ANTHROPOLOGY IN A FORENSIC CONTEXT Tal Simmons and William

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ANTHROPOLOGY IN A
FORENSIC CONTEXT
Tal Simmons and William D. Haglund
6.1 Background
Forensic anthropology is that branch of applied physical anthropology concerned with
the identification of human remains and associated skeletal trauma related t o manner
of death in a legal context (Keichs 1 9 9 8 ) . In the United States. the past t w o decades
have witnessed thc medico-legal community embracing forensic :~nthropologyas a
forensic specialty. The traditional role of the anthropologist has been t o determine
sex, race, agr, and stature of skeletal material t o assist in human identification. More
recently, this niche has expanded via a major evolution into the realm of fleshed, decomposing, hurnt, and dismembered remains. Toclay, anthropologists provide expertise in
the recover! of remains, assist with identification of deco~nposcdo r burnt remains,
interpret trauma t o hone, assist with multiple fatality incidents, and provide court
testimony. Auxiliary techniques, such as creati013 of visages from the skull and photosuperimposition often fall within the expertise of the forensic anthropologist in the USA
(Haglund and Rodriguez 1998), though not in the UK where it remuins a separate
specialis~u.U n f o r t ~ ~ n a t e l ythere
,
has been a Ing in the acceptance of archaeologists1
anthropologists in other parts of the world, including the UK, where they have barely
begun their adolescent entry into the forensic community (Hunter et ill. 1996; see also
Chapter 1, Section 1.3).Thus, while this chapter has wide application, much o f the
casework and experience is derived from US sources.
T h e acceptance of forensic anthropology in ~ 3 ninternational setting has, in contrast, a relatively long history, beginning with the 1984 investigations of Eric Stover
a n d a team of forensic scientists from the American Association for the Advancement
of Science (AAAS), w h o began the exhumation of mass graves in a search for thc
disnppeared in Argentina (Stover a n d Kyan 2 0 0 1 ) . This work is ongoing and has
also led t o the use of mtDNA comparisons of the deceased a n d living relatives for purposes of identification (Boles et nl. 1995) and has included the creation of a voluntary
National Genetic Data Bank for this purpose (Stover and Ryan 2001 ). 111 Guatemala
the use of torensic anthropology became established in 1991 a n d has continued t o
the present where only reliitivcly recently (since 1998) have individuals heen hrought
t o trill1 and the anthropological evidence heard in court. Both Argentina and Guatemala
have established permanent national forensic teams as a result of the early training
they received during these investigations. Stovcr, Clyde Snow and other international
forensic and human rights experts were also involved in investigntions in Iraqi Kurdistan
in 1991.
The date that hallmarks n burgeoning of activity for anthropologistslarcheologists
in the nrenki of international forensic investigations was 1996. l'his evolution was
spearheaded by the eniploymcnt o t forensic specialists by the international criminal
trillunals tor R\va~ida(ICTII) and the E'onl~erYugoslavia (1C:TY; see also Chapter 1 ,
Section 1.7 a n d Chapter 7, Section 7.7).111 1996, over 1,200 bodies in Rwanda, Croatia,
' ~ n dtlie Kepuhlika Serhska area of Bosnia in Hcrzegove~iia\vere ex-Iiumed by teams
fro111 Physicians for H u n ~ a nKights (I'HR), under the auspices 0 1 the ICTR and ICTY
( H n g l u ~ ~2002).
d
X recently published csarnple of the use of forensic archaeology
es~lminescscavations carried out by experts provided by the PHK (Connor and Scott
200 1 ). Connor and Scott discuss the Killuye ( R w a n d a ) case in sollie detail. Other
chapters in tlie sanie volume (Stover and Ryan 2001; Connor and Scott 2 0 0 1 ) briefly
~ i ~ c n t i ocases
n
in the former Yugoslavia.
As f o r e ~ ~ s nnthropologists,
ic
the authors have been involved in the euhunlation
and identification of victims of war, ethnic cleansing andlor genocide in the former
Yugoslavia, Sri Lanka, Cyprus, Guatemala, Rwanda, and many other countries. No
individual forensic anthropologist acts alone in this type of investigation; rather
it necessitates the cooperation of multiple agencies and organizations - many of
which have c c ~ ~ ~ i p e tagendas
ing
or mkindates. The work is by definition multidisciplinary
and it integrates all four fields of antliropology (biological, cultural and linguistic, and
archaeological) as well as a variety of other disciplines including pathology, odontology,
c s i ~ ~ ~ i ~ i a l i sand
t i c sthe la\v. T h e political environment in wliich a11 of this takes place
has, for better or worse, a great influence on the process of investigation and, ultimately
on the identification of victims. There are numerous responsihilitics accorded to the
torensic anthropologist involved in this process: to maintain tlie scientific integrity
of the investigation; t o maintain and contorm t o the appropriate legal conventions of
thc investigation; and t o fulfill hislher responsibility t o the local c o m ~ n u n i t yaffected
hy the events. All three aspects are important and in many cases unique to each location
and investisation, often requiring the application of different guidelines, protocols
and standards and invoking new and different pressures from various agencies and
individuals.
In recent years, the role of the forensic anthropologist has expanded in scope within
the boundaries o f the USA in the context of medico-legal investigations. It has also
developed within the increasing nurnber of international human rights forensic projects
with \rhich the a~lthropologicalcomn~unityhas becon~einextricably involved. While
the same basic tech~~iclues
are useful in both contexts, flexibility is prerequisite to conducting ~ i i o s tinvestigations. An experienced torellsic anthropologist must know how
to cope with situ:itions where the ideal protocol and methodology are both followed.
wen
However, in situations where they are either not pragmatic or unavailable in a b'
situation, helshe must know w h a t of the 'ideal' may be eliminated without losing
necessary information. This chapter discusses aspects of a m i ~ i i m u me x a n ~ i n a t i o n
protocol. It is not meant t o be a manual of antl~ropologicaltechniques, as it is assu~lled
that personnel responsible for these tasks will have adequate training in the field of
forensic anthropology.
