Cognitive and contextual influences in determination of latent fingerprint suitability for identification judgments

We examined forensic fingerprint examiners' suitability determinations of latent fingerprints comparing situations in which the latent is assessed solo (in isolation) versus situations in which it is presented alongside a comparison (matching or non-matching) exemplar print. The presence of a non-matching comparison exemplar led examiners to be more inclined to draw the conclusion that the latent was suitable for comparison compared to when the latent was presented solo. This effect persisted even when the latent presented was highly unsuitable for comparison. The presence of a matching comparison exemplar led examiners to be less likely to decide that the latent was suitable and more likely to decide the latent was questionable compared to solo analysis. This effect persisted even when the latent presented was highly suitable, suggesting a strong main effect. Knowledge of another examiner's previous determination that the latent was unsuitable was found to increase the likelihood that the examiner would conclude that the latent was unsuitable. However, knowledge of a previous “suitable” determination by another examiner did not increase the likelihood of a “suitable” conclusion by examiners. The finding that effects were weaker, although not entirely removed, in those with IAI certification suggests that training may be an appropriate route for reducing the effect of contextual influence and bias in suitability determinations. It was also shown that latent prints that were previously classed as "unsuitable" in a non-biasing context, continued to be judged to be "unsuitable" in a strongly biasing context (a major case in which a previous examiner was purported to have made an Individualization).     

Expertise in Fingerprint Identification

Although fingerprint experts have presented evidence in criminal courts for more than a century, there have been few scientific investigations of the human capacity to discriminate these patterns. A recent latent print matching experiment shows that qualified, court‐practicing fingerprint experts are exceedingly accurate (and more conservative) compared with novices, but they do make errors. Here, a rationale for the design of this experiment is provided. We argue that fidelity, generalizability, and control must be balanced to answer important research questions; that the proficiency and competence of fingerprint examiners are best determined when experiments include highly similar print pairs, in a signal detection paradigm, where the ground truth is known; and that inferring from this experiment the statement “The error rate of fingerprint identification is 0.68%” would be unjustified. In closing, the ramifications of these findings for the future psychological study of forensic expertise and the implications for expert testimony and public policy are considered.     

Emotional Experiences and Motivating Factors Associated with Fingerprint Analysis

Abstract: In this study, we investigated the emotional and motivational factors involved in fingerprint analysis in day‐to‐day routine case work and in significant and harrowing criminal investigations. Thematic analysis was performed on interviews with 13 experienced fingerprint examiners from a variety of law enforcement agencies. The data revealed factors relating to job satisfaction and the use of skill. Individual satisfaction related to catching criminals was observed; this was most notable in solving high profile, serious, or long‐running cases. There were positive emotional effects associated with matching fingerprints and apparent fear of making errors. Finally, we found evidence for a need of cognitive closure in fingerprint examiner decision‐making.     

Measuring the Rarity of Fingerprint Patterns in the Dutch Population Using an Extended Classification Set

Latent print examiners often use their experience and knowledge to reach a conclusion on the identity of the source. Their conclusion is primarily based on their personal opinion on the rarity of the matching fingerprint features. Fingerprint patterns, if present, can play a significant role in the final assessment of a match. The authors believe that statistical data on the rarity of fingerprint patterns strengthens the subjective evaluation of the corresponding information. In order to provide fingerprint examiners with additional numerical support, fingerprint patterns were manually classified in a set of 24,104 fingerprints. In this study the frequencies of occurrence of 35 different fingerprint patterns have been obtained. The frequency data presented in this study can be used in the ACE‐V process applied in forensic casework, allowing for the assessment of the evidential strength related to a specific fingerprint pattern type.     

