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The Role of DNA Based- Methods in The Presentation of Forensic Evidence: A Systematic Literature Review

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The Role of DNA Based- Methods in The Presentation of Forensic Evidence: A Systematic Literature Review

Wafa Altayari, Institute of Technology Management And Entrepreneurship, Universiti Teknikal Malaysia Melaka, 76100, Malaysia

tayyari_2001@hotmail.com

Massila Kamalrudin, Doctor, Institute of Technology Management And Entrepreneurship, Universiti Teknikal Malaysia Melaka, 76100, Malaysia

ABSTRACT

Forensic science including Forensic DNA, which is one of the most important fields in the forensics, is at a critical juncture. The increasing number of high profile forensic evidence failures together with the growing critique of the literature on forensic methodologies, draw attention to questions regarding the fundamental ideologies of forensic science. Criminal adjudication is not an area worth compromising. It has, therefore, remained imperative to resolve the shortcomings of forensic science and other expert advice. In forensic evidence presentation, the presence of scientific foundation is a key. Sound forensic science is critical to the conviction of the guilty and the acquittal of the innocent where the science and technology present an avenue to accompany the paradigm shift in the relationship between criminal adjudication and forensic expertise. This study aims to identify the factors that affect DNA evidence presentation and to determine whether the DNA based methods and technologies have contributed positively, neutrally or negatively to the presentation of evidence in law courts. A systematic literature review had been conducted in order to identify and analyse related literature on DNA evidence presentation and technologies. It was found that the establishment of causation and removal of coincidence makes significant contribution to the effective presentation of evidence. It is concluded that further studies in the field of DNA evidence presentation with regards to the technology is required.

Keywords--- Causation, Coincidence, Technology, Evidence Presentation, DNA.

I. Introduction

Crime scene investigators and forensic scientists face severe challenges nowadays due to increasingly available technologies (Lederer, 2014). The application of artificial intelligence to computer or digital forensics have paved the way for automated processes and tremendous capability building of forensic examination that are more efficient, accurate and statistically supported (Hoelz, Ralha & Geeverghese, 2009; Hansen, 2013). As technology gains root in the daily lives of people, the types of cases sent to the law courts are not indifferent to these developments (Rughani, 2017).

Ultimately, technology affects court procedurals, case resolutions and ultimate evidentiary applications of law (Easterbrook, 1996). On the subject of evidence, the interaction between technology and evidence has remained disturbing (Lederer, 2014); whereas technology supports the publishing of new forms of evidence, it permits an even wider opportunity of misusing them as observed by (Jackman, 2014; Hansen, 2013). DNA forensics has itself generated a wide number of issues in relation to its effectiveness and ability to rule out “coincidence” (National Research Council, 2011). The application of technology in forensic science seeks to redefine the criminal justice systems to ensure effectiveness and trust in evidence presentation (Kloosterman, et al., 2015)

Since 1980s forensic DNA analysis plays an important role in investigations and in solving crimes.

Forensic DNA analysis is used in 3 main fields. The first one is to detect the person who commits the crimes; the 2nd field is in paternity and kinship relationship. Finally, DNA test is widely used to identify

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the victims resulted from disaster either natural one or human-made. Due to this, the reliability of evidence and trust of DNA forensic experts by judges, lawyers, and the general public continues to increase as general knowledge about the processes and DNA analysis procedures remain on the rise.

Increased knowledge better position stakeholders to challenge DNA-based evidence as the court’s attention has been drawn to the weaknesses and flaws of the various DNA-based evidence methodologies.

The aim of this study is to identify the factors that affect the DNA evidence presentation and to determine whether the DNA based methods and technologies have contributed positively, neutrally or negatively to the presentation of evidence in law courts.

II. Review Method

The StArt tool for Systematic Literature Review version 3 is used due to its versatility once relevant sources have been extracted (Fabbri et al., 2016). The extraction of sources from digital databases by SLR tools is not guaranteed since most of these databases are configured not to respond to bots (Zotero functions) or automated data download. Manual import was therefore done with the help of Zotero Reference Manager version 5 (Ahmed & Dhubaib, 2011).

A. Planning the Review

The main aim of the review is to investigate empirical direction on the effectiveness of methodologies in forensic DNA technology towards the presentation of evidence. To achieve these objectives, specific research questions must be answered. These research questions were formulated using the Population, Intervention, Comparison Outcomes and Context (PICOC) criteria are applied as presented in Table 1.0 (Kitchenham, 2007).