6.2 The analysis
6.2.1 The skeletal inventon1
The first phase of the analvsis begins Lvith a skeletal inventory of the presence/absencc
of each element, as well as any duplic;ltion of elements tliat night be present (indicating
that there is more than one individual represented). Placing the remains in anatoniical ortlcr also allows ease of conipletion of skeletal inventory, which is criticlll to
documenting and maintaining chain of custody (Figurc 6.1). This inventory should also
indicate trag~nentarybones; yet thcse should not be espressed numerically as these
may s~ibsequentlydisintegrate into smaller f r a g ~ n e n t sand the 'number' becomes
problematic because the numbers change. The inventory must also note the condition
of the remains a t this stage of the analysis, including a taphonomic assessment of postmortem damage (e.g. staining, carnivore or rodent gnawing, breakage, \veatliering, root
etching, etc.). T h e condition of each element should be noted. It is recommended
tliat the anthropologist prepares in advance ,I list of post-lnorteni damage likely t o be
seen in forensic cases. Anticipating ~ v h a tis probably going t o be encountered allows
tlie anthropologist t o predetermine h o w things will be described. While not a defining
tactor in most single-case forensic work, the standardization of descriptive terminology
and its recording becomes essential in mass disasters and international human rights
and hulnanitarian projects which require tlie processing a n d documentation of hundreds
of remains (below). Likcwise, standardized views of the skeleton should be taken as
well. Such photographs should include the following: a skeletal overview of the indi~ i d u a in
l anatomical order; the ~ n ~ s i l l and
a r ~mandibular dentition; all elements used
to esci~natethe age of a n individual; all ante-mortem trauma or pathology, < ~ n all
d
peri-morten~trauma.
/-/,yllte
6.1 A torens~cc,iw l a d out
rlll,lt~~~lllc'lll~
6.2.2 The biological profile
The second phase of the analysis is concerned ~ v i t hcreating a basic biologic-ill profile
of the individual skeleton: determining sex, ancestry (if relevant t o the identification
of individuals for repatriation and/or judicial needs), age, and stature during life. It is
not the intention to repeat what is widely understood a b o u t basic anthropological
methods but t o stress issues of key concern in forensic applications. It is, however,
necessary t o review 'ispects of methodology that arc generalty not well reviewed in
standard osteological texts.
6.2.2.1 Sex
Sex ( n o t gender) must be assessed first, as it will prescribe the methods used for tlie
estimation of both age and stature. When a biological anthropologist examines a skelesex, not his o r her gender. Sex is a lliological
tun, lietshe is determining the individ~~al's
consequence of chromosomal inlieritnncc; gender is a social construct hased on how
the individual self-identified, was cl~lssifiedby histher culture, and behaved during life.
While gender mo! be inferred from the context in which the skeleton appears (clothing,
personal cttccts, ctc.), the anthropologist needs t o assess the skeleton independently of
these features first to determine biological sex.
Method\ for determining sex are discussed in standard texts s~iclias White (2000),
and France ( 1 9 9 8 ) . a n d critically reviewed by many others such a s Mays and Cox
(2000).Sex difterences niay be observed in the hum'ln skeleton after the onset of puberty
nnd n o attempt S I I O L I I ~ be rn~~cie
t o appraise the sex of :In individual whose innominate
m , of an individual w h o displays a complete lack
is not fully fused a t the a c c t a l > ~ ~ l u nor
of epiphyseal ~ ~ n i oofnthe long hones. D N A can he used t o determine the sex of infants
and j~ivenilcs.Caution ~lluctbe applied when transferring anthropolosical techniques
from o n e population t o the neut c~ntilthe anthropologist becomes familiar with the
normal range of variation hct\vcen mules and females within any given population.
I n certain populations, most notahly the United States, it is also possible t o assess
sex osteometricnlly from the c r a i l i ~ ~ iby
l l eniploying a discriminnnt Function. Several
s not be
notes of caution are warranted. The f e a t ~ ~ r ~e ~s p p l i c a btloe US p o p ~ ~ l n t i o nliiay
appropriate i t applied t o the remains of individu:lls derived from other geographic
regions. For csample, the crania of Japanefe rnnles are extremely gracile hy American
s
Sledzik and Ousley 1 9 9 1 j and may be classified incorrectl~,usins
standards ( R ~ s 1983;
LJS metric and visual cues. ( A more reliable, i t sul~tle,indicator in these cases is the
i l present in Japi~ncsc~ n ~ l eBass
s , 1983.) In another ex~imple,
extenclcd s ~ i p r a m e a t ~crest
if the population t o which nn individual belongs is unknown, osteon~etricallybased
discriminant functions ni:l\ clnssify tlie individual incorrectly because ancestry cannot
be taken into coiisider,itio~~.
Newer forni~ilae(e.g. FOKDISC 2.0; Ousley and J a n t z
1996) calculated from cr,lnial measurements obtained from a broad geographic sample
, ~ l l o wone to i n p ~ i t1' single series uf Ineasureinents and receive a n output providing
inform,~tionof both sex and ancestry simultaneuusly. However, caution is warranted
in ~ipplyingthis method as well; like all statistical packages, the program will always
cl.icsify the data input into the categories nv:~il:lblet o it - and only illto those categories
k n o ~ v nt o it. It n i ~ ~ also
s t he noted that, ns ~ v i t hmorphological assessment, metric
methods ,Ire ~ l l s opopulation specific a n d cannot be applied indiscriminately.
Onl). i t the pelvis ( o r even a single innominate o r pubic bone) and crnniuin are not
available, should tlie antliropulogist turn to other skeletal elements t o determine sex.
While osteometric standards for many postcranial eleinents exist a n d provide a
reasonable degree of :1ccur:1cy (most classify a n individual correctly approximately 8 0
per cent of the time), their reliability is less than that of the pelvis and cr:lnium. Many
of these formulae are hased o n measurement of bony landinarks that correl,lte strongly
t o size differences hetween males and females, such 11s femoral o r hunleri1l head
diaiiieter. They ,Ire, however, like all s t ~ ~ d i in
e s hu~n'lnvariation, population specific.
So the scinie precautions about cross-population npplicahility apply as regarding tlie
t i o n always be done
non-metric observations discussed above. Sex d e t e r ~ t ~ i ~ ~ ashould
using a s many features of the skeleton a s possible. No single indicator is a s accurate
a s a n assessment of the whole.