The Utility of Expanded Conclusion Scales During Latent Print Examinations

During fingerprint comparisons, a latent print examiner visually compares two impressions to determine whether or not they originated from the same source. They consider the amount of perceived detail in agreement or disagreement and accumulate evidence toward same source and different sources propositions. This evidence is then mapped to one of three conclusions: Identification, Inconclusive, or Exclusion. A limitation of this 3-conclusion scale is it can lose information when translating the conclusion from the internal strength-of-evidence value to one of only three possible conclusions. An alternative scale with two additional values, support for different sources and support for common sources, has been proposed by the Friction Ridge Subcommittee of OSAC. The expanded scale could lead to more investigative leads but could produce complex trade-offs in both correct and erroneous identifications. The aim of the present study was to determine the consequences of a shift to expanded conclusion scales in latent print comparisons. Latent print examiners each completed 60 comparisons using one of the two scales, and the resulting data were modeled using signal detection theory to measure whether the expanded scale changed the threshold for an “Identification” conclusion. When using the expanded scale, examiners became more risk-averse when making “Identification” decisions and tended to transition both the weaker Identification and stronger Inconclusive responses to the “Support for Common Source” statement. The results demonstrate the utility of an expanded conclusion scale and also provide guidance for the adoption of these or similar scales.     

Performance evaluation of automated fingerprint identification systems for specific conditions observed in casework using simulated fingermarks

Few studies have been reported on the performance evaluation of automated fingerprint identification systems (AFIS) for fingermark-to-fingerprint comparisons. This paper aims to illustrate to fingerprint examiners the relevance of evaluating the AFIS performance under specific conditions by carrying out five types of performance tests. The conditions addressed are the number of minutiae assigned to a fingermark, manual and automatic assignment of the minutiae, the finger region from which the fingermark originates, the degree of distortion in the fingermark, and the difference in orientation between fingermarks and fingerprints. In these tests, the magnitude of the influence for each condition was quantified. The comparisons were performed using a research AFIS technology with simulated fingermarks. Simulated fingermarks provide a practical way to create fingermarks for specific conditions in large quantities. The results showed that each condition influences the performance significantly, emphasizing the relevance of developing, and applying performance tests for specific conditions.     

Cognitive issues in fingerprint analysis: inter- and intra-expert consistency and the effect of a 'target' comparison

Deciding whether two fingerprint marks originate from the same source requires examination and comparison of their features. Many cognitive factors play a major role in such information processing. In this paper we examined the consistency (both between- and within-experts) in the analysis of latent marks, and whether the presence of a 'target' comparison print affects this analysis. Our findings showed that the context of a comparison print affected analysis of the latent mark, possibly influencing allocation of attention, visual search, and threshold for determining a 'signal'. We also found that even without the context of the comparison print there was still a lack of consistency in analysing latent marks. Not only was this reflected by inconsistency between different experts, but the same experts at different times were inconsistent with their own analysis. However, the characterization of these inconsistencies depends on the standard and definition of what constitutes inconsistent. Furthermore, these effects were not uniform; the lack of consistency varied across fingerprints and experts. We propose solutions to mediate variability in the analysis of friction ridge skin.     

Latent justice? A review of adversarial challenges to fingerprint evidence

This article provides an overview of recent research on latent fingerprint evidence featured in reported legal decisions from England and Wales, Australia and New Zealand. The research casts doubts on the effectiveness of adversarial criminal procedure. Rather, than engage with the methodological foundations – e.g. validity and reliability – and the actual abilities of fingerprint examiners, for more than a century, challenges were based on legal considerations and the meaning of categorical identification for the specific proceedings. Lawyers challenged fingerprint evidence based on the circumstances in which reference prints were collected, whether fingerprint records were hearsay, whether relying on a fingerprint record is unfair because it suggests prior criminality, whether the jurors could make their own comparison and so forth. There is no reported consideration of the validity and reliability of fingerprint comparison, and no requirement for fingerprint examiners to qualify the significance of a match decision, even after the abandonment of point standards and the appearance of critical reports from the United States and Scotland, and advice from the Forensic Science Regulator. To the extent that they considered the admissibility and probative value of this prominent forensic science evidence, lawyers and judges relied heavily on proxies such as training, experience and long use. In consequence, the article considers how we should understand adversarial legal practice, the performance of lawyers and judges, as well as the implications for forensic scientists and their evidence.     