Table 1.0: Summary of PICOC

Based on these criteria, the following research questions are established as presented in Table 2.0, in order to ensure that the review is of clear contribution to the review objective. As indicated in the PICOC, the review focuses on five main categories as part of the population. These include papers that focus on the DNA-based establishment of causation, DNA laboratory standards, Interpretation of DNA results, Removal of coincidence in DNA testing and the general application of technology in forensic DNA for the presentation of evidence. These research questions are used as principal guide for the selection and ultimate extraction of papers for analyses.

Table 2.0: Research Questions

PICOC Criteria

Population ✓ DNA-based establishment of causation

✓ DNA laboratory standards

✓ Interpretation of DNA results

✓ Removal of coincidence in DNA testing

✓ Technology in forensic DNA

Intervention DNA Technology

Comparison Methodologies in Forensic DNA Testing Outcomes Presentation of Evidence

Context Empirical Findings in Academic (Quantitative and Peer Reviews Papers Only)

S/N Question

SLRQ1 To what extent does technology moderate DNA-based establishment of causation in the presentation of evidence?

SLRQ2 To what extent does technology moderate the removal of coincidence in DNA presentation of evidence?

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In order to reach an adequate number of papers and exhaust existing papers on the area, the following electronic databases were considered; EBSCOhost, Emeralds Insight, Oxford journals, SAGE, Science Direct and Scopus. These databases were selected because they were easily accessible and provided a platform whether the selection criteria presented in Table 3.0 could be met.

All the databases provide active journals that can be accessed, downloaded and analysed accordingly, with the exception of Scopus bibliographic index. They also provide the use of search strings with keywords to search through the meta-data of the articles in order to bring out those papers that have the keywords in the title, abstract and keywords list. This search capability helped import the properties of the papers with a chance of meeting the research questions.

It is important to highlight that some of these databases have varied levels of effectiveness in terms of literature search as well as varying degrees of importance or coverage (Tober, 2011). Even though Google Scholar has extensive coverage, it presents a highly limited approach to search. Tober (2011) empirically observe that Scopus presents the most effective search platform in terms of its search features. For the purpose of the present study, the keywords search focus on the title, abstract and keywords list unless the search platform does not provide such a possibility. At the extraction stage, the papers are downloaded in hard copies and analysed accordingly.

Keywords used include “DNA” AND “Causation” AND “Technology” AND “Evidence” for research question 1 and “Coincidence” AND “DNA” AND “Technology” AND “Evidence” for research question 2. Only academic data based that have been peer-reviewed and conducted between the years 2012 and 2018 were considered.

Quality criteria are presented in Table 3.0. Scores of 0 to 5 were offered depending on the extent to which the criteria were met by selected papers. An instance is that if a paper has a clearly defined objective, it is awarded a score of 5 for AQ1. Dependent on the extent to which the objective is clearly established, it may be awarded between 1 and 4 where 1 implies poorly defined objective and 4 implies partially but satisfactorily defined. The same is applied to all the other quality criteria listed in Table 3.0.

Table 3.0 Quality Assessment Criteria

B. Conducting the Review

The main stages presented in this section cover the selection process. It commences from the search of papers to final selection of papers.

1. Study Identification

The search results per database are presented in Table 4.0. A total of 2256 references were imported into StArt program for analysis. To move papers from the identification to the selection phase, papers were inspected for the keywords of DNA and forensic context. At this phase of the review, DNA testing and authentication studies that do not exist within the witnessing or forensics domain were not considered unless the criminal or forensic context was at least implied.

Studies on results pertaining to the authentication or establishment of an association between DNA agents and specific clinical outcomes were not considered as the focus was on the presentation of

S/N Criteria (0-5)

QA1 Clearly defined Objective

QA2 Well addressed context

QA3 Clearly stated findings

QA4 Good rationale or significance

QA5 Uniqueness of Contribution to Academia

QA6 Clearly Defined Limitations

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evidence or forensics. Studies on non-humans, animals, archaeology, gene establishment without precise definition of the forensic contexts were excluded as well. Some keywords were applied out of contexts and were excluded, especially papers covering DNA interpretation, identification and methodology that do not exactly have direct outcome in the form of presentation of evidence.

Generally, cases of non-human DNA subjects that were applied to humans were considered, but those that do not clearly apply to human forensics and define the context of forensic application were not considered. It is important to note that different forensic samples may encounter varied possibility of causation, different technology in theory application and varied levels of efforts in the removal of coincidence compared with DNA samples. Limiting the study to DNA-based evidence was therefore justified in this direction.

