Section Napier Associates Teddington, U.K. York, U.K. Kari Takamaa Will O’Reilly Department of Forensic Medicine Operation Minstead Helsinki, Finland Kent, U.K. Andrew Thean Geoffrey Oxlee Institute of Applied Physics Kalagate Imagery Bureau Netherlands Organisation for Applied Research Cambridgeshire, U.K. The Netherlands Alan Puxley Tim Thompson Kenyon International Emergency Services Anatomy and Forensic Anthropology Bracknell, U.K. College of Life Sciences University of Dundee Helena Ranta Dundee, U.K. Department of Forensic Medicine Helsinki, Finland Cornelis van der Lugt Politieacademie Catherine Rock Apeldoorn, The Netherlands Association of Forensic Radiographers London, U.K. Wesley Vernon Sheffield Podiatry Service Guy N. Rutty Sheffield, U.K. Department of Cancer Studies and Molecular Medicine Mark Viner Leicester Royal Infirmary Association of Forensic Radiographers and Leicester, U.K. St. Bartholomew’s and the Royal London Hospitals London, U.K. Maureen Schaefer Anatomy and Forensic Anthropology Caroline Wilkinson College of Life Sciences Anatomy and Forensic Anthropology University of Dundee College of Life Sciences Dundee, U.K. University of Dundee Dundee, U.K. Louise Scheuer Anatomy and Forensic Anthropology Andrew S. Wilson College of Life Sciences Department of Archaeological Sciences University of Dundee University of Bradford Dundee, U.K. Bradford, Yorkshire, U.K. Natasha Semmens Sophie Woodforde Department of Law Identification and Reconstruction Department University of Sheffield National Missing Persons Helpline Sheffield, U.K. London, U.K. © 2007 by Taylor & Francis Group, LLC Introduction Identity In philosophy, “identity” is whatever makes an entity definable and recognizable, in terms of possessing a set of qualities or characteristics that distinguish it from entities of a different type. “Identification,” therefore, is the act of establishing that identity. In the 17th century, John Locke proposed his tabula rasa (blank slate) philosophy, which concluded that the newborn child is without identity and that it is entirely defined by society and circumstances after birth. While this may have some basis for discussion in the worlds of metaphysics, psychology, and social anthropology it has restricted relevance in the worlds of disaster-victim identification, biometrics, and forensic science. It is, however, true to say that, although many of our parameters of biological identity may be acquired after birth (tattoos, trauma, disease, dental intervention, etc.), many are biologically inherent and established in the period between conception and birth (DNA profile, sex, fingerprints, blood group, etc.). The United Nations Convention on the Rights of the Child is the only international convention that addresses the subject of identity as a fundamental human right by pro- claiming that childhood is entitled to special care and assistance. There is no equivalent international article relating to the adult and therefore these rights pertain only until the age of 18 years or when the child is deemed to have attained majority. Articles 7 and 8 of the Convention explicitly refer to the child’s right to an identity. Article 7 of the Convention establishes that, from birth, every child has the right to a name and to have that individuality recognized. Article 8 emphasizes the preservation of that identity and the fundamental importance of preserving that name, nationality, and family belonging. The right to an identity is largely defined as the “existential interest of each person in not seeing the external or social projection of his or her personality upset, denaturalized, or denied.” Yet the notion of human “identity” is a somewhat abstract and ephemeral concept that relies upon philosophy and psychology for its interpretation and implies the existence of a private space or lebensraum for each person regarding attitudes, actions, and beliefs. As such, we live under the somewhat misguided conception that each and every one of us is unique, although identical twins and doppelgangers highlight some obvious inconsistencies in this approach. Further, the conundrum of mistaken identity and identity theft has fascinated humanity and formed the cornerstone of many aspects of literature, film, television, and criminal reality. Shakespeare, Gilbert and Sullivan, and Dumas are among the many literary masters who have entertained audiences with the well tried formula of identity deception, investigation, and ultimate moral satisfaction achieved through exposure and justice. Yet, by its very nature, misappropriation of identity is a crime that may require forensic assistance to reach a resolution and, in such a situation, scientific verification generally assumes central relevance. © 2007 by Taylor & Francis Group, LLC xii Forensic Human Identification Human Identification We live in a society where personal and national security is ever more prominent on our agendas, and so we require more stringent and reliable measures to verify and secure our identities. Although, in Dumas’ world of Martin Guerre, identity was finally established through trickery and confession, in today’s world a simple DNA comparison with his son (Sanxi) would have solved the problem beyond all reasonable doubt. Biological indicators of identity harness the composite “uniqueness” of our bodies to provide signatures that can confirm our legitimacy with reasonable certainty and, by natural extension, confirm the provenance of our physical remains in the event of death. Maintaining and protecting the integrity of our identity has reached levels of unprecedented importance and has led to international legislation designed to protect our human rights. However, we rather confusingly also retain the rights to multiple identities (e.g., as performers do) and to change our identity (e.g., security personnel) and so the concept of assigning one single identity to one single physiological being is inherently flawed. Equally flawed is the utilization of the word “identity.” It originates from the Latin “idem” which means “the same,” i.e., identical. This causes a rather conspicuous problem for identification in relation to biological organisms such as humans, as by their inherent nature they are