T h e estimation of ancestry, o r t h e biological a n d geographic origins of t h e individual
according t o their genetic history is a n integral part of the biological profile. While most
medico-legal agencies a s k for a d e t e r ~ n i n a t i o no t t h e rilcc of t h e individual remains
in order t o search ~llissiilgpersons files, it is n o t possible t o precisely correlate social
rile-e a n d biogeographic ancestry. T h e former is primarily based on external differences
perceived t o exist ainong popiilations o r ethnic groups ( a n d definitions niay differ greatly
f r o m country t o c o u n t r y ) a s well a s individual self-identification during life. T h e latter
is biised o n population hiological variability a s inaintaincd via genetic drift a n d marriage
patterns a n d preferences ( n o n - r a n d o m mating). H u m a n variation results f r o m relative
genetic isolation (endogamy) of p o p i ~ l a t i o n sfor long periods o t time, which accentuated
particular characteristics in each population. While solne variability is adaptively based,
m ~ ~ c of
l i it is simply the result of t h e perpetiiation of' particular m o r p h o l o g y d u e
t o I>reeding within a restricted area. T h i s is all relative, a s people living in t h e centrc
of a population area will most reseinhle the 'norm' for t h a t population, while people
o n t h e etlgcs of t h e populatioii will s h a r e characteristics a n d 'blend' with those of
o t h e r adjacent populations. Recause m o r e vari:~tion exists z~~ithill
s o m e popul'ltioiis
t h a n exists l ~ e t z i ~ e them,
~ r n race a s a biological concept is untenable.
T h e al~ilityof most forensic anthropologists in t h e USA t o e s t i ~ n f i t ancestry
e
so that
it does, in fact, correspond with a sociiil race category is n o mystery (Sauer 1 9 9 2 ) . M o s t
o t the tormulac a n d morphological criteria for separating 'whites' troni 'blacks' were
established based o n collections of individuals of k n o w n 'race' w h o h a d d o n a t e d their
bodies t o science, such a s those t h a t m a k e u p t h e Terry C o l l e c t i o ~ ia t t h e N a t i o n a l
M u s e u m of N a t u r a l History a t t h e Smithsonian Institution. In o t h e r w o r d s , t h e
individual cadavers w e r e assessed for sex a n d race while they \yere still fleshed b?- an
anthropologist w h o assigned a social race category t o then?. Then, when anthropologists
later n ~ e a s u r e dtlie remains in these collections t o derive f o r i n i ~ l a efor estimating race,
their race categories were those designated by someoile w h o h a d already established
their 'social' rflce based o n their external appearance. It is n o \yonder, then, t h a t these
skeletally based e s t i n ~ a t e soften a p p e a r t o coincide with socially prescribed categories
t h a t are, however, biologically meaningless.
,An anthropologist is able, nonetheless, t o be fairly accurate in estimating the ancestry
o t individuals. Ancestry is most :lccurately assessed through t h r observation of m o r p h o logical a n d osteometric craniofacial variation (see, for example, [;ill 1 9 9 8 ; Howclls
19-3. 1 9 8 9 ) . Because, howe\,er, tlie majority of foreiisically-oriei~tedcraniofacial studies
have hcen based o n 5kelctons of k n o w n s o c i ~ ~race
l categories, o u r applied categories
of ancestry a r e themselves rather limited ( f o r e x a m p l e , African, E u r o p e a n , Native
American, ~ l n dAsian). Few crania are likely t o exhibit all t h e cl~aracteristicstypicnl
of a given population; t h e anthropologist iiiakes these determinations based o n t h e
presence of 11 majority of characteristics t h a t typity a pilrticiilar ancestral population.
In tlie event t h a t character states a r e tl-illy mixed, t h e anthropologist s l ~ o u l dindicate
t h a t the ancestry of the individual is mixed. A craniuin t h a t displays a n eqi~i\,alenceof
European a n d Native Amel-icnn features s h o ~ i l dsimply he reported a s such, with 110
concession to a social r x e category as this can be very misleading. For esamplr, the
skeleton of ,I !.ouug lvonlan whose cranium displayed such a mix of features was
cxamineci; when identified, it hecame known thnt her father was 'white' hut her mother
\vns n Blnckfoot Indian. In ;lnother incident, the cranium of a young niale clisplayed
,I similnr suite of kutures; when identified, the individual urns :I migrant farm worker
of h l c i c a n ancestry. His social race category w o t ~ l dhave been 'Hispanic' o r 'Latino,'
liut such n c ~ t e g o r yis really n linguistic grouping fraught with implicatior~sthat have
n o biological population hnsis.
A word ot turther caution is appropriate here. In many international investigations
of h u r n a l ~rights ; ~ h ~ ~ sethnic
c c , cleansing a n d gcnocidc. the assessment of ancestry
c:ln he highly inflnm~~i:~tory.
These situations are created when one group of people
accentuate tlic dittcreuces (religious, ethnic, cultural, historical, visu:ll. etc.) between
themselves and nothe her group. While this process may he initiated by political leaders
\vith a nationalistic n g e n d ~ the
, idea quickly spreads via propaganda throughout the
pop~il:ltionnt large. 'l'he consequences arc readily apparent throughout the twentieth
century - the (alleged) Ar~neninngenocide, the Holocaust, the Rwandan gcnocide,
the war in the formcr Yugoslavia, etc. Therefore, it is necessary for the anthropologist
t o consider it-hether ;lssessment of ancestry is truly necessary t o either the identification process o r the j~tdici:ll process. It it is not, it is recommended thnt ancestry
Assessment should not be undertaken The potential ahility of a ' s ~ i ~ n t i sto
t ' differentiate
individuals o n the hasis o t their cranial shape in:ly he adding fuel to the fire by a p p e ~ r i n g
t o legiti~iiizcthe very pr:lcticcs the conseqLrences of which they are investigating.
Estimating the ,Ige ut death from the human skeleton ic argi~ahlythe most important
and the most difficult portion of the analysis (for a critical review of this subject, see
C o x 1000).