2. Study Selection

A total of 51 papers or 2.3% of the total 2256 papers passed the selection stage of which 1661 belonged to the 2 research questions under consideration in the present study (Table 4). Here, the presence of the main dependent variable was considered a key criterion for selection. Other papers removed were on forensic humanitarian cases, DNA accuracy, DNA testing, rapid DNA analysis or reduction of DNA testing time, recovery of DNA from site or maximizing recovery, and validation of human identification, reliability of technology or DNA typing method, DNA and storage among others.

As observed earlier, a few cases of animals such as fish, reptiles, dogs and other living samples of trees, logs and soil were used to determine genetic, clinical or forensic evidence were all excluded to streamline the selected papers in terms of relevance and applicability research questions under observation.

Table 4: Search Results

3. Study Extraction

The total of 51 papers at this stage of the SLR are presented in Figure 1. Papers that apply to other research questions for which the present paper formed a part, were removed to consider only papers applicable to the research questions under observation. This marked a total of 6 papers covering DNA based causation and coincidence to varying degrees.

To extract the relevant studies, the quality assurance metrics originally presented in Table 5.0 were applied. All six studies were considered for further analysis.

Database 1.0 2.0 Total

EBSCOhost 14 64 78

Emeralds 51 3 54

Oxford 0 4 4

SAGE 4 3 7

Science Direct 323 1132 1455

Scopus 4 59 63

Search Results 396 1265 1661

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Table 5: Databases and Quality Criteria

!

Figure 1: Flowchart of SLR C. Reporting the Review

The data extracted from the (6) selected paper were used to formulate answers to the two research questions of the SLR.

III. Review Results

The various studies included in the analysis are presented in Table 6. Two studies answered both questions as presented in Table 7. Two studies individually pertained to the two research questions, making a total of 6 papers. The discussion that follows separate the findings into the two main research question originally presented.

ID Database Authors Score

41 Ebscohost Moss (2015) 3.50

75 Ebscohost Wixted, Christenfeld &

Rouder (2018) 3.33

2259 Science Direct Sheng, Ricci & Fang

(2015) 4.33

3067 Science Direct Ferreira, Paula & Moraes

(2013) 3.67

3363 Science Direct Edmond (2013) 3.67

4190 Scopus Santos (2014) 3.00

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Table 6: Titles of Studies Selected

Table 7: Answering the Research Questions

The context of the (6) selected papers that answered this research question are presented in Table 8. In addition, the technology component that enhances evidence presentation are shown.

Table 8: Context of Papers and Technology Component in Evidence Presentation

Source Title

Moss (2015) The Admissibility of TrueAllele: A Computerized DNA Interpretation System Wixted et al., (2018) A Bayesian Statistical Analysis of the DNA Contamination Scenario

Sheng et al., (2015) Legally binding precautionary and prevention principles: Aspects of uncertain epistemic causation

Ferreira et al., (2013) DNA typing of trace DNA recovered from different areas of sandals found at a homicide crime scene investigation: A comparative study

Edmond (2013) Just truth? Carefully applying history, philosophy and sociology of science to the forensic use of CCTV images

Santos (2014) Making sense of the story - The dialogues between the police and forensic laboratories in the construction of DNA evidence

Authors SLRQ1 SLRQ2

Moss (2015) -

Wixted et al., (2018) -

Sheng et al., (2015)

Ferreira et al., (2013) -

Edmond (2013)

Santos (2014) -

Source Context Details Technology Components

Moss (2015) Causation in the context of DNA interpretation system in the presentation of

evidence for criminal cases

TrueAllele for DNA interpretation for automated batching of a large database of

DNA profiles Wixted et al.,

(2018) The chance that an unknown DNA profile recovered from the crime-scene evidence is

later found to match someone’s known

DNA profile by coincidence. None

Sheng et al.,

(2015) Regulations, public policy and case law

across global regions. General application of technology to manage large volumes of forensic activity Ferreira et

al., (2013) The role of Trace DNA recovered from worn or handled items collected from crime

scenes, in presenting evidence

DNA profiling of biological materials from unidentifiable sources by standard

and Low Template DNA (L-T DNA) techniques.