Introducing a semi-automatic method to simulate large numbers of forensic fingermarks for research on fingerprint identification

Statistical research on fingerprint identification and the testing of automated fingerprint identification system (AFIS) performances require large numbers of forensic fingermarks. These fingermarks are rarely available. This study presents a semi-automatic method to create simulated fingermarks in large quantities that model minutiae features or images of forensic fingermarks. This method takes into account several aspects contributing to the variability of forensic fingermarks such as the number of minutiae, the finger region, and the elastic deformation of the skin. To investigate the applicability of the simulated fingermarks, fingermarks have been simulated with 5-12 minutiae originating from different finger regions for six fingers. An AFIS matching algorithm was used to obtain similarity scores for comparisons between the minutiae configurations of fingerprints and the minutiae configurations of simulated and forensic fingermarks. The results showed similar scores for both types of fingermarks suggesting that the simulated fingermarks are good substitutes for forensic fingermarks.     

The Reliability of Visually Comparing Small Frontal Sinuses*

Abstract: Several studies have investigated frontal sinus comparison for personal identification. One study addressed the statistical reliability of correct identification using automated digital methods and resulted in a 96% accuracy rate. Missed matches with the digital methods generally involved small, less featured sinuses. This study investigates the hypothesis that human examiners may be able to more accurately identify correct matches than digital methods, even when the comparisons involve small frontal sinuses. Participants were provided two sets of 28 radiographs and were instructed to identify matching radiographs and list the radiographs that did not have a corresponding match. Overall, error rates were low, with correct associations identified at a rate of 0.983. No incorrect associations (“false positives”) were made. Correct association rates were highest among participants “experienced” examining radiographs. Results support previous assertions that frontal sinus radiographs are a reliable means of personal identification even when the frontal sinuses are small.     

Fingermark Evidence Evaluation Based on Automated Fingerprint Identification System Matching Scores: The Effect of Different Types of Conditioning on Likelihood Ratios

In recent studies, the evidential value of the similarity of minutiae configurations of fingermarks and fingerprints, for example expressed by automated fingerprint identification systems (AFIS), is determined by likelihood ratios (LRs). The paper explores whether there is an effect on LRs if conditioning takes place on specified fingers, fingerprints, or fingermarks under competing hypotheses: In addition, an approach is explored where conditioning is asymmetric. Comparisons between fingerprints and simulated fingermarks with eight minutiae are performed to produce similarity score distributions for each type of conditioning, given a fixed AFIS matching algorithm. Both similarity scores and LRs are significantly different if the conditioning changes. Given a common‐source scenario, “LRs” resulting from asymmetric conditioning are on average higher. The difference may reach a factor of 2000. As conditioning on a suspect's finger(print) is labor‐intensive and requires a cooperating suspect, it is recommended to just condition on the number of minutiae in the fingermark.     

Integration of Pore Features into the Evaluation of Fingerprint Evidence*

Fingerprint practitioners rely on level 3 features to make decisions in relation to the source of an unknown friction ridge skin impression. This research proposes to assess the strength of evidence associated with pores when shown in (dis)agreement between a mark and a reference print. Based upon an algorithm designed to automatically detect pores, a metric is defined in order to compare different impressions. From this metric, the weight of the findings is quantified using a likelihood ratio. The results obtained on four configurations and 54 donors show the significant contribution of the pore features and translate into statistical terms what latent fingerprint examiners have developed holistically through experience. The system provides LRs that are indicative of the true state under both the prosecution and the defense propositions. Not only such a system brings transparency regarding the weight to assign to such features, but also forces a discussion in relation to the risks of such a model to mislead.     

Recovery of DNA from Latent Fingerprint Tape Lifts Archived Against Matte Acetate

This study was driven by court order to examine methods to remove, extract, and STR‐type potential DNA entrapped between latent fingerprint lifting tape and matte acetate that was collected from a 1977 crime scene. Results indicate that recovery of appreciable quantities of DNA is more challenging once adhesive is attached to matte acetate cards and even more difficult when fixed following black powder enhancement. STR amplification of extracts from entrapped fingermarks collected following the dusting/lifting procedure did not produce robust profiles, and extraneous peaks not expressed by print donors were detected for some samples. A hearing was set to argue whether there was DNA remaining to be tested, and if so, whether that DNA could be exculpatory in this postconviction matter. The studies herein provided the basis for the court's decision to not require the testing.     