not static, but grow and alter with the passage of time or the introduction of different environments or stimuli. The German philosopher Gottfried Leibniz proposed a law that states: X is the same as Y if, and only if, X and Y have all the same properties and relations. Thus, whatever is true of X is also true of Y, and vice versa. For this argument to hold true, then change in any property would imply that the original form no longer exists and has been replaced by an entirely new form. Every little change in every little property would mean the whole original is destroyed. Leibniz’s Law can be salvaged for the real world, however, when the statement is time-index-linked by allowing properties to be described as occurring at particular times and therefore accepting and recognizing the importance and effects of a time-related continuum. The Greek philosopher Heraclitus upheld the metaphysical approach to identity and change by stating that “No man can cross the same river twice, because neither the man nor the river can remain the same.” This is a fundamental problem in the confirmation of identity of a biological form as it does not remain “identical” at any two points in time. Philosophers have long tackled the thorny question of just how much change an identity can tolerate. The quandary of change or replacement in relation to identity is typified by the “Theseus paradox.” In classical Greek mythology, the ship that brought Theseus home from Crete (after the Minotaur incident) was faithfully preserved for generations. The old planks were removed as the wood decayed, putting in new and stronger timber in their place, insomuch that this ship became a standing example among philosophers for the debate over the constancy of identity in relation to change. One side held that the ship remained the same, while the other contended that it was not identical and therefore not the same. But how much replacement is required, or can be tolerated, before that point of common identity is lost? The composition of the baby has been completely replaced, yet © 2007 by Taylor & Francis Group, LLC Introduction xiii she retains the same identity as the teenager whose biological components will again be completely replaced by the time she becomes an old woman. Yet, in terms of identity of the individual, they are all considered to be one and the same person who has metamor- phosed yet maintains a continuity of person through a traceable history and the retention of verifiable facts. But, does this still hold when the woman develops Alzheimer’s disease and she can either no longer prove or recognize her own identity? This implies that identity can operate independent of the individual and is therefore a much wider social concept rather than solely restricted to appreciation of “self.” Identity can of course be traced through reasonable channels of change but some specific characteristics are independent of extraneous change and therefore have the ability to operate on an isolated level. These verifiable biological parameters of identity exist independent of the internal psychological “self” (e.g. DNA, fingerprints, and blood grouping) and tend to be those inherent characteristics that develop between the period of conception and birth. Even in the world of identical twins and doppelgangers, these factors can retain the discriminatory capability to identify the individual beyond reasonable doubt. Humans do not have the inherent capability exhibited by some life forms to display complete body transformation (e.g., the caterpillar into the butterfly). Yet there is some speculation that the rise in cosmetic surgery, organ and bone marrow transplants, blood transfusion, genetic engineering, and even cloning may be the human biological equivalent of the paradox displayed by the ship of Theseus. Identification requires the comparison of two data sets to establish their likelihood of belonging to one and the same individual. Aristotle’s law of identity states that for two objects to be identical then the predicate must equal (not approximate) the subject (i.e., A=A). Yet the concept of biological change requires greater flexibility in this law so that it is perhaps more appropriate to refer to it as A=A* (reflecting Leibniz’s time-indexed law) where the asterisk introduces the possibility of accountable change. In the field of biological human identity it is essential that the value attributed to that asterisk be as small as possible. The distance between the two data sets, in terms of statistical probability, must be low if the two are to be linked with confidence and forensic credibility. It is vital that one of these data sets must be grounded in the certainty of verifiable identity. For example, the DNA sample retrieved from the toothbrush of the missing person must be shown to be indigenous and not a contaminant. Once verified, this information forms the baseline upon which other DNA samples will be compared until a match is confirmed — bringing together two data sets of identity information. A mistake in the verifiable data set will never lead to a confirmation of identity. This approach is central to the premise of DVI (disaster victim identification) rationale but is equally applicable to the suspect/perpetrator scenario or to the abductee/missing-person concept, all of which concentrate on issues of identification. Therefore, in biological identity, we can accept that with regard to the definition of “change,” an object changes with respect to a property, providing that object has that property at one time, and, at a later time, the object does not. What changes is the fact that the object has a particular property. The only way that property can change is if the object remains in existence. One can therefore think of a continuing object as the axis for change, or indeed the arena where change occurs. The confirmation of identity of the biological form therefore accepts change, and judicially we interpret that change through the realms of statistics, probability, and rationality. The formulation of the approach is therefore: How likely is it that “x” can equate to “y” knowing or assuming the potential for realistic change between the two points? © 2007 by Taylor & Francis Group, LLC