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A. Technology Moderating Causation In Evidence

Moss (2015) was mainly on causation in the context of DNA interpretation system to prevent human intervention in the event of evidence attribution. In a case cited by (Moss, 2015), a forensic testimony was considered not meeting the required standard of causation (preponderance of the evidence), and the expert evidence was considered not relevant. These findings imply the need to remove the overarching role of human interpretation in the presentation of evidence. Even though human connections and psychology of human social contexts cannot be ruled out, reliability through technology is critical. Technology could, therefore, boost the accuracy of the results, the process that led to the results, or the consistency of expert advice on the entire approach. A paradigm of the role of forensic evidence in the presentation of evidence was acknowledged by (Moss, 2015).

Sheng et al., (2015) represents one of the two studies that covered both areas of causation and coincidence in what they referred to as “uncertain causation”. Implicitly, causation and ruling out coincidence may not be that far apart. Whereas causation looks at the internal relationship between factors, removal of coincidence looks at the external scope of alleviating all possible chances of this causation being attributable to another phenomenon. From a practical perspective, what may be considered causation or coincidence may be argued to have a legal, cultural, technological and national attributes. Ultimately, different countries implement varied methods to deal with these challenges of coincidence and causation; discussion of which are somewhat inseparable Sheng et al., (2015).

Ferreira et al., (2013) looks at a case where a DNA method links a murderer to a crime scene successfully by using only worn materials of the suspect. The ability of technology to revolutionise bridging f evidence to suspects even where little evidence is available is commendable. New technology on Low Template DNA (L-T DNA) techniques represent the potential to revolutionise the area of evidence presentation.

Edmond (2013) observes the case of coincidence and causation in a single case as observed by (Sheng et al., 2015). Drawing on knowledge from different fields such as history, philosophy and sociology, the presentation of evidence may be improved when applied to photo interpretation. Technology can learn and build on human abstract associations in psychology and philosophy to present evidence. Due to the complexity of forensics, evidence must not only rely on the obvious; subjective cues embedded into technology are critical to evidence presentation.

B. Technology Moderating Removal of Coincidence in Evidence

Wixted et al., (2018) touch on a series of coincidence occurring in the field of DNA casework. No particular technology components were taken into consideration (Wixted et al., 2018). In all the cases presented, the evidence looks obvious and unmistakable. In certain cases, a serious of events and odds lead to posterior occurrence which law enforcement agencies to follow blindly lose cues to bring to justice offenders. Even in cases where DNA evidence is available, further probing is required to cement evidence against any relevant party.

As stated earlier, Sheng et al., (2015) covers both areas of causation and coincidence in “uncertain causation”. As discussed in earlier detail, removing coincidence has been observed as equally important as establishing causation in the presentation of evidence (Edmond, 2013).

Finally, Santos (2014) in about 5 different criminal cases critically evaluates the presence of coincidence and observed that law enforcement agencies and forensic experts consider coincidence in different ways. As social beings, coincidence may be superficial when the details of any given situation

Edmond

(2013) Ability of technology to interpret images by building on other fields such as sociology,

history etc Camera and CCTV Image, image

superimposition technology Santos (2014)

Cases of forensic casework coincidence. General DNA technologies for criminal investigation

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are not clear enough. This leads to what Santos (2014) terms heterogeneous constructivism of DNA technology in presenting evidence.

IV. Conclusion

It is concluded that establishment of causation in the removal of coincidence makes significant impact in the presentation of forensic evidence. Even though evidence cannot completely present without any subjective or social construction in establishing causation, the presence of social construction can equally explain coincidence, and this must equally be considered.

Technology still needs to be improved in terms of bridging the gap between evidence interpretation and conclusively associating evidence to the crime scene. This area still largely depends on expert insight and further investigation is recommended.

V. Acknowledgement

A systematic literature review is no doubt a labour-intensive activity. I would like to thank all those who assisted in the selection, screening and extraction of the relevant papers especially Mr Ali Almessabi.

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Ahmed, K. M., & Al Dhubaib, B. (2011). Zotero: A bibliographic assistant to researcher. Journal of Pharmacology and Pharmacotherapeutics, vol. 2(4), pp. 303.

Easterbrook, F. H. (1996). Cyberspace and the Law of the Horse (University of Chicago Legal Forum 207). Retrieved from: https://chicagounbound.uchicago.edu/cgi/viewcontent.cgi?

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Edmond, G. (2013). Just truth? Carefully applying history, philosophy and sociology of science to the forensic use of CCTV images. Studies in history and philosophy of science part C: studies in history and philosophy of biological and biomedical sciences, 44(1), 80-91.

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