Enhancing the quality of aged latent fingerprints developed by superglue fuming: loss and replenishment of initiator

The recovery and identification of latent fingerprints from a crime scene are crucial to many investigations. The cyanoacrylate (superglue) fuming method (CFM), which develops fingerprints by growing a polymer coating over the print residue, is a powerful method but encounters severe limitations when prints are aged or exposed to harsh environmental conditions. We examine the aging process and how the changes that occur to a fingerprint residue over time influence the growth of polymer during development. We identify loss of initiator by erosion and degradation that, when coupled with a loss of water from the print residue, result in a decreased ability to polymerize ethylcyanoacrylate. Then, we present a methodology by which the ability of aged latent fingerprints to polymerize ethylcyanoacrylate is recovered. Two print enhancement agents, acetic acid and ammonia, are demonstrated to improve the growth of polymer from the print ridges by over an order of magnitude, while retaining the integrity of the print structure. Comparison between the two enhancement agents indicate that the enhancement occurs due to ridge coating by the ammonia or acetic acid and pH control of the latent print.     

Integrated DNA and Fingerprint Analyses in the Identification of 60‐Year‐Old Mummified Human Remains Discovered in an Alaskan Glacier

Abstract: This report describes the identification of a merchant mariner who perished in 1948 when Northwest Airlines Flight 4422, a DC‐4 carrying 24 seamen and six crew members crashed into Mount Sanford, Alaska. Fifty‐one years later, a human forearm and hand were found close by the wreckage of the plane, prompting identification efforts using DNA and fingerprints. There were significant challenges to both the fingerprint and DNA analyses. The hand was badly desiccated, making fingerprint friction‐ridge detail almost invisible and the remains had been embalmed upon discovery, making DNA amplification difficult. We present the results of an interdisciplinary approach that successfully addressed these challenges and ultimately led to the identification of the remains. These efforts relied on efficient fingerprint rejuvenation and imaging techniques that improved print resolution, as well as new DNA extraction techniques optimized for aggressively embalmed remains.     

Evidence evaluation in fingerprint comparison and automated fingerprint identification systems--modelling within finger variability

Recent challenges and errors in fingerprint identification have highlighted the need for assessing the information content of a papillary pattern in a systematic way. In particular, estimation of the statistical uncertainty associated with this type of evidence is more and more called upon. The approach used in the present study is based on the assessment of likelihood ratios (LRs). This evaluative tool weighs the likelihood of evidence given two mutually exclusive hypotheses. The computation of likelihood ratios on a database of marks of known sources (matching the unknown and non-matching the unknown mark) allows an estimation of the evidential contribution of fingerprint evidence. LRs are computed taking advantage of the scores obtained from an automated fingerprint identification system and hence are based exclusively on level II features (minutiae). The AFIS system attributes a score to any comparison (fingerprint to fingerprint, mark to mark and mark to fingerprint), used here as a proximity measure between the respective arrangements of minutiae. The numerator of the LR addresses the within finger variability and is obtained by comparing the same configurations of minutiae coming from the same source. Only comparisons where the same minutiae are visible both on the mark and on the print are therefore taken into account. The denominator of the LR is obtained by cross-comparison with a database of prints originating from non-matching sources. The estimation of the numerator of the LR is much more complex in terms of specific data requirements than the estimation of the denominator of the LR (that requires only a large database of prints from an non-associated population). Hence this paper addresses specific issues associated with the numerator or within finger variability. This study aims at answering the following questions: (1) how a database for modelling within finger variability should be acquired; (2) whether or not the visualisation technique or the choice of different minutiae arrangements may influence that modelling and (3) what is the magnitude of LRs that can be expected from such a model. Results show that within finger variability is affected by the visualisation technique used on the mark, the number of minutiae and the minutiae configuration. They also show that the rates of misleading evidence in the likelihood ratios obtained for one of the configurations examined are low.     