Thc in~portanccof age estim:~tionis that it allows the investigator to nnrrow
the search t h r o ~ ~ grnissiny
h
person's records (for all females, for example) to a specific
rclnge (c.g. female5 bet\vecn the ages of 2 5 and 3.5 years). Despite the methodological
problems i n h c r e ~ with
~ t av,~ilabletechniques, the anthropologist must always provide
a range of 3gc, ;IS none of the techniques for estiniation can account for variation in
growth ~ l n dd e g ~ n e r ~ ~ t changes
ive
across sex a n d population differences (see, for
cr:lniple, P,rl.ric ct
2000; Si~nmollse t irl. 1999). With experience, an anthropologist
\ \ i l l be able to provide nn ,lge range estirnate with reasonable accuracy, but not wit11
precision (he o r she \\.ill Iie\er report that 'the individual was 22 years of age' but rather
t h ~ 'the
t i~~dividnnl
WAS 10-25 years ot age'). The anthropologist sho~ildalways examine
~111nv:lilal~leskeletal markers of Age, and not rely o n 3 single agc indic,~tor.The final
age esrimclte must be brolld a n d inclusive; it should incorporilte the age ranges for
.1I1 indicators. For ex;lmple: the epiphyscnl ~ l g cfor a skeleton is 2 17 a n d i 30 years;
the puhic symphysis provides 3 range of 19-34 years; the auricul~lrsurface of the
ilium suggests 30-24 yeL1rs;and the sternal rib morphology indicates 24-28 years (see
Figure 6.2). A n Llge estimate ot 20-30 y e ~ r smight be rather broad, hut not inappropri~lte.X l ~ ~ r g i on ts error s h o ~ ~alw~lys
ld
be stated. It should he rerneolbered that most
ageing methods (juvenile and adult) available to anthropologists are also /)op~rl,ltion
spec-ific.and they may only be applied t o other populations with caution. In juveniles,
nutrition. diicasc, 'lltitude, : ~ n dother environ~ncntalfactor:, have heen demonstrated
t o affect both growth and maturation
rates (Frisancho 1993; Scheuer and
Black 2000). Skeletal and dental ages
are not always in agreement within
the sanle individual (Ubelaker 1987);
as dental development appears t o
be less susceptible to periodic environmental stressors, dental estinlates
should he regarded as the more reliable age indicator. If the individual
suffered from nutritional stress o r
~ ~ skeletal
disease, it is not L I ~ L I S L Ifor
growth t o be retarded by several
Figrrrc,0.2 T h e right fourth sternal rih used t o
n ~ o n t h sor years relative t o dental
estimate ,1ge in a forensic case
maturation. Lkntal development in
sub-adults is the most important
means of age estimation. Both the deciduous and permanent dentition develop t h r o ~ ~ g h
tvell-defined stages of formation and eruption (Garn et al. 1 9 5 9 ) . The best means of
evaluating clental age is radiographic, although a visual inspection is sometimes adequate
tor a rough estimate. Standards for dental eruption exist for several populations, but
the variahilitp should not he ~~nderestirn:ited.
It should be ren~en~bereci
that the sequence
o t development and eruption may be regarded as more fixed than the tinling of eruption.
6.2.2.4 Stature
If the remains contain any complete long bones, stature estimation can be accomplished
for USA and some other populations \vith both ease and accuracy. It must he remembered, however, that as discussed above for other aspects of the biological profile, stature
formulae are population specific t o geographic area and time period. Nutrition, disease,
altitude, and other cnviron~nentalfactors all affect both growth rate a n d trajectory,
and hence they impact upon population target height (and average height). Most stature
formulae art. based on the assumption that a long bone is proportionally related t o the
overall stature of the individual. Stature estimation can he quite accurate (if not precise)
tvhen the individual is compared t o a population ~ v i t hestablished growth curves, known
average statures and stature distributions, a n d one which is contemporary with the
individual. This is particularly important since secular trends regarding proportionality
and stature estimation factor into the accuracy of prediction. Jantz and Meadows (199.5)
a n d Simmons et a/.( 1990) both discuss the secular trends in femur: tibia ratio over time
in the USA, based on data from the Terry and UT-K collections. Tibia length is seen
t o have increased over the past 50-60 years, and now accounts,
more
for total stature than does femur length. Similar trends have heen observed in stature
a n d body proportions a m o n g the japanese ( O h y a n ~ act al. 1 9 8 7 ) and in other
populations. Obviously, this renders the accuracy of stature estimates for recent leg
bones, when using the Trotter and Gleser ( 1952) formulae, subject to question. If an
individual in the USA died prior t o the 1960s, for example, the Trotter and Gleser
f o r m ~ ~ l are
a e probably the appropriate ones to use; if 011 the other hand, the individual
died within the past 2 0 years, then Ousley's (199.5) equations based on a modern
forensic .;;lnlpIe a r e probably better. Certainly the original ohscrver's Ineasurenients
must be accurate a n d rcplicahle for any stature esrimation method t o be reliable. Jantz
ct '71. ( 1994) recently pointed o u t discrepancies in Trotter's measurenlents of the tibia
a s used i l l her 1952 a n d 1958 forniulae (Trotter ancl Glaser 19.58).These articles rcconimend t h ~ ift the 1952 f 0 ) . t i ~ ~ t lisi zused,
~
the n ~ a x i m u ~tibial
n length roithoz4t the nz~lleolus
should 1)e measured, if the 19 i 8 formtllae is used, the ~ n a u i m u mtibial length itz~l~iditzg
thc t71~711~o114s
shollld be ~ i ~ e a s u r e dFurtherniore,
.
they recommend that the 1958
t o r ~ l i l ~ l abe
e avoided, a s Trotter's original nlz:isurenients c a n n o t be assessed for
accur;icy.
Estimating stature from fragmentary long bones (i.e. Steele 1 9 7 0 ) presents some
unique problerns concerning rhe ability t o replicate measurements. T h e Steele f o r ~ n u l a r
covered 211 long bones, hut the landmarks were particularly difficult t o locate, a n d hcncz
measllrement reliability a n d repeatability were comprorniscd. Simrrlons ct '11. ( 1 9 9 0 )
attempted a revision of the Steele method ( f o r the femur only) hy proposing m o r e
clear-ly defined skelctal larldmarks. Their results actually bettered Steele's, albeit t o a
small degree. hut still require the esti~nationof bone length first, prior t o the estimatiori
ot stature. This conipouiids measurement error, ns t w o formulae are used, both with
standard errors o t estinlated. With both the Steelc a n d Simmons, et (11. formulae,
however, the estimates are quite broad, and lnay serve as e x ~ l u s i o n ~ ~evidence
ry
hut
only tor professional hnsketball playcrs ancl jockeys!
As in estimating agc, it is vital t o provide 3 s t ~ t u r erange, not a precise e s t i n ~ a t rof
all individual's height. S o ~ n individuals
e
le.g. O ~ l s l e y199Sj ridvocate using t w o standard
deviations f o r cstiin,lring stature, thus insuring t h ~ the
t individual's height in lift.
will fall within the low a n d high ends of the range. While this may he the statistically
correct procedure, niost stature estimates using one s t a ~ i d ~ idevi'ltion
rd
usl~allyestimate
a n individual's height with exicllcnt I-esulrs. It should also hc noted that while stature
estimation is a nccrssary portron of the biologicnl profile of' a n individual, a n d is
often i~setulin single case-\vork in the USA, it is not n particillarly dependable criterion
tor icientiticntion i l l un international setting (Icolnar 2 0 0 3 ) . In the USA the s t : ~ r u r e
estimate may help t o elimin:ite a range of missing persons (e.g. those under 1 7 0 c m
and o\:er 180cn1 in height) from the pool of possible victinls. However, in places such
a s R w a n d a o r Bosl~inwhere a n t e - ~ i i o r t e mstature ~ u e a s u r e l n e n t sa r e not rourinely
recorded (c.g. n o rliedical o r driver's license staturcs available), the information is of
equivocal value. Relatives may be able t o cstimate the stature of a missing person, but
:is > c t IIO stdl1dards exist tor correlating 'recollected stature' with estim,~tedskeletal
s t ~ i t u r c .I n addition. applying any stature formulae consistently t o the Srebrenica
population revealed that the vast majority of tlic 4,500 individuals exhumed were ot
siniilar stature, hetween 170-1 SOcl11.
6.2.3 Trazrma, cazise r111d manrter of death
T h e next pli;ise o t the ~ l l a l y s i si b identifying any evidence of ante-rnortern tl-;1ulna o r
pathology o n the skeleton that may aid in the identification of the i n d i v i d ~ ~ aand
l , the
final phase is idelltifying ally indications of peri-mortem t r a u m a that )nay indicate
how the individu:ll died. With the latter, the alithropologist must be able t o distinguish
pcri- From post-niorteni trauma t o bone. As with t h r taphonomic inventol-y discussed
ribovc, it is ~ r c c o ~ n m e n d ethat
d thc Inhoratory protocols contain 3 coniprehcnsive listing
of potential ante-mortem conditions and peri-niorte~ntraunia that is anticipated t o he
encountered. This allows the conditions t o be coded for ease of data retrieval for both
identification and judicial proceedings, respectively.
6.2..;.1 Ante-nzortem trauma and pathology
The forensic anthropologist must assess the skeleton for congenital abnormalities
or any signs o f disease or trauma that the individual suffered during life (Figure 6.3).
Mainly, the anthropologist is searching for evidence of diseases that alter bone
(hypertrophy or atrophy) on local o r systemic levels. In both cases, certain neoplastic,
infectious, and metabolic diseases
can he the causal agents. In the
case of trauma, the anthropologist is searching for evidence
of past injury t o bones or joints
(fractures, dislocations, etc.),
which may be healed o r active.
This also applies t o the dentition
for which disease a s well as its
treatment (dental restorations,
crowns, etc.) should be recorded.
Ante-mortem and post-morte~n
radiographic comparison is the
best means of positive identiFig~lrc,6 . i h hilatcrnl congenital nhnormnlity o f the
fication,
whether dental or
~ n e d i cuncifor~n
~l
in ;I torc~lsiccase
skeletal. If radiographs are not
availablc for coniparison, only a
presumptive identification can I>emade o n the basis of injury ( o r diseasc) location and
type. If present, prosthetic implants are another key factor in identification as most
produced within recent dccades contain maker's marks as well as serial numbers that
allow them t o be traced to the man~ifacturcrand/or the hospital where the surgical
procedure was performed (Ubclaker , ~ n dJncobs 199.5).
X c<~reful
evaluation of
all peri-inortern trauma t o the skeleton is critical to a forens~c
anthropology examination. Signs of injury may not only suggest manner and cause
of death (traditi(~)nally
the real111of the forensic pathologist), but they may also provide
insight into the treatment of the hody around the time of death, and its disposal. Perirnortenl injuries arc those that occur around the time of death. As hone retains its
organic component for some time after death (though this is variable dependent upon
taphononiic factors), it is extreniely difficult to differentiate hetween danlage inflicted
t o living hone, or to hone shortly after death. This can, however, be undertaken using
scanning electron microscopy (when it can be cietected after about 12 hours -Jones
and Boyde 1993).The first change that can he detected macroscopically is often a
localized periosteal reaction.
X forensic anthropologist is generally concerned ~ v i t l ithree types of peri-mortem
t r a u m a : blunt force, s h a r p force, rind proiectile (gunshot a n d fragmentation injuries,
e.g. Figure 6 . 4 ) . Xs in all things, a great deal of experience is necessary t o evaluate
each of these types with authority. Unfortunately, given t h e events of t h e past decade
in R w a n d a , Bosnia, Kosovo, Sri Lanka, Indonesia a n d o t h e r places, these types of
injuries a r e hequently being seen or1 :I large scale by forensic anthropologists working
~l
organisations a n d w a r crimes tribunals. T h e
t o r such org:inisations :is h ~ i ~ l l : lrights
liternture o n b l ~ ~ force,
nt
s h a r p force, ,lnd projectile t r a u m a t o t h e skeleton is still in
e so r k by M a p l e s ( 1 9 9 8 ) 011 t r a u m a analysis in general, Smith
its inf"inc\, but i ~ ~ c l u d w
c.t '71. ( 1987) o n gunshots t o the cranium, S a ~ ~( e1984)
r
o n blunt a n d s h a r p torce trauma,
C;allo\v~~!.(2OOO) o n blunt force t r a u m a , a n d I\crlc)- ( 1 9 7 8 ) o n battered-infant syiid r o m e . Surgical t r a u ~ n am a y also be recorded as peri-mortein, if t h e inclividual did n o t
survive the procedure long enough tor skelet:~l healing t o be eviclent (Figure 6.4).