Research on the local regional similarity of automatic fingerprint identification system fingerprints based on close non-matches in a ten million people database—Taking the central region of whorl as an example

The local regional similarity of fingerprints has always been a hot issue in the field of fingerprint research. With the increasing size of ten-print databases, the appearance of close non-matches (CNMs) in automatic fingerprint identification system (AFIS) candidate lists has attracted increasing attention from forensic science departments worldwide. In this study, three categories (high-, medium-, and low-level) of standards for CNMs were established and 60 whorl samples were marked with different numbers of minutiae to explore the occurrence and influencing factors of CNMs in AFIS candidate lists based on a ten million people database. The results showed that all prints could be found with their corresponding CNMs. The average occurrence rate of CNMs for every query was 52.7% in the top 100 lists, and the most similar CNM was exactly the same in the local area of 12 coincidence points. CNMs appeared more in the middle and lower parts of the central region of the whorl. Moreover, shorter C2C distances and the same finger number and hand led to more CNMs being inspected. CNMs with higher similarity required a more extensive regional area and smaller minutiae density. We concluded that CNMs have a high occurrence rate in large-scale databases and many factors are closely related to them. Fingerprint examiners and researchers need to strengthen their understanding of CNMs to avoid the occurrence of misidentification like the Madrid bombings.     

How do latent print examiners perceive proficiency testing? An analysis of examiner perceptions,performance, and print quality

Proficiency testing has the potential to serve several important purposes for crime laboratories and forensic science disciplines. Scholars and other stakeholders, however, have criticized standard proficiency testing procedures since their implementation in laboratories across the United States. Specifically, many experts label current proficiency tests as non-representative of actual casework, at least in part because they are not sufficiently challenging (e.g., [1], [2], [3], [4]. In the current study, we surveyed latent print examiners (n = 322) after they completed a Collaborative Testing Services proficiency test about their perceptions of test items. We also evaluated respondents’ test performance and used a quality metric algorithm (LQMetrics) to obtain objective indicators of print quality on the test. Results were generally consistent with experts’ concerns about proficiency testing. The low observed error rate, examiner perceptions of relative ease, and high objective print quality metrics together suggest that latent print proficiency testing is not especially challenging. Further, examiners indicated that the test items that most closely resembled real-world casework were also the most difficult and contained prints of the lowest quality. Study findings suggest that including prints of lower quality may increase both the difficulty and representativeness of proficiency testing in latent print examination.     

Under the microscope: legal challenges to fingerprints and DNA as methods of forensic identification1

Suspects in legal cases can be identified by an ever‐growing list of novel methods. The most common techniques currently used include latent print and DNA analysis. Although standard fingerprinting entered the courtroom over a century ago, the admissibility of fingerprint evidence has undergone a period of intense scrutiny in the USA in recent years. In contrast, most challenges to DNA analysis as a science came during its inception in the late 1980s and early 1990s. Current challenges to fingerprint evidence attempt to discredit the science behind the theory whereas challenges to DNA evidence often bring into question the competency of the analyst. In either case, the lessons learned in various court systems give guidance for those implementing the newer emerging biometric identification technologies such as facial recognition systems, retinal scans and the like. The first section of this article deals with fingerprint analysis and recent challenges to fingerprint admissibility in US courts. The second section discusses the evolution of DNA analysis and relevant cases. The final section gives recommendations for emerging biometric technologies to follow to satisfy the standards set forth by the courts.     

Does image editing improve the quality of latent prints? An analysis of image-editing techniques in one crime laboratory

Field research within latent print comparison has remained sparse in the context of an otherwise growing body of literature examining the discipline. Studies examining how ACE-V procedures are implemented within active crime laboratories are especially lacking in light of research suggesting significant variability in examiner practices despite standardized ACE-V procedures. To date, no studies have examined a potentially important aspect of the Analysis phase: digital image editing. We provide information on the prevalence and types of latent print image editing within one laboratory (i.e., Houston Forensic Science Center), examine the potential effect of image editing on objective print quality and clarity (i.e., LQMetrics scores), and explore potential examiner differences in editing effectiveness. Results indicate that most latent prints are edited in some manner, and that image editing improves the quality and clarity of print images as defined by an objective quality metric, although examiners varied in their ability to improve the clarity of print images. Findings suggest that formal guidance or documentation of standard editing procedures would likely improve the reliability of examiner conclusions early in the latent print comparison process.