O n e of the m o s t c h ~ l l l e n g i nissues
~
in investigations of genocide a n d crimes a g i ~ i n s t
hum:lnity is that i)t victin~identitication. Iclentification has critical meaning for survivors,
tor c o u r t s , a n d t o thc expert. F o r t h e latter, t h e status of a n identification c a n be
expressecl as tent:~tivt', p r e s ~ ~ m p t i v oe ,r positive, o n the hnsis of h o w the identification
nil1 st,inci up t o objective criteria and second o p i n i o ~ scrutiny.
i
T h e majority of iden-
tificntions done both in the USA a n d abroad are presumptive identifications, based
o n good faith ~lcceptanceof the dead person's identity. This is generally not questioned.
In honlicides ilnd insurance cases, the identifications are generally held t o a higher
standard and must therefore be positive. The identification of victims in mass tatality
e\.ents, war, ethnic cleansing, genocide, etc. is often seen as 3 more complicated issue.
Identifications in the US are the result of predominantly circumsta~ltialand visual lncnns.
These consist of recognition of facial features, o r based o n circumstantial evidence
such ns personal effects, documents associated with the body, or ~~nchallenged
testimony
t o the effect that a person is w h o slhe is presumed t o he. Technically, these are presumptive means of identifications and are common practice when there are n o questionable
circumstances t h ~ i twould call the identification into question. For example, 3 body
wallet in the individual's
is removed from the wreckage of a car after ,In accident. 7171~e
trouser pocket indicates n white male, aged 35, 5' 10" in height by the name of ,lohn
Smith. The cLlrfrom which the hody comes w:ls registered t o a John Smith. The body
conforms reasonably well t o that of 3 male about 5' 10" in height in his thirties. The
body is therefore identified as John Smith. As long as John Smith does n o t appear, and
assuming that the tnmily, insurance company, or others d o not dispute the identification,
then the identification is accepted. In the vast majority of cases such as this one, an
anthropologist , ~ n d / o rodontologist is not involved in examination of the re~iiains.
Deviations from this practice in the USA occur when: ( 1 ) there is n o means of visual
identification possible; e.g. bodies that are disfigured, decomposed o r skeletonized;
( 2 )in all cases of homicides; (3)when there are perceived questionable circun~stances
surrounding the death; a n d (4) in the event of n mass fatality situation (c.g. a plane
crash, bombing, fire). It is a t this point that objective, scientific means of identification
are pi~rsuedI!,. way of fingerprints, dental identification (Figure 6.5) n~edicalradiogr,lphs, or genetic ( D N A ) identifications. \Were none nre initially available, the stage
is set for methodologies that will document lead-generating information, and it is here
that diaciplines like nnthropology rnlly become in\rolved. As anyone w h o has ever
F I ~ I ( 2I. 5~ The mnxillnry ( 2 )and mandibular (1)) dentition call aid identification whcre dental
records exist
worked on a Inass fatality incident knows, there is trenieudous pressure to insure the
rapid identification of all victims. Sonletimes this is due to political pressure. Primarily,
however, such pressure comes from the families of victims. They desire the return of
h due speed so that the death c:in be authenticated and
their loved ones' r e n ~ a i n s~ . i r all
the more r i t ~ ~ a l i z eand
d formalized n ~ o ~ ~ r n period
i n g can begin (and that probate and
other fiuiincial niatters can he settled). In the USA and developed countries with
relati\.el!~sophisticated infrnstruct~ires,most victims can he idvntified with relative
rapidity o ~ v i n gt o the uhicluitous presence of, and ease of access to, independent
docun~entationsuch as medical and dental records, or fingerprints. This is p a r t i c ~ ~ l a r l y
so tor cert,~insegments of society (e.g. military and other employees previo~islyscreened
tor security clenrances, etc.). DNA is utilized more aiid more t o effect such identifications.
W h a t is perhaps of' most interest in the context of this discussion, is that the issue
of positi\,e identitication becomes paramount in Inass fatality events. This is for two
reasons. First, multiple victims are involved for \vhom there is no reliable manifest
(c.g. passenger a n d crew manifest, documentation of employees present in a building
on ;I given day, etc.). Second, there is often fragmentation of the victirns - o r delay in
recovery of ~.emainswith s u h s e q ~ i e n decomposition.
t
In either case, recognition of
iiidivid~~als
and ready nssociatioil oi all parts o t an individual obstructs the identification process. There is extreme relucta~lcein US mass fatality events t o issue a death
certificate reliant upon 'circurnstnntial', o r p r c s ~ ~ m p t i videntitications
e
(altho~rghthe
events o t I 1 September LO0 I werc an esccption, although all identifications are being
confirn~cdhy DNA). Experience has shown that even in passenger lnanifests there are
falsities, hence, plane tickets and even peraonal identifying doc~iinentsfound o n the
body are susceptil>let o cl~~estion
and a death certificate may not he issued.
There Lire of course, exceptioils, hut these d o not come cluickly t o the certifying
iiuthorities. Such a n example is a pl:ine crash with one individual t o be identified. No
dentition for this tnn3le was recovered, she had no tattoos, she I i ~ dnever heen fingerprinted, and the family could not provide any ante-mortem radiographs for comparison
to the hody in cluestion. The biological profile for the lmdy matched and the woman
was wenring copious amounts of gold and diamond jewelry o n every appendage, which
the family ie\\.eler h a d designed for her alone - and kept photographic records
o t each piece. Debpire this, the ,2lediciil Exa~niiierwas reluctant t o dcclare that thc
female body was passenger X, because there \vns n o llleaiis of positive identification.
This was despite the unlikely possibility that this woinan had boarded the plane and
had elected t o voluntarily cxchangc every piece o f her highly ~ l i i i q ~ ai en d expensive
.
as she was thc only i in identified
jewelry in mid-flight with another w o ~ n a n Ultimately,
(by positive means) individual recovered from the complement of victims, she was
presumptively identifi ed on the basis of the biological profile and her documented i~niclue
personal effects alone. A death certiticate was iiltimately issued for her as it had been
for all other positively identified passengers.
T h e families and agencies involvcd in mass fatalities attain resolution t o the deaths
via identification and are able, with the aid of the existing infrastructure of v a r i o ~ ~ s
social serviccs, the go\,ernment, religious and c u l t ~ ~ r institutions
al
to resume their dayto-day li1.e~.Things will never be the same for the family memhet-s, but thc reality of
the dcath as attested hy positi\.e identification is not in doubt and is rarely questioned.
X Y I F - I R O P O I OCrY I N -\ I - O l < T h 5 1 (
(
ONTFXT
6.7.4.2 Idcntrficatrons uftcr tuar, genocide and crirnes ag~zinst
I~tlnrnnrty
People's attitudes toward the exhumation and identification process are varied and, to
a certain extent controlled by the political climate. For example, the identification
of people killed in 1992-95 in Bosnia is a complex process that has ditfcrent meanings
for different people. For some relatives of the missing, it is a relief, providing the end
of i~nccrtaintyregarding the fate of their loved ones. For others, it is unciesirable, forcing
them t o confront the death of an individual for whom they held o ~hope
~ t of life. Several
families of Greek Cypriot and Greek victims of the 1974 conflict h~ivelong been activists
lobbying for identification of the missing. O n the personal level, differences in people's
acceptance of the exhumation and identification process often reflect the political
perspective because it gives them hope, however false, that thcir loved one is alive. Some
people want t o know if their lovcd one is dead and t o he able t o hury them. They seek
resolution t o their questions so that they can move on with their lives. They will accept
the identification. Some survivors are s o desperate for resolution to their pain and
uncertainty that they have tried t o persuade experts t o attribute an identification for
which there is no scientific basis.
The establishment of the identification of the victim is most crucial hoth to proving
charges of ho~nicideand directing the inquiry into the cause and manner of death,
leading t o an identification of tlie perpetrator (Geherth 1995).While this dictum forms
the basis of localized and individual homicide investigations within most developed
countries, there is frequently less emphasis on personal identification than one would
expect from the prosecutors in current 111ternation:llCriminal Tribunal investigations
of deaths related t o war crimes and genocide (Haglund 2002). For their purposes, it is
often considered sufficient to 'categorically' identify tlie victims by their ethnicity or
their religion, whether they were men, wonien or children, civilians or combatants, o r
soldiers incapacitated by bindings o r hlindtolds. This does not imply that positive
personal identification w o ~ i l dnot lend deeper support t o indictments o r to the international criminal trihunal's investigations. Nor does it imply that personnel connected
with the tribunals d o not feel that person;il positive identification is important t o the
tnrnilies of tlie victims. It is siniply that a pursuit of this level of identification has
not been a primary issue t o the prosecution. It is arguable that the changing nature of
international forensic projects (including the growing sophistication of the families
of the missing and their awareness of the possibility of identification through DNA,
etc.) necessitates tlie inclusion o t a provision for the identification of the victin~sfor
humanitarian reasons. This provision will, o i course, extend not only the budget, hut
the duratio~iof cases as wcll as the nuniber nnd expertise of personnel required. This
is true regardless o f whether presumptive o r positive identifications are sought.
Personnel, expertise and resources are needed to conduct interviews gathering anteniortem intormation ahout the missing, collect DNA samples from the relatives, and
compile dat;ihases. C:ornmunity education is nlso a necessdry component of such work
in order t o educate the families of the nlissing a b o ~ the
~ t process of identification and
the length o t time it is projected t o tuke. The issue of 'capacity building' within the
local, established forensic com~llunityalso bears consideration wl~ereverpractical.
6.3 Laboratory resourccs
LJndertaking :~nalysisof h u m a n remains requires a secure e x a ~ n i n a t i o nand storage
area. A secure area means that only authorized people have access to the area, room
o r building, ivhich is kept locked and/or g ~ ~ a r d eatd all times. A detailed inventory of
what evidence enters the facility is kept and tlie chain of custody is maintained. The
safety of laboratory personnel is of paranioulit concern and all individuals should use
universal prec~lutiotiswhen dealing with human remains. As a minirnuni, e\.eryone
should wear latex examination gloves if dealing with fleshed remains. I'rotectivc clothing
a n d masks s l i o ~ ~ be
l d worn when necessary. All personnel w h o are certified to work
in the lahoratory should also have been vaccinated for tetanus a n d hepatitis 8. A first
nid kit s h o ~ i l dbe available and all personnel aware of its location and its contents.
Contents should inventoried a n d re-supplied regularly. All personnel should be knowledgeable about hiohaz..;lrds and necessary safety measures (Galloway and Snodgrass
1998) a n d briefed o n any unique potential hazards relative t o a particular project.
T h e l a l x ~ r a r o rshould
~
ideally have running water, electricity and an examination
tahle large enough t o place :In adult huniali skeleton in the nnatomicr~lposition (see
also Table h . 1 ). It the reni~linsare skeletal, tlie table or other examination surface should
be padded (foam rubber o r b u b b l e - ~ , r n pwork well) so that the bones are not damaged
by contact with a hurci surface. It the remains contain soft tissue, then the table should
he met.;ll (plastidfiberglass trays are an option) and the availability of water becomes
essential. When handling skeletal rcniains, the anthropologist must ensure that the
bones are clean prior t o ex,lniination in order t o observe morphological features, analyze
trauma o r pathological conditions, conduct osteometric analyses, and facilitate storage.
T o relilove loose dry extr.;~neousmaterial, it is best to simply brush hones with a soft
bristled l ~ r u s hot natural o r nylon fibre. If the bones arc Illore encrusted, washing them
in plain warcr with the aid of a soft brush may also be appropriate. Bones s h o ~ ~ l d
never be allo\ved t o 'soak' in water. Care must he taken during the drying process.
Bones must not he allowed t o dry t o o c l ~ ~ i c kand
l ~ , exposure t o heat, direct sun, or
blowing air should be avoided as these may cause surface fissuring and breakage. X
~ i r y i n gruck of wire or plastic mesh that allows air t o reach all surfaces of tlie w c t
bones e\.enly is ideal for this purpose and easily constructed. When a h s o l ~ ~ t cessential
ly
t o deflesh selected elements (i.e. age, sex, etc. cannot be determined without doing
so), it m:ly be necess,ir>-t o remove certain clements (pubic sy~nphyses,sternal rib ends,
medial cia\-icles, etc.) from the body and remove soft tissue from then1 prior to e x a n ~ i nation for determining the individual's biological profile. Surgical saws, either electric
o r Ihand-po\vered, a n d clippers are necessary t o this task and dissecting equipment
riiay he needed to expose the hony landmarks prior t o their removal.
Detleshing remains, whether in whole o r in part, is an integral part of lahoratory
analysis. R e ~ n o v a lof tissue from r e ~ n a i n sbrings up several issues to he considered. It
is not uncommon tli~ltremains will not he identified for a long period following their
exnmination. Removed soft tissue should he considered a part of the renlains and
thus should not be simply
discarded. Unfortunately, inl like hones, which arc relatively
~.
simple t o store, soft tissue decomposes in the absence of preservatives or proper refrigeration. When faced ~vitlithis challenge, alternatives need t o be explored. An often
~ltilisedmeasure is to bury the remains ~ 1as storage measure. It is necessary that burial
occurs in an identified grave fro111 vvhich rcrn;lins c,ln later he retrieved. While this
XNTHROI'OL OGY IN
r\
F O R 1 NSIC
(
ONTFXT
Trlble 6. I Basic laboratory equipment for a n t h r o p o l o g i ~ ~an'llysis
~l
Secure storage area
Labor'ltorj protocols
Record~ngform5 (p'lper o r conip~~terired)
Latex exami~iationgloves
Faceleye shields
Cloth or disposnhle protective clorlii~ig
E x n n ~ i n ~ t i otable5
n
Evidence hags and boxes
hletal tags
C:;~selabelsItag5 (paper or plastic)
Spreading calipers
Sliding c,~lipers
Osteolnerric hoard
Comparative age estim;~tioncasts (Rib. Puhic Symphysis
males and females, a n d epiphyseal union)
Study shrleto~i(both articulntedlhanging and hoxrd)
-
Selected referencc texts
Sand box
C;I~ies(both water soluble and acetone soluble) and solvent5
Basic pllotographic equipment (S1.R 3Smn1. d i g i t ~ and
l
vidco cameras)
Ilarkroom equipment
Photo stand, tripod and ladder
Measuring scales
Dissecting microscope
Thin sect1011equipment
X-r;iy machine and radiographic developing ecluip~nent
Computers. scanners, printers, and various software, programs such as FORDLSC 2.0
does n o t forestall nature taking its course as far a s decomposition is concerned, it does
reduce potential liability from having discarded the iiiaterial a n d m a y satisfy religious
custorns (e.g. Islam, Judaism) t h a t prescribe t h e burial of all body parts.
The ideal w a y t o deflesh is by use of :I derinestid beetle colony in which beetles eat
a w a y the flesh w i t h o u t damaging t h e skeletal eleriients. However, t h e beetles consutne
the flesh a t a rate t h a t is usually t o o slow for most forensic cases, a n d relatively tew
laboratory facilities a r e able t o nluintain these insects ( a colony must have a c o n s t a n t
'food' source in order t o perpetuate itself). T h u s , in order t o expedite the cleaning of
remains, as m u c h excess soft tissue as possible should be first removed, taking c a r e
n o t t o use sharp-edged it-nplements n e a r t h e borie surface itself ( m a r k s left might
;\NTHKOI'OI.O(J~' IN X FORENSIC: (:ONTEXT
potentially he c o n f ~ ~ s ewith
d peri-mortem i n j ~ ~ r i e sFollowing
).
this, the skeletal elements
s h o ~ ~he
l d simmered, at a low boil in n weak solution of water and a commercinl enzyme
detergent (Fenton ct ~ 7 1 .2003). Adding potassium hydroxide t o this solution also acts
as a catalyst t o the reaction, but vigilance is necessary t o ensure that the water level
remclins high enough that the bones d o not char andlor that erosion and bleaching
does not occur. X hot plate and com~nercialaluminum pots of considerable sire may
he employed; this process should ideally be conducted under a fume hood. It is helpful
that thc material be suspended in the water, rather than resting o n the pan s ~ ~ r f a cine
order to eliminate the possibility of the contact surface of the bone with metal. A variety
of materials may be used for this, including screening material (plastic o r metal) and
mesh laundr). hags. With smc111 sections of bone, the same process can he accomplished
more quickly Ivith the aid ot a microwavr oven. In either case, the hones should be
removed from the Jvater a t frecluent intervals and additional loosened soft tissue
removed until rhe process is complete.
6.4 Conclusion
Forensic anthropology has expanded rapidly during the past decade. The case-load of
forensic anthropologists has risen markedly in the United States (Reichs 1998) and
hrgun t o develop in the UK. It has grown t o include fleshed and hurnt remains, led
t o ;In increase in courtroom testimony regarding the interpretation of t r a ~ l m a as
, well
ts
accidents and other issues to which our suhject
as invol\.en~entin civil s ~ ~ iconcerning
may he relevant (C;allon.ay 1999). The expertise of forensic anthropologists has also
become integral ro investigations of genocide, war-crimes a n d crimes against humanity
in man! p'lrts of the world. This ma!. be through the auspices of non-government human
rights organizations, the United Nations and the L7d I)OCinternational criminal tribunals.
With their participation in international projects thc role of the forensic anthropologist
has also changed, necessitating changes in training and perspective relevant to this
contest. The focus ot Forensic anthropology has shifted. From the creation of biological
profiles providing leads to identification in individu'll cases, it is predominantly the
interpretation ot peri-nlortem tr,Iuma, and the d e n ~ o n s t r ~ l t i oofn patterns in largescale events, that demonstrate criminal intent by the perpetrators of mass murder.
The roles the forensic anthropologist is expected to fulfill have multiplied in international missions ,111d 3 new training, beyonci mere competence in technique, is needed
tor those cntering the field. Tociny's forensic anthropologist must be expected ro be
bvell versed in ,~nthropologicaltechniques, law, aspects of crime scene investigation,
and issues invol\.ing human rights, a n d humanitari~lna n d diplomatic aspects of
international projects. T o o few indi\.iduals hoping t o gain entry t o the field are aware
of the complcs li,ltLlre of the work, its context, and the multiplicity of functions that
they must fulfill. It is this that the providers of graduate a n d post-graduate education
and continuing professional development must ~ d d r e s